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CARLSON CAPITAL, L.P. 401(K) PLAN 401k Plan overview

Plan NameCARLSON CAPITAL, L.P. 401(K) PLAN
Plan identification number 001

CARLSON CAPITAL, L.P. 401(K) PLAN Benefits

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

401k Sponsoring company profile

CARLSON CAPITAL, L.P. has sponsored the creation of one or more 401k plans.

Company Name:CARLSON CAPITAL, L.P.
Employer identification number (EIN):272570573
NAIC Classification:523900

Additional information about CARLSON CAPITAL, L.P.

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2010-09-21
Company Identification Number: 0801321216
Legal Registered Office Address: 2100 MCKINNEY AVE STE 1800 ATTN: LAURA K

DALLAS
United States of America (USA)
75201

More information about CARLSON CAPITAL, L.P.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CARLSON CAPITAL, L.P. 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
0012017-01-01LYNNE ALPAR LYNNE ALPAR2018-10-12
0012016-01-01LYNNE B ALPAR, PLAN ADMINISTRATOR LYNNE B ALPAR, CFO2017-09-25
0012015-01-01LYNNE B. ALPAR LYNNE B. ALPAR2016-10-06
0012014-01-01LYNNE B. ALPAR LYNNE B. ALPAR2015-10-12
0012013-01-01LYNNE B. ALPAR LYNNE B. ALPAR2014-10-14
0012012-01-01LYNNE ALPAR LYNNE ALPAR2013-10-14
0012011-01-01LYNNE ALPAR, CARLSON CAPITAL, L.P. LYNNE ALPAR, CARLSON CAPITAL, L.P.2012-10-12

Plan Statistics for CARLSON CAPITAL, L.P. 401(K) PLAN

401k plan membership statisitcs for CARLSON CAPITAL, L.P. 401(K) PLAN

Measure Date Value
2022: CARLSON CAPITAL, L.P. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01163
Total number of active participants reported on line 7a of the Form 55002022-01-0145
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0199
Total of all active and inactive participants2022-01-01144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01144
Number of participants with account balances2022-01-01143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: CARLSON CAPITAL, L.P. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01194
Total number of active participants reported on line 7a of the Form 55002021-01-0166
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0198
Total of all active and inactive participants2021-01-01164
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01164
Number of participants with account balances2021-01-01162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: CARLSON CAPITAL, L.P. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01219
Total number of active participants reported on line 7a of the Form 55002020-01-0191
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01103
Total of all active and inactive participants2020-01-01194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01194
Number of participants with account balances2020-01-01192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: CARLSON CAPITAL, L.P. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01226
Total number of active participants reported on line 7a of the Form 55002019-01-01131
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0185
Total of all active and inactive participants2019-01-01216
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01217
Number of participants with account balances2019-01-01212
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-014
2018: CARLSON CAPITAL, L.P. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01224
Total number of active participants reported on line 7a of the Form 55002018-01-01145
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0180
Total of all active and inactive participants2018-01-01225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01225
Number of participants with account balances2018-01-01217
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-012
2017: CARLSON CAPITAL, L.P. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01218
Total number of active participants reported on line 7a of the Form 55002017-01-01160
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0165
Total of all active and inactive participants2017-01-01225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01225
Number of participants with account balances2017-01-01223
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0111
2016: CARLSON CAPITAL, L.P. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01222
Total number of active participants reported on line 7a of the Form 55002016-01-01156
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0159
Total of all active and inactive participants2016-01-01215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01215
Number of participants with account balances2016-01-01212
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-016
2015: CARLSON CAPITAL, L.P. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01212
Total number of active participants reported on line 7a of the Form 55002015-01-01163
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0157
Total of all active and inactive participants2015-01-01220
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01220
Number of participants with account balances2015-01-01213
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0111
2014: CARLSON CAPITAL, L.P. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01200
Total number of active participants reported on line 7a of the Form 55002014-01-01164
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0147
Total of all active and inactive participants2014-01-01211
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01211
Number of participants with account balances2014-01-01203
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-016
2013: CARLSON CAPITAL, L.P. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01181
Total number of active participants reported on line 7a of the Form 55002013-01-01159
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0143
Total of all active and inactive participants2013-01-01202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01202
Number of participants with account balances2013-01-01185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: CARLSON CAPITAL, L.P. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01186
Total number of active participants reported on line 7a of the Form 55002012-01-01141
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0140
Total of all active and inactive participants2012-01-01181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01181
Number of participants with account balances2012-01-01165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: CARLSON CAPITAL, L.P. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01169
Total number of active participants reported on line 7a of the Form 55002011-01-01145
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0141
Total of all active and inactive participants2011-01-01186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01186
Number of participants with account balances2011-01-01166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010

Financial Data on CARLSON CAPITAL, L.P. 401(K) PLAN

Measure Date Value
2022 : CARLSON CAPITAL, L.P. 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets to this plan2022-12-31$0
Total transfer of assets from this plan2022-12-31$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$0
Total income from all sources (including contributions)2022-12-31$-5,281,046
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$5,782,171
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$5,739,467
Expenses. Certain deemed distributions of participant loans2022-12-31$67
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$960,436
Value of total assets at end of year2022-12-31$28,539,965
Value of total assets at beginning of year2022-12-31$39,603,182
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$42,637
Total interest from all sources2022-12-31$1,316
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$1,270,820
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$1,270,820
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
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$949,324
Participant contributions at end of year2022-12-31$19,913
Participant contributions at beginning of year2022-12-31$33,239
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$11,112
Other income not declared elsewhere2022-12-31$25,187
Administrative expenses (other) incurred2022-12-31$42,637
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-11,063,217
Value of net assets at end of year (total assets less liabilities)2022-12-31$28,539,965
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$39,603,182
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$19,942,103
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$26,895,360
Interest on participant loans2022-12-31$1,316
Value of interest in common/collective trusts at end of year2022-12-31$8,577,949
Value of interest in common/collective trusts at beginning of year2022-12-31$12,674,583
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-5,800,233
Net investment gain or loss from common/collective trusts2022-12-31$-1,738,572
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$5,739,467
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 name2022-12-31HUSELTON, MORGAN & MAULTSBY, PC
Accountancy firm EIN2022-12-31752409112
2021 : CARLSON CAPITAL, L.P. 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets to this plan2021-12-31$0
Total transfer of assets from this plan2021-12-31$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$7,099,160
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$5,262,821
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$5,231,614
Expenses. Certain deemed distributions of participant loans2021-12-31$130
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,154,878
Value of total assets at end of year2021-12-31$39,603,182
Value of total assets at beginning of year2021-12-31$37,766,843
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$31,077
Total interest from all sources2021-12-31$2,479
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,745,488
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$1,745,488
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
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$1,154,878
Participant contributions at end of year2021-12-31$33,239
Participant contributions at beginning of year2021-12-31$48,424
Other income not declared elsewhere2021-12-31$26,860
Administrative expenses (other) incurred2021-12-31$31,077
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$1,836,339
Value of net assets at end of year (total assets less liabilities)2021-12-31$39,603,182
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$37,766,843
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$26,895,360
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$25,800,742
Interest on participant loans2021-12-31$2,479
Value of interest in common/collective trusts at end of year2021-12-31$12,674,583
Value of interest in common/collective trusts at beginning of year2021-12-31$11,917,677
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$2,084,831
Net investment gain or loss from common/collective trusts2021-12-31$2,084,624
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$5,231,614
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 name2021-12-31HUSELTON, MORGAN & MAULTSBY, PC
Accountancy firm EIN2021-12-31752409112
2020 : CARLSON CAPITAL, L.P. 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$0
Total transfer of assets from this plan2020-12-31$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$6,793,427
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$5,086,020
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$5,015,622
Expenses. Certain deemed distributions of participant loans2020-12-31$2,478
Value of total corrective distributions2020-12-31$12,211
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,760,578
Value of total assets at end of year2020-12-31$37,766,843
Value of total assets at beginning of year2020-12-31$36,059,436
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$55,709
Total interest from all sources2020-12-31$3,116
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$950,221
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$950,221
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
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$1,760,578
Participant contributions at end of year2020-12-31$48,424
Participant contributions at beginning of year2020-12-31$92,078
Other income not declared elsewhere2020-12-31$41,495
Administrative expenses (other) incurred2020-12-31$55,709
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$1,707,407
Value of net assets at end of year (total assets less liabilities)2020-12-31$37,766,843
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$36,059,436
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$25,800,742
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$23,537,743
Interest on participant loans2020-12-31$3,116
Value of interest in common/collective trusts at end of year2020-12-31$11,917,677
Value of interest in common/collective trusts at beginning of year2020-12-31$12,429,615
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$2,789,947
Net investment gain or loss from common/collective trusts2020-12-31$1,248,070
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$5,015,622
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 plan2020-12-31Unqualified
Accountancy firm name2020-12-31BDO USA, LLP
Accountancy firm EIN2020-12-31135381590
2019 : CARLSON CAPITAL, L.P. 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets to this plan2019-12-31$0
Total transfer of assets from this plan2019-12-31$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$9,278,460
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$2,986,108
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,927,904
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,264,529
Value of total assets at end of year2019-12-31$36,059,436
Value of total assets at beginning of year2019-12-31$29,767,084
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$58,204
Total interest from all sources2019-12-31$4,930
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$1,018,099
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$1,018,099
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
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$2,051,180
Participant contributions at end of year2019-12-31$92,078
Participant contributions at beginning of year2019-12-31$120,327
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$213,349
Other income not declared elsewhere2019-12-31$26,461
Administrative expenses (other) incurred2019-12-31$58,204
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$6,292,352
Value of net assets at end of year (total assets less liabilities)2019-12-31$36,059,436
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$29,767,084
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$23,537,743
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$17,221,871
Interest on participant loans2019-12-31$4,930
Value of interest in common/collective trusts at end of year2019-12-31$12,429,615
Value of interest in common/collective trusts at beginning of year2019-12-31$12,424,886
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,516,408
Net investment gain or loss from common/collective trusts2019-12-31$2,448,033
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,927,904
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 name2019-12-31BDO USA, LLP
Accountancy firm EIN2019-12-31135381590
2018 : CARLSON CAPITAL, L.P. 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$0
Total transfer of assets from this plan2018-12-31$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$718,555
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$2,323,850
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,301,271
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,181,236
Value of total assets at end of year2018-12-31$29,767,084
Value of total assets at beginning of year2018-12-31$31,372,379
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$22,579
Total interest from all sources2018-12-31$6,383
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$1,116,111
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$1,116,111
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
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$2,151,877
Participant contributions at end of year2018-12-31$120,327
Participant contributions at beginning of year2018-12-31$165,981
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$29,359
Other income not declared elsewhere2018-12-31$13,529
Administrative expenses (other) incurred2018-12-31$22,579
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-1,605,295
Value of net assets at end of year (total assets less liabilities)2018-12-31$29,767,084
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$31,372,379
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$17,221,871
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$17,671,167
Interest on participant loans2018-12-31$6,383
Value of interest in common/collective trusts at end of year2018-12-31$12,424,886
Value of interest in common/collective trusts at beginning of year2018-12-31$13,535,231
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-2,306,887
Net investment gain or loss from common/collective trusts2018-12-31$-291,817
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,301,271
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 name2018-12-31BDO USA, LLP
Accountancy firm EIN2018-12-31135381590
2017 : CARLSON CAPITAL, L.P. 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$0
Total transfer of assets from this plan2017-12-31$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$7,613,623
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,647,267
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,645,587
Expenses. Certain deemed distributions of participant loans2017-12-31$760
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$3,222,116
Value of total assets at end of year2017-12-31$31,372,379
Value of total assets at beginning of year2017-12-31$25,406,023
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$920
Total interest from all sources2017-12-31$7,736
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$919,208
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$919,208
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
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$2,139,748
Participant contributions at end of year2017-12-31$165,981
Participant contributions at beginning of year2017-12-31$173,663
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$49,456
Other income not declared elsewhere2017-12-31$85
Administrative expenses (other) incurred2017-12-31$920
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$5,966,356
Value of net assets at end of year (total assets less liabilities)2017-12-31$31,372,379
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$25,406,023
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$17,671,167
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$14,089,541
Interest on participant loans2017-12-31$7,736
Value of interest in common/collective trusts at end of year2017-12-31$13,535,231
Value of interest in common/collective trusts at beginning of year2017-12-31$11,142,819
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$2,045,693
Net investment gain or loss from common/collective trusts2017-12-31$1,418,785
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$1,032,912
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,645,587
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 name2017-12-31BDO USA, LLP
Accountancy firm EIN2017-12-31135381590
2016 : CARLSON CAPITAL, L.P. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets to this plan2016-12-31$0
Total transfer of assets from this plan2016-12-31$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$4,733,361
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,194,746
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,192,872
Expenses. Certain deemed distributions of participant loans2016-12-31$839
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,751,243
Value of total assets at end of year2016-12-31$25,406,023
Value of total assets at beginning of year2016-12-31$21,867,408
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,035
Total interest from all sources2016-12-31$6,738
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$530,947
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$530,947
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
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$1,949,591
Participant contributions at end of year2016-12-31$173,663
Participant contributions at beginning of year2016-12-31$148,586
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$81,653
Administrative expenses (other) incurred2016-12-31$1,035
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$3,538,615
Value of net assets at end of year (total assets less liabilities)2016-12-31$25,406,023
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$21,867,408
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$14,089,541
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$12,786,111
Interest on participant loans2016-12-31$6,738
Value of interest in common/collective trusts at end of year2016-12-31$11,142,819
Value of interest in common/collective trusts at beginning of year2016-12-31$8,932,711
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$575,238
Net investment gain or loss from common/collective trusts2016-12-31$869,195
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$719,999
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,192,872
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 name2016-12-31BDO USA, LLP
Accountancy firm EIN2016-12-31135381590
2015 : CARLSON CAPITAL, L.P. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$0
Total transfer of assets from this plan2015-12-31$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$3,448,805
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$701,830
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$687,250
Expenses. Certain deemed distributions of participant loans2015-12-31$805
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,468,890
Value of total assets at end of year2015-12-31$21,867,408
Value of total assets at beginning of year2015-12-31$19,120,433
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$13,775
Total interest from all sources2015-12-31$4,265
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$878,390
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$878,390
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
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$1,945,431
Participant contributions at end of year2015-12-31$148,586
Participant contributions at beginning of year2015-12-31$85,393
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$333,551
Administrative expenses (other) incurred2015-12-31$13,775
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$2,746,975
Value of net assets at end of year (total assets less liabilities)2015-12-31$21,867,408
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$19,120,433
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$12,786,111
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$11,901,633
Interest on participant loans2015-12-31$4,265
Value of interest in common/collective trusts at end of year2015-12-31$8,932,711
Value of interest in common/collective trusts at beginning of year2015-12-31$7,133,407
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-940,623
Net investment gain or loss from common/collective trusts2015-12-31$37,883
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$1,189,908
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$687,250
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 name2015-12-31BDO USA, LLP
Accountancy firm EIN2015-12-31135381590
2014 : CARLSON CAPITAL, L.P. 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$0
Total transfer of assets from this plan2014-12-31$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$4,547,065
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$635,037
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$633,890
Expenses. Certain deemed distributions of participant loans2014-12-31$772
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,217,099
Value of total assets at end of year2014-12-31$19,120,433
Value of total assets at beginning of year2014-12-31$15,208,405
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$375
Total interest from all sources2014-12-31$5,102
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$744,329
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$744,329
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
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$1,788,635
Participant contributions at end of year2014-12-31$85,393
Participant contributions at beginning of year2014-12-31$118,721
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$297,499
Administrative expenses (other) incurred2014-12-31$375
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$3,912,028
Value of net assets at end of year (total assets less liabilities)2014-12-31$19,120,433
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$15,208,405
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$11,901,633
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$9,834,097
Interest on participant loans2014-12-31$5,102
Value of interest in common/collective trusts at end of year2014-12-31$7,133,407
Value of interest in common/collective trusts at beginning of year2014-12-31$5,255,587
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-48,339
Net investment gain or loss from common/collective trusts2014-12-31$628,874
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$1,130,965
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$633,890
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 name2014-12-31BDO USA, LLP
Accountancy firm EIN2014-12-31135381590
2013 : CARLSON CAPITAL, L.P. 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$4,684,689
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$495,725
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$494,285
Expenses. Certain deemed distributions of participant loans2013-12-31$740
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,034,777
Value of total assets at end of year2013-12-31$15,208,405
Value of total assets at beginning of year2013-12-31$11,019,441
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$700
Total interest from all sources2013-12-31$3,870
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$482,088
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$482,088
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
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$1,636,583
Participant contributions at end of year2013-12-31$118,721
Participant contributions at beginning of year2013-12-31$72,524
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$398,194
Administrative expenses (other) incurred2013-12-31$700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$4,188,964
Value of net assets at end of year (total assets less liabilities)2013-12-31$15,208,405
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$11,019,441
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$9,834,097
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$6,827,792
Interest on participant loans2013-12-31$3,870
Value of interest in common/collective trusts at end of year2013-12-31$5,255,587
Value of interest in common/collective trusts at beginning of year2013-12-31$4,119,125
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$1,120,046
Net investment gain or loss from common/collective trusts2013-12-31$1,043,908
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$494,285
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 name2013-12-31BDO USA, LLP
Accountancy firm EIN2013-12-31135381590
2012 : CARLSON CAPITAL, L.P. 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$2,806,519
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$715,189
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$713,777
Expenses. Certain deemed distributions of participant loans2012-12-31$712
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,526,554
Value of total assets at end of year2012-12-31$11,019,441
Value of total assets at beginning of year2012-12-31$8,928,111
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$700
Total interest from all sources2012-12-31$2,435
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$151,453
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$151,453
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
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$1,526,554
Participant contributions at end of year2012-12-31$72,524
Participant contributions at beginning of year2012-12-31$35,900
Administrative expenses (other) incurred2012-12-31$700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$2,091,330
Value of net assets at end of year (total assets less liabilities)2012-12-31$11,019,441
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$8,928,111
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$6,827,792
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$5,434,879
Interest on participant loans2012-12-31$2,435
Value of interest in common/collective trusts at end of year2012-12-31$4,119,125
Value of interest in common/collective trusts at beginning of year2012-12-31$3,457,332
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$703,156
Net investment gain or loss from common/collective trusts2012-12-31$422,921
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$713,777
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 name2012-12-31HARTMAN LEITO & BOLT, LLP
Accountancy firm EIN2012-12-31752407989
2011 : CARLSON CAPITAL, L.P. 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$1,137,873
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,103,345
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,065,142
Expenses. Certain deemed distributions of participant loans2011-12-31$16,709
Value of total corrective distributions2011-12-31$20,994
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,605,273
Value of total assets at end of year2011-12-31$8,928,111
Value of total assets at beginning of year2011-12-31$8,893,583
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$500
Total interest from all sources2011-12-31$2,277
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$127,734
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$127,734
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
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$1,533,105
Participant contributions at end of year2011-12-31$35,900
Participant contributions at beginning of year2011-12-31$58,978
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$72,168
Administrative expenses (other) incurred2011-12-31$500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$34,528
Value of net assets at end of year (total assets less liabilities)2011-12-31$8,928,111
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$8,893,583
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$5,434,879
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$5,571,120
Interest on participant loans2011-12-31$2,277
Value of interest in common/collective trusts at end of year2011-12-31$3,457,332
Value of interest in common/collective trusts at beginning of year2011-12-31$3,263,485
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-636,471
Net investment gain or loss from common/collective trusts2011-12-31$39,060
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,065,142
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 name2011-12-31HARTMAN LEITO & BOLT, LLP
Accountancy firm EIN2011-12-31752407989
2010 : CARLSON CAPITAL, L.P. 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$2,735,245
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$446,393
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$445,993
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,618,196
Value of total assets at end of year2010-12-31$8,893,583
Value of total assets at beginning of year2010-12-31$6,604,731
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$400
Total interest from all sources2010-12-31$2,385
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$121,682
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$121,682
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
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$1,525,067
Participant contributions at end of year2010-12-31$58,978
Participant contributions at beginning of year2010-12-31$78,514
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$93,129
Administrative expenses (other) incurred2010-12-31$400
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,288,852
Value of net assets at end of year (total assets less liabilities)2010-12-31$8,893,583
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$6,604,731
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$5,571,120
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$4,237,530
Interest on participant loans2010-12-31$2,385
Value of interest in common/collective trusts at end of year2010-12-31$3,263,485
Value of interest in common/collective trusts at beginning of year2010-12-31$2,288,687
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$671,756
Net investment gain or loss from common/collective trusts2010-12-31$321,226
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$445,993
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 name2010-12-31HARTMAN LEITO & BOLT, LLP
Accountancy firm EIN2010-12-31752407989

Form 5500 Responses for CARLSON CAPITAL, L.P. 401(K) PLAN

2022: CARLSON CAPITAL, L.P. 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle 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: CARLSON CAPITAL, L.P. 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedYes
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: CARLSON CAPITAL, L.P. 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle 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: CARLSON CAPITAL, L.P. 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: CARLSON CAPITAL, L.P. 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: CARLSON CAPITAL, L.P. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle 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: CARLSON CAPITAL, L.P. 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: CARLSON CAPITAL, L.P. 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: CARLSON CAPITAL, L.P. 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: CARLSON CAPITAL, L.P. 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: CARLSON CAPITAL, L.P. 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: CARLSON CAPITAL, L.P. 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

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