401k Plan data: HUDSON RIVER TRADING, LLC 401(K) PLAN plan

HUDSON RIVER TRADING, LLC 401(K) PLAN 401k Plan overview

Plan Name	HUDSON RIVER TRADING, LLC 401(K) PLAN
Plan identification number	001

HUDSON RIVER TRADING, LLC 401(K) PLAN Benefits

401k Plan Type

Defined 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

HUDSON RIVER TRADING, LLC has sponsored the creation of one or more 401k plans.

Company Name: HUDSON RIVER TRADING, LLC

Employer identification number (EIN): 450465436

NAIC Classification: 523900

Additional information about HUDSON RIVER TRADING, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3489222

More information about HUDSON RIVER TRADING, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HUDSON RIVER TRADING, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 TANIA PICARD
001 2017-01-01 TANIA PICARD
001 2016-01-01
001 2015-01-01
001 2014-01-01 SUSAN MORRISSEY 2015-09-23 SUSAN MORRISSEY 2015-09-23
001 2013-01-01 SUSAN MORRISSEY 2014-10-07 SUSAN MORRISSEY 2014-10-07
001 2012-01-01 SUSAN MORRISSEY 2013-10-02 SUSAN MORRISSEY 2013-10-02
001 2011-01-01 SUSAN BUCHANAN 2012-10-02 SUSAN BUCHANAN 2012-10-02
001 2010-01-01 SUSAN BUCHANAN 2011-10-12 SUSAN BUCHANAN 2011-10-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	TANIA PICARD
001	2017-01-01	TANIA PICARD
001	2016-01-01
001	2015-01-01
001	2014-01-01	SUSAN MORRISSEY	2015-09-23	SUSAN MORRISSEY	2015-09-23
001	2013-01-01	SUSAN MORRISSEY	2014-10-07	SUSAN MORRISSEY	2014-10-07
001	2012-01-01	SUSAN MORRISSEY	2013-10-02	SUSAN MORRISSEY	2013-10-02
001	2011-01-01	SUSAN BUCHANAN	2012-10-02	SUSAN BUCHANAN	2012-10-02
001	2010-01-01	SUSAN BUCHANAN	2011-10-12	SUSAN BUCHANAN	2011-10-12

Plan Statistics for HUDSON RIVER TRADING, LLC 401(K) PLAN

401k plan membership statisitcs for HUDSON RIVER TRADING, LLC 401(K) PLAN

Measure Date Value
2022: HUDSON RIVER TRADING, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 493
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 767
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 46
Total of all active and inactive participants 2022-01-01 813
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 813
Number of participants with account balances 2022-01-01 629
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: HUDSON RIVER TRADING, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 387
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 434
Number of retired or separated participants receiving benefits 2021-01-01 2
Number of other retired or separated participants entitled to future benefits 2021-01-01 57
Total of all active and inactive participants 2021-01-01 493
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 493
Number of participants with account balances 2021-01-01 423
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: HUDSON RIVER TRADING, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 315
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 312
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 54
Total of all active and inactive participants 2020-01-01 366
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 366
Number of participants with account balances 2020-01-01 317
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: HUDSON RIVER TRADING, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 260
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 249
Number of retired or separated participants receiving benefits 2019-01-01 3
Number of other retired or separated participants entitled to future benefits 2019-01-01 49
Total of all active and inactive participants 2019-01-01 301
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 1
Total participants 2019-01-01 302
Number of participants with account balances 2019-01-01 266
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: HUDSON RIVER TRADING, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 186
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 202
Number of retired or separated participants receiving benefits 2018-01-01 2
Number of other retired or separated participants entitled to future benefits 2018-01-01 42
Total of all active and inactive participants 2018-01-01 246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 246
Number of participants with account balances 2018-01-01 216
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: HUDSON RIVER TRADING, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 166
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 151
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 26
Total of all active and inactive participants 2017-01-01 177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 177
Number of participants with account balances 2017-01-01 150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: HUDSON RIVER TRADING, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 133
Number of retired or separated participants receiving benefits 2016-01-01 5
Number of other retired or separated participants entitled to future benefits 2016-01-01 28
Total of all active and inactive participants 2016-01-01 166
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 166
Number of participants with account balances 2016-01-01 125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0

Measure	Date	Value
2022: HUDSON RIVER TRADING, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	493
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	767
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	46
Total of all active and inactive participants	2022-01-01	813
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	813
Number of participants with account balances	2022-01-01	629
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: HUDSON RIVER TRADING, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	387
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	434
Number of retired or separated participants receiving benefits	2021-01-01	2
Number of other retired or separated participants entitled to future benefits	2021-01-01	57
Total of all active and inactive participants	2021-01-01	493
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	493
Number of participants with account balances	2021-01-01	423
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: HUDSON RIVER TRADING, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	315
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	312
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	54
Total of all active and inactive participants	2020-01-01	366
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	366
Number of participants with account balances	2020-01-01	317
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: HUDSON RIVER TRADING, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	260
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	249
Number of retired or separated participants receiving benefits	2019-01-01	3
Number of other retired or separated participants entitled to future benefits	2019-01-01	49
Total of all active and inactive participants	2019-01-01	301
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	1
Total participants	2019-01-01	302
Number of participants with account balances	2019-01-01	266
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: HUDSON RIVER TRADING, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	186
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	202
Number of retired or separated participants receiving benefits	2018-01-01	2
Number of other retired or separated participants entitled to future benefits	2018-01-01	42
Total of all active and inactive participants	2018-01-01	246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	246
Number of participants with account balances	2018-01-01	216
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: HUDSON RIVER TRADING, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	166
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	151
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	26
Total of all active and inactive participants	2017-01-01	177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	177
Number of participants with account balances	2017-01-01	150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: HUDSON RIVER TRADING, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	133
Number of retired or separated participants receiving benefits	2016-01-01	5
Number of other retired or separated participants entitled to future benefits	2016-01-01	28
Total of all active and inactive participants	2016-01-01	166
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	166
Number of participants with account balances	2016-01-01	125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0

Financial Data on HUDSON RIVER TRADING, LLC 401(K) PLAN

Measure	Date	Value
2022 : HUDSON RIVER TRADING, LLC 401(K) PLAN 2022 401k financial data
Unrealized appreciation/depreciation of real estate assets	2022-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2022-12-31	$-2,260
Total unrealized appreciation/depreciation of assets	2022-12-31	$-2,260
Total transfer of assets to this plan	2022-12-31	$0
Total transfer of assets from this plan	2022-12-31	$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
Expenses. Interest paid	2022-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$9,037,701
Total loss/gain on sale of assets	2022-12-31	$154
Total of all expenses incurred	2022-12-31	$5,430,261
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$5,353,425
Expenses. Certain deemed distributions of participant loans	2022-12-31	$0
Value of total corrective distributions	2022-12-31	$2,638
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$19,689,955
Value of total assets at end of year	2022-12-31	$54,524,181
Value of total assets at beginning of year	2022-12-31	$50,916,741
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$74,198
Total income from rents	2022-12-31	$0
Total interest from all sources	2022-12-31	$2,821
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$1,753,278
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$1,752,955
Assets. Real estate other than employer real property at end of year	2022-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2022-12-31	$0
Administrative expenses professional fees incurred	2022-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2022-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2022-12-31	$0
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$16,526,108
Participant contributions at end of year	2022-12-31	$0
Participant contributions at beginning of year	2022-12-31	$5,617
Participant contributions at end of year	2022-12-31	$0
Participant contributions at beginning of year	2022-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2022-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2022-12-31	$1,765,893
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$3,163,847
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2022-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-12-31	$0
Assets. Loans (other than to participants) at end of year	2022-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2022-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$0
Other income not declared elsewhere	2022-12-31	$-717,044
Administrative expenses (other) incurred	2022-12-31	$74,198
Liabilities. Value of operating payables at end of year	2022-12-31	$0
Liabilities. Value of operating payables at beginning of year	2022-12-31	$0
Total non interest bearing cash at end of year	2022-12-31	$2,500
Total non interest bearing cash at beginning of year	2022-12-31	$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	2022-12-31	No
Income. Non cash contributions	2022-12-31	$0
Value of net income/loss	2022-12-31	$3,607,440
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$54,524,181
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$50,916,741
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Assets. partnership/joint venture interests at end of year	2022-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2022-12-31	$0
Investment advisory and management fees	2022-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$52,057,072
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$47,909,618
Value of interest in pooled separate accounts at end of year	2022-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$0
Interest on participant loans	2022-12-31	$85
Income. Interest from loans (other than to participants)	2022-12-31	$0
Interest earned on other investments	2022-12-31	$0
Income. Interest from US Government securities	2022-12-31	$0
Income. Interest from corporate debt instruments	2022-12-31	$0
Value of interest in master investment trust accounts at end of year	2022-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2022-12-31	$0
Value of interest in common/collective trusts at end of year	2022-12-31	$1,767,338
Value of interest in common/collective trusts at beginning of year	2022-12-31	$1,235,613
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$239,120
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$2,736
Assets. Value of investments in 103.12 investment entities at end of year	2022-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2022-12-31	$0
Asset value of US Government securities at end of year	2022-12-31	$0
Asset value of US Government securities at beginning of year	2022-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-11,718,304
Net investment gain/loss from pooled separate accounts	2022-12-31	$0
Net investment gain or loss from common/collective trusts	2022-12-31	$29,101
Net gain/loss from 103.12 investment entities	2022-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Assets. Invements in employer securities at end of year	2022-12-31	$0
Assets. Invements in employer securities at beginning of year	2022-12-31	$0
Assets. Value of employer real property at end of year	2022-12-31	$0
Assets. Value of employer real property at beginning of year	2022-12-31	$0
Contributions received in cash from employer	2022-12-31	$0
Employer contributions (assets) at end of year	2022-12-31	$0
Employer contributions (assets) at beginning of year	2022-12-31	$0
Income. Dividends from preferred stock	2022-12-31	$0
Income. Dividends from common stock	2022-12-31	$323
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$5,353,425
Asset. Corporate debt instrument preferred debt at end of year	2022-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2022-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2022-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2022-12-31	$0
Contract administrator fees	2022-12-31	$0
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	2022-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2022-12-31	$458,151
Assets. Corporate common stocks other than exployer securities at beginning of year	2022-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2022-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2022-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2022-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2022-12-31	$0
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Aggregate proceeds on sale of assets	2022-12-31	$1,180
Aggregate carrying amount (costs) on sale of assets	2022-12-31	$1,026
Liabilities. Value of acquisition indebtedness at end of year	2022-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2022-12-31	$0
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2022-12-31	043499945
2021 : HUDSON RIVER TRADING, LLC 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$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	$19,757,709
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$9,988,997
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$9,944,537
Value of total corrective distributions	2021-12-31	$250
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$12,589,161
Value of total assets at end of year	2021-12-31	$50,916,741
Value of total assets at beginning of year	2021-12-31	$41,148,029
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$44,210
Total interest from all sources	2021-12-31	$670
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$2,068,406
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$2,068,406
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$11,784,786
Participant contributions at end of year	2021-12-31	$5,617
Participant contributions at beginning of year	2021-12-31	$34,211
Participant contributions at end of year	2021-12-31	$0
Participant contributions at beginning of year	2021-12-31	$237,726
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$1,765,893
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$712,680
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$804,375
Other income not declared elsewhere	2021-12-31	$262,495
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$9,768,712
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$50,916,741
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$41,148,029
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$47,909,618
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$38,122,776
Interest on participant loans	2021-12-31	$670
Value of interest in common/collective trusts at end of year	2021-12-31	$1,235,613
Value of interest in common/collective trusts at beginning of year	2021-12-31	$2,040,636
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$4,836,977
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$9,944,537
Contract administrator fees	2021-12-31	$44,210
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2021-12-31	043499945
2020 : HUDSON RIVER TRADING, LLC 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$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	$15,311,695
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$4,249,642
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$4,217,960
Value of total corrective distributions	2020-12-31	$266
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$9,085,731
Value of total assets at end of year	2020-12-31	$41,148,029
Value of total assets at beginning of year	2020-12-31	$30,085,976
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$31,416
Total interest from all sources	2020-12-31	$2,329
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$1,264,976
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$1,264,976
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$8,697,947
Participant contributions at end of year	2020-12-31	$34,211
Participant contributions at beginning of year	2020-12-31	$54,392
Participant contributions at end of year	2020-12-31	$237,726
Participant contributions at beginning of year	2020-12-31	$99,702
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$712,680
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$454,255
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$387,784
Other income not declared elsewhere	2020-12-31	$247,862
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$11,062,053
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$41,148,029
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$30,085,976
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$38,122,776
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$27,433,871
Interest on participant loans	2020-12-31	$2,329
Value of interest in common/collective trusts at end of year	2020-12-31	$2,040,636
Value of interest in common/collective trusts at beginning of year	2020-12-31	$2,043,756
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$4,710,797
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$4,217,960
Contract administrator fees	2020-12-31	$31,416
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2020-12-31	043499945
2019 : HUDSON RIVER TRADING, LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$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	$12,697,441
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$3,314,782
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$3,287,639
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$7,473,636
Value of total assets at end of year	2019-12-31	$30,085,976
Value of total assets at beginning of year	2019-12-31	$20,703,317
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$27,143
Total interest from all sources	2019-12-31	$4,704
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$983,449
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$983,449
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$6,950,687
Participant contributions at end of year	2019-12-31	$54,392
Participant contributions at beginning of year	2019-12-31	$78,764
Participant contributions at end of year	2019-12-31	$99,702
Participant contributions at beginning of year	2019-12-31	$78,046
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$454,255
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$265,879
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$522,949
Other income not declared elsewhere	2019-12-31	$1,068
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$9,382,659
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$30,085,976
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$20,703,317
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$27,433,871
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$20,280,628
Interest on participant loans	2019-12-31	$4,704
Value of interest in common/collective trusts at end of year	2019-12-31	$2,043,756
Value of interest in common/collective trusts at beginning of year	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$4,233,595
Net investment gain or loss from common/collective trusts	2019-12-31	$989
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$3,287,639
Contract administrator fees	2019-12-31	$27,143
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2019-12-31	043499945
2018 : HUDSON RIVER TRADING, LLC 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$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	$7,329,963
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,722,038
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,702,434
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$8,551,204
Value of total assets at end of year	2018-12-31	$20,703,317
Value of total assets at beginning of year	2018-12-31	$15,095,392
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$19,604
Total interest from all sources	2018-12-31	$1,449
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,020,954
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,020,954
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$5,423,002
Participant contributions at end of year	2018-12-31	$78,764
Participant contributions at beginning of year	2018-12-31	$0
Participant contributions at end of year	2018-12-31	$78,046
Participant contributions at beginning of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$265,879
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$151,498
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$3,128,202
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$5,607,925
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$20,703,317
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$15,095,392
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$20,280,628
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$14,943,894
Interest on participant loans	2018-12-31	$1,449
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-2,243,644
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,702,434
Contract administrator fees	2018-12-31	$19,604
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2018-12-31	043499945
2017 : HUDSON RIVER TRADING, LLC 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$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	$6,043,668
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,215,900
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,200,526
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$3,883,540
Value of total assets at end of year	2017-12-31	$15,095,392
Value of total assets at beginning of year	2017-12-31	$11,267,624
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$15,374
Total interest from all sources	2017-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$569,646
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$569,646
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$3,883,540
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$141
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$151,498
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$159,398
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$3,827,768
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$15,095,392
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$11,267,624
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$14,943,894
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$11,108,085
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,590,482
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,200,526
Contract administrator fees	2017-12-31	$15,374
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2017-12-31	043499945
2016 : HUDSON RIVER TRADING, LLC 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$4,137,571
Total of all expenses incurred	2016-12-31	$1,270,964
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,255,653
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$3,217,137
Value of total assets at end of year	2016-12-31	$11,267,624
Value of total assets at beginning of year	2016-12-31	$8,401,017
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$15,311
Total interest from all sources	2016-12-31	$279
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$289,376
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$289,376
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$3,181,237
Participant contributions at end of year	2016-12-31	$141
Participant contributions at beginning of year	2016-12-31	$17,283
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$159,398
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$179,731
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$35,900
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$2,866,607
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$11,267,624
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$8,401,017
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$11,108,085
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$8,204,003
Interest on participant loans	2016-12-31	$279
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$630,779
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,255,653
Contract administrator fees	2016-12-31	$15,311
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2016-12-31	043499945

Form 5500 Responses for HUDSON RIVER TRADING, LLC 401(K) PLAN

2022: HUDSON RIVER TRADING, LLC 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: HUDSON RIVER TRADING, LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: HUDSON RIVER TRADING, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: HUDSON RIVER TRADING, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: HUDSON RIVER TRADING, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: HUDSON RIVER TRADING, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	Yes
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: HUDSON RIVER TRADING, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	HUDSON RIVER TRADING, LLC
Employer identification number (EIN):	450465436
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3489222