401k Plan data: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN plan

UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN
Plan identification number	001

UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.

401k Sponsoring company profile

UNGARETTI & HARRIS LLP has sponsored the creation of one or more 401k plans.

Company Name: UNGARETTI & HARRIS LLP

Employer identification number (EIN): 362909242

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 BONNIE KELLY PAUL HOLMES 2016-08-11
001 2014-01-01 BONNIE KELLY
001 2013-01-01 BONNIE KELLY PAUL HOLMES 2014-10-10
001 2012-01-01 BONNIE KELLY PAUL HOLMES 2013-10-11
001 2011-01-01 PAUL HOLMES
001 2010-01-01 BONNIE KELLY PAUL HOLMES 2011-10-10
001 2009-01-01 BONNIE KELLY PAUL HOLMES 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	BONNIE KELLY	PAUL HOLMES	2016-08-11
001	2014-01-01	BONNIE KELLY
001	2013-01-01	BONNIE KELLY	PAUL HOLMES	2014-10-10
001	2012-01-01	BONNIE KELLY	PAUL HOLMES	2013-10-11
001	2011-01-01	PAUL HOLMES
001	2010-01-01	BONNIE KELLY	PAUL HOLMES	2011-10-10
001	2009-01-01	BONNIE KELLY	PAUL HOLMES	2010-10-15

Plan Statistics for UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN

401k plan membership statisitcs for UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN

Measure Date Value
2015: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 264
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 263
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 209
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 55
Total of all active and inactive participants 2014-01-01 264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 264
Number of participants with account balances 2014-01-01 240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 11
2013: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 236
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 214
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 49
Total of all active and inactive participants 2013-01-01 263
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 263
Number of participants with account balances 2013-01-01 240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 7
2012: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 253
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 201
Number of other retired or separated participants entitled to future benefits 2012-01-01 47
Total of all active and inactive participants 2012-01-01 248
Total participants 2012-01-01 248
Number of participants with account balances 2012-01-01 236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 9
2011: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 270
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 205
Number of other retired or separated participants entitled to future benefits 2011-01-01 48
Total of all active and inactive participants 2011-01-01 253
Total participants 2011-01-01 253
Number of participants with account balances 2011-01-01 236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2010: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 243
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 213
Number of other retired or separated participants entitled to future benefits 2010-01-01 57
Total of all active and inactive participants 2010-01-01 270
Total participants 2010-01-01 270
Number of participants with account balances 2010-01-01 247
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 8
2009: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 288
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 211
Number of other retired or separated participants entitled to future benefits 2009-01-01 32
Total of all active and inactive participants 2009-01-01 243
Total participants 2009-01-01 243
Number of participants with account balances 2009-01-01 212
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 6

Measure	Date	Value
2015: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	264
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	263
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	209
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	55
Total of all active and inactive participants	2014-01-01	264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	264
Number of participants with account balances	2014-01-01	240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	11
2013: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	236
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	214
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	49
Total of all active and inactive participants	2013-01-01	263
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	263
Number of participants with account balances	2013-01-01	240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	7
2012: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	253
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	201
Number of other retired or separated participants entitled to future benefits	2012-01-01	47
Total of all active and inactive participants	2012-01-01	248
Total participants	2012-01-01	248
Number of participants with account balances	2012-01-01	236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	9
2011: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	270
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	205
Number of other retired or separated participants entitled to future benefits	2011-01-01	48
Total of all active and inactive participants	2011-01-01	253
Total participants	2011-01-01	253
Number of participants with account balances	2011-01-01	236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2010: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	243
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	213
Number of other retired or separated participants entitled to future benefits	2010-01-01	57
Total of all active and inactive participants	2010-01-01	270
Total participants	2010-01-01	270
Number of participants with account balances	2010-01-01	247
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	8
2009: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	288
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	211
Number of other retired or separated participants entitled to future benefits	2009-01-01	32
Total of all active and inactive participants	2009-01-01	243
Total participants	2009-01-01	243
Number of participants with account balances	2009-01-01	212
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	6

Financial Data on UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN

Measure	Date	Value
2015 : UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-10-01	$0
Total transfer of assets from this plan	2015-10-01	$41,104,398
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-01	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-01	$0
Total income from all sources (including contributions)	2015-10-01	$2,995,956
Total loss/gain on sale of assets	2015-10-01	$0
Total of all expenses incurred	2015-10-01	$12,495,533
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-10-01	$12,381,422
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-10-01	$4,423,119
Value of total assets at end of year	2015-10-01	$0
Value of total assets at beginning of year	2015-10-01	$50,603,975
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-10-01	$114,111
Total interest from all sources	2015-10-01	$16,054
Total dividends received (eg from common stock, registered investment company shares)	2015-10-01	$539,923
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-10-01	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-10-01	$539,923
Administrative expenses professional fees incurred	2015-10-01	$14,845
Was this plan covered by a fidelity bond	2015-10-01	Yes
Value of fidelity bond cover	2015-10-01	$40,000,000
If this is an individual account plan, was there a blackout period	2015-10-01	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-10-01	$0
Were there any nonexempt tranactions with any party-in-interest	2015-10-01	No
Contributions received from participants	2015-10-01	$803,737
Participant contributions at end of year	2015-10-01	$0
Participant contributions at beginning of year	2015-10-01	$351,401
Participant contributions at end of year	2015-10-01	$0
Participant contributions at beginning of year	2015-10-01	$58,514
Income. Received or receivable in cash from other sources (including rollovers)	2015-10-01	$3,551,903
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-10-01	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-10-01	$6,694
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-10-01	$0
Other income not declared elsewhere	2015-10-01	$6
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-10-01	No
Value of net income/loss	2015-10-01	$-9,499,577
Value of net assets at end of year (total assets less liabilities)	2015-10-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-10-01	$50,603,975
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-10-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-10-01	No
Were any leases to which the plan was party in default or uncollectible	2015-10-01	No
Investment advisory and management fees	2015-10-01	$40,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-10-01	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-10-01	$43,365,111
Interest on participant loans	2015-10-01	$16,054
Value of interest in common/collective trusts at end of year	2015-10-01	$0
Value of interest in common/collective trusts at beginning of year	2015-10-01	$5,698,670
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-10-01	$-2,048,243
Net investment gain or loss from common/collective trusts	2015-10-01	$65,097
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-10-01	No
Was there a failure to transmit to the plan any participant contributions	2015-10-01	No
Has the plan failed to provide any benefit when due under the plan	2015-10-01	No
Contributions received in cash from employer	2015-10-01	$67,479
Employer contributions (assets) at end of year	2015-10-01	$0
Employer contributions (assets) at beginning of year	2015-10-01	$1,123,585
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-10-01	$12,381,422
Contract administrator fees	2015-10-01	$59,266
Did the plan have assets held for investment	2015-10-01	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-10-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-10-01	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-10-01	Yes
Opinion of an independent qualified public accountant for this plan	2015-10-01	Disclaimer
Accountancy firm name	2015-10-01	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2015-10-01	390859910
2014 : UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$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	$99,321
Total income from all sources (including contributions)	2014-12-31	$6,848,085
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,874,430
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,750,622
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$3,452,590
Value of total assets at end of year	2014-12-31	$50,603,975
Value of total assets at beginning of year	2014-12-31	$46,729,641
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$123,808
Total interest from all sources	2014-12-31	$13,225
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$761,773
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$761,773
Administrative expenses professional fees incurred	2014-12-31	$14,352
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,854,399
Participant contributions at end of year	2014-12-31	$351,401
Participant contributions at beginning of year	2014-12-31	$370,300
Participant contributions at end of year	2014-12-31	$58,514
Participant contributions at beginning of year	2014-12-31	$92,369
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$330,237
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$6,694
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$15,693
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$99,321
Other income not declared elsewhere	2014-12-31	$1,240
Administrative expenses (other) incurred	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$3,973,655
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$50,603,975
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$46,630,320
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$40,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$43,365,111
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$39,063,965
Interest on participant loans	2014-12-31	$13,225
Value of interest in common/collective trusts at end of year	2014-12-31	$5,698,670
Value of interest in common/collective trusts at beginning of year	2014-12-31	$6,098,781
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$2,511,306
Net investment gain or loss from common/collective trusts	2014-12-31	$107,951
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,267,954
Employer contributions (assets) at end of year	2014-12-31	$1,123,585
Employer contributions (assets) at beginning of year	2014-12-31	$1,088,533
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,750,622
Contract administrator fees	2014-12-31	$69,456
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2014-12-31	390859910
2013 : UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$99,321
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$103,414
Total income from all sources (including contributions)	2013-12-31	$10,403,896
Total of all expenses incurred	2013-12-31	$4,021,086
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$3,900,614
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$3,049,825
Value of total assets at end of year	2013-12-31	$46,729,641
Value of total assets at beginning of year	2013-12-31	$40,350,924
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$120,472
Total interest from all sources	2013-12-31	$14,664
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$749,433
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$749,433
Administrative expenses professional fees incurred	2013-12-31	$12,545
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,799,883
Participant contributions at end of year	2013-12-31	$370,300
Participant contributions at beginning of year	2013-12-31	$493,537
Participant contributions at end of year	2013-12-31	$92,369
Participant contributions at beginning of year	2013-12-31	$90,480
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$52,850
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$15,693
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$25,402
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$99,321
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$103,414
Other income not declared elsewhere	2013-12-31	$37,075
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$6,382,810
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$46,630,320
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$40,247,510
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$40,013
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$39,063,965
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$32,297,147
Interest on participant loans	2013-12-31	$14,664
Value of interest in common/collective trusts at end of year	2013-12-31	$6,098,781
Value of interest in common/collective trusts at beginning of year	2013-12-31	$6,334,702
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$926
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$926
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$6,552,899
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$1,197,092
Employer contributions (assets) at end of year	2013-12-31	$1,088,533
Employer contributions (assets) at beginning of year	2013-12-31	$1,108,730
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$3,900,614
Contract administrator fees	2013-12-31	$67,914
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2013-12-31	390859910
2012 : UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$103,414
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$66,347
Total income from all sources (including contributions)	2012-12-31	$7,474,137
Total of all expenses incurred	2012-12-31	$2,581,262
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,461,535
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$3,247,844
Value of total assets at end of year	2012-12-31	$40,350,924
Value of total assets at beginning of year	2012-12-31	$35,420,982
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$119,727
Total interest from all sources	2012-12-31	$20,583
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$784,197
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$784,197
Administrative expenses professional fees incurred	2012-12-31	$11,150
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,749,219
Participant contributions at end of year	2012-12-31	$493,537
Participant contributions at beginning of year	2012-12-31	$642,867
Participant contributions at end of year	2012-12-31	$90,480
Participant contributions at beginning of year	2012-12-31	$54,841
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$293,401
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$25,402
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$28,408
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$103,414
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$66,347
Other income not declared elsewhere	2012-12-31	$31,310
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$4,892,875
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$40,247,510
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$35,354,635
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$40,022
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$32,297,147
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$27,928,415
Interest on participant loans	2012-12-31	$20,583
Value of interest in common/collective trusts at end of year	2012-12-31	$6,334,702
Value of interest in common/collective trusts at beginning of year	2012-12-31	$5,653,785
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$926
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,257,910
Net investment gain or loss from common/collective trusts	2012-12-31	$132,293
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,205,224
Employer contributions (assets) at end of year	2012-12-31	$1,108,730
Employer contributions (assets) at beginning of year	2012-12-31	$1,112,666
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,461,535
Contract administrator fees	2012-12-31	$68,555
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	WOLF & COMPANY LLP
Accountancy firm EIN	2012-12-31	362985665
2011 : UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2011 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$66,347
Total income from all sources (including contributions)	2011-12-31	$2,945,268
Total of all expenses incurred	2011-12-31	$3,104,199
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,985,542
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,897,743
Value of total assets at end of year	2011-12-31	$35,420,982
Value of total assets at beginning of year	2011-12-31	$35,513,566
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$118,657
Total interest from all sources	2011-12-31	$21,839
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$643,301
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$643,301
Administrative expenses professional fees incurred	2011-12-31	$10,905
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,649,060
Participant contributions at end of year	2011-12-31	$642,867
Participant contributions at beginning of year	2011-12-31	$411,844
Participant contributions at end of year	2011-12-31	$54,841
Participant contributions at beginning of year	2011-12-31	$20,800
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$22,196
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$28,408
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$29,254
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$66,347
Other income not declared elsewhere	2011-12-31	$30,372
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-158,931
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$35,354,635
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$35,513,566
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$40,045
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$27,928,415
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$28,880,604
Interest on participant loans	2011-12-31	$21,839
Value of interest in common/collective trusts at end of year	2011-12-31	$5,653,785
Value of interest in common/collective trusts at beginning of year	2011-12-31	$5,104,389
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$543
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$543
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-784,255
Net investment gain or loss from common/collective trusts	2011-12-31	$136,268
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$1,226,487
Employer contributions (assets) at end of year	2011-12-31	$1,112,666
Employer contributions (assets) at beginning of year	2011-12-31	$1,066,132
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,985,542
Contract administrator fees	2011-12-31	$67,707
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	WOLF & COMPANY LLP
Accountancy firm EIN	2011-12-31	362985665
2010 : UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$6,660,738
Total of all expenses incurred	2010-12-31	$3,459,960
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$3,353,621
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,882,764
Value of total assets at end of year	2010-12-31	$35,513,566
Value of total assets at beginning of year	2010-12-31	$32,312,788
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$106,339
Total interest from all sources	2010-12-31	$27,947
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$664,376
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$664,376
Administrative expenses professional fees incurred	2010-12-31	$10,560
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,653,325
Participant contributions at end of year	2010-12-31	$411,844
Participant contributions at beginning of year	2010-12-31	$414,513
Participant contributions at end of year	2010-12-31	$20,800
Participant contributions at beginning of year	2010-12-31	$47,276
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$45,968
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$29,254
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$3,200,778
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$35,513,566
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$32,312,788
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$30,086
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$28,880,604
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$17,540,387
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$8,187,236
Interest on participant loans	2010-12-31	$27,947
Value of interest in common/collective trusts at end of year	2010-12-31	$5,104,389
Value of interest in common/collective trusts at beginning of year	2010-12-31	$5,029,271
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$543
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,352,273
Net investment gain/loss from pooled separate accounts	2010-12-31	$-280,846
Net investment gain or loss from common/collective trusts	2010-12-31	$14,224
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$1,183,471
Employer contributions (assets) at end of year	2010-12-31	$1,066,132
Employer contributions (assets) at beginning of year	2010-12-31	$1,094,105
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$3,353,621
Contract administrator fees	2010-12-31	$65,693
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	Yes
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	WOLF & COMPANY LLP
Accountancy firm EIN	2010-12-31	362985665

Form 5500 Responses for UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN

2015: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: UNGARETTI & HARRIS LLP 401(K) RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

452665

Policy instance

Insurance contract or identification number	452665
Number of Individuals Covered	0
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	UNGARETTI & HARRIS LLP
Employer identification number (EIN):	362909242
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers