401k Plan data: BLUE ROCK EQUITY PLUS FUND, LP plan

BLUE ROCK EQUITY PLUS FUND, LP 401k Plan overview

Plan Name	BLUE ROCK EQUITY PLUS FUND, LP
Plan identification number	003

BLUE ROCK EQUITY PLUS FUND, LP Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Plan covered by PBGC that was terminated and closed out for PBGC purposes - Before the end of the plan year (or a prior plan year), (1) the plan terminated in a standard (or distress) termination and completed the distribution of plan assets in satisfaction of all benefit liabilities (or all ERISA Title IV benefits for distress termination); or (2) a trustee was appointed for a terminated plan pursuant to ERISA section 4042.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BLUE ROCK ADVISORS, INC. has sponsored the creation of one or more 401k plans.

Company Name: BLUE ROCK ADVISORS, INC.

Employer identification number (EIN): 411657049

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BLUE ROCK EQUITY PLUS FUND, LP

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2015-01-01
003 2014-01-01
003 2012-01-01 ROBERT W. FULLERTON 2013-06-17
003 2011-01-01 ROBERT W. FULLERTON 2012-07-06
003 2010-01-01 ROBERT W. FULLERTON 2011-07-15 ROBERT W. FULLERTON 2011-07-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2015-01-01
003	2014-01-01
003	2012-01-01	ROBERT W. FULLERTON	2013-06-17
003	2011-01-01	ROBERT W. FULLERTON	2012-07-06
003	2010-01-01	ROBERT W. FULLERTON	2011-07-15	ROBERT W. FULLERTON	2011-07-15

Plan Statistics for BLUE ROCK EQUITY PLUS FUND, LP

401k plan membership statisitcs for BLUE ROCK EQUITY PLUS FUND, LP

Measure Date Value
2015: BLUE ROCK EQUITY PLUS FUND, LP 2015 401k membership
Total participants, beginning-of-year 2015-01-01 0
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
Number of employers contributing to the scheme 2015-01-01 0
2014: BLUE ROCK EQUITY PLUS FUND, LP 2014 401k membership
Total participants, beginning-of-year 2014-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
Number of employers contributing to the scheme 2014-01-01 0

Measure	Date	Value
2015: BLUE ROCK EQUITY PLUS FUND, LP 2015 401k membership
Total participants, beginning-of-year	2015-01-01	0
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
Number of employers contributing to the scheme	2015-01-01	0
2014: BLUE ROCK EQUITY PLUS FUND, LP 2014 401k membership
Total participants, beginning-of-year	2014-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
Number of employers contributing to the scheme	2014-01-01	0

Financial Data on BLUE ROCK EQUITY PLUS FUND, LP

Measure	Date	Value
2015 : BLUE ROCK EQUITY PLUS FUND, LP 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-1,002,175
Total unrealized appreciation/depreciation of assets	2015-12-31	$-1,002,175
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$54,305,847
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$2,197,296
Expenses. Interest paid	2015-12-31	$4,949
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$4,949
Total income from all sources (including contributions)	2015-12-31	$54,243,085
Total loss/gain on sale of assets	2015-12-31	$956,335
Total of all expenses incurred	2015-12-31	$5,175,933
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$4,500,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$50,000,000
Value of total assets at end of year	2015-12-31	$216,613,303
Value of total assets at beginning of year	2015-12-31	$115,437,600
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$670,984
Total interest from all sources	2015-12-31	$32
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$70,000
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$50,000,000
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$62,197,425
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$54,305,847
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$2,197,296
Administrative expenses (other) incurred	2015-12-31	$14,244
Total non interest bearing cash at end of year	2015-12-31	$1,081,774
Total non interest bearing cash at beginning of year	2015-12-31	$6,681,453
Value of net income/loss	2015-12-31	$49,067,152
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$162,307,456
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$113,240,304
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$549,040
Interest earned on other investments	2015-12-31	$32
Assets. Value of investments in 103.12 investment entities at end of year	2015-12-31	$153,334,104
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-12-31	$108,756,147
Net gain/loss from 103.12 investment entities	2015-12-31	$4,288,893
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$4,500,000
Contract administrator fees	2015-12-31	$37,700
Did the plan have assets held for investment	2015-12-31	Yes
Aggregate proceeds on sale of assets	2015-12-31	$956,335
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	KPMG LLP
Accountancy firm EIN	2015-12-31	135565207
2014 : BLUE ROCK EQUITY PLUS FUND, LP 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$-1,878,086
Total unrealized appreciation/depreciation of assets	2014-12-31	$-1,878,086
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$2,197,296
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$7,244,173
Expenses. Interest paid	2014-12-31	$2,435
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$2,435
Total income from all sources (including contributions)	2014-12-31	$82,034,895
Total loss/gain on sale of assets	2014-12-31	$8,042,827
Total of all expenses incurred	2014-12-31	$560,260
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$73,000,000
Value of total assets at end of year	2014-12-31	$115,437,600
Value of total assets at beginning of year	2014-12-31	$39,009,842
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$557,825
Total interest from all sources	2014-12-31	$83
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$53,632
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$7,146,715
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$2,197,296
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$7,244,173
Administrative expenses (other) incurred	2014-12-31	$5,904
Total non interest bearing cash at end of year	2014-12-31	$6,681,453
Total non interest bearing cash at beginning of year	2014-12-31	$3,413,381
Value of net income/loss	2014-12-31	$81,474,635
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$113,240,304
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$31,765,669
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	$458,983
Interest earned on other investments	2014-12-31	$83
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$108,756,147
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$28,449,746
Net gain/loss from 103.12 investment entities	2014-12-31	$2,870,071
Contributions received in cash from employer	2014-12-31	$73,000,000
Contract administrator fees	2014-12-31	$39,306
Did the plan have assets held for investment	2014-12-31	Yes
Aggregate proceeds on sale of assets	2014-12-31	$8,042,827
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	KPMG LLP
Accountancy firm EIN	2014-12-31	135565207

Form 5500 Responses for BLUE ROCK EQUITY PLUS FUND, LP

2015: BLUE ROCK EQUITY PLUS FUND, LP 2015 form 5500 responses
2015-01-01	Type of plan entity	DFE (Diect Filing Entity)
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2014: BLUE ROCK EQUITY PLUS FUND, LP 2014 form 5500 responses
2014-01-01	Type of plan entity	DFE (Diect Filing Entity)
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

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Company Name:	BLUE ROCK ADVISORS, INC.
Employer identification number (EIN):	411657049
NAIC Classification:	523900