401k Plan data: MAST CAPITAL MANAGEMENT, LLC 401K PLAN plan

MAST CAPITAL MANAGEMENT, LLC 401K PLAN 401k Plan overview

Plan Name	MAST CAPITAL MANAGEMENT, LLC 401K PLAN
Plan identification number	001

MAST CAPITAL MANAGEMENT, LLC 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

MAST CAPITAL MANGEMENT, LLC has sponsored the creation of one or more 401k plans.

Company Name: MAST CAPITAL MANGEMENT, LLC

Employer identification number (EIN): 431962440

NAIC Classification: 812990
NAIC Description: All Other Personal Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MAST CAPITAL MANAGEMENT, LLC 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01
001 2012-01-01 WILLIAM BRUCE
001 2011-01-01 WILLIAM BRUCE
001 2010-01-01 WILLIAM BRUCE 2011-10-17

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2013-01-01
001	2012-01-01	WILLIAM BRUCE
001	2011-01-01	WILLIAM BRUCE
001	2010-01-01	WILLIAM BRUCE	2011-10-17

Plan Statistics for MAST CAPITAL MANAGEMENT, LLC 401K PLAN

401k plan membership statisitcs for MAST CAPITAL MANAGEMENT, LLC 401K PLAN

Measure Date Value
2013: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 17
Number of other retired or separated participants entitled to future benefits 2013-01-01 6
Total of all active and inactive participants 2013-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 23
Number of participants with account balances 2013-01-01 23
2012: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 15
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 4
Total of all active and inactive participants 2012-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 20
Number of participants with account balances 2012-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 15
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 4
Total of all active and inactive participants 2011-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 20
Number of participants with account balances 2011-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2013: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	17
Number of other retired or separated participants entitled to future benefits	2013-01-01	6
Total of all active and inactive participants	2013-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	23
Number of participants with account balances	2013-01-01	23
2012: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	15
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	4
Total of all active and inactive participants	2012-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	20
Number of participants with account balances	2012-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	15
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	4
Total of all active and inactive participants	2011-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	20
Number of participants with account balances	2011-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on MAST CAPITAL MANAGEMENT, LLC 401K PLAN

Measure	Date	Value
2013 : MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$312,926
Expenses. Total of all expenses incurred	2013-12-31	$389,047
Benefits paid (including direct rollovers)	2013-12-31	$389,047
Total plan assets at end of year	2013-12-31	$1,313,301
Total plan assets at beginning of year	2013-12-31	$1,389,422
Value of fidelity bond covering the plan	2013-12-31	$300,000
Total contributions received or receivable from participants	2013-12-31	$181,837
Contributions received from other sources (not participants or employers)	2013-12-31	$28,336
Other income received	2013-12-31	$13,982
Net income (gross income less expenses)	2013-12-31	$-76,121
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,313,301
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,389,422
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$15,558
Total contributions received or receivable from employer(s)	2013-12-31	$88,771
2012 : MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$254,995
Expenses. Total of all expenses incurred	2012-12-31	$408,870
Benefits paid (including direct rollovers)	2012-12-31	$408,870
Total plan assets at end of year	2012-12-31	$1,389,422
Total plan assets at beginning of year	2012-12-31	$1,543,297
Value of fidelity bond covering the plan	2012-12-31	$300,000
Total contributions received or receivable from participants	2012-12-31	$192,814
Other income received	2012-12-31	$-13,144
Net income (gross income less expenses)	2012-12-31	$-153,875
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,389,422
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,543,297
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$649,047
Total contributions received or receivable from employer(s)	2012-12-31	$75,325
2011 : MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$315,265
Expenses. Total of all expenses incurred	2011-12-31	$86,226
Benefits paid (including direct rollovers)	2011-12-31	$86,226
Total plan assets at end of year	2011-12-31	$1,543,297
Total plan assets at beginning of year	2011-12-31	$1,314,258
Value of fidelity bond covering the plan	2011-12-31	$300,000
Total contributions received or receivable from participants	2011-12-31	$186,808
Other income received	2011-12-31	$15,696
Net income (gross income less expenses)	2011-12-31	$229,039
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,543,297
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,314,258
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$260,000
Total contributions received or receivable from employer(s)	2011-12-31	$112,761

Form 5500 Responses for MAST CAPITAL MANAGEMENT, LLC 401K PLAN

2013: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: MAST CAPITAL MANAGEMENT, LLC 401K PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MAST CAPITAL MANGEMENT, LLC
Employer identification number (EIN):	431962440
NAIC Classification:	812990
NAIC Description:	All Other Personal Services