401k Plan data: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
The employer maintaining this ESOP is an S Corporation
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

WADDELL & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: WADDELL & ASSOCIATES, INC.

Employer identification number (EIN): 592627811

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2016-01-01 DAVID S. WADDELL DAVID S. WADDELL 2017-04-21
002 2015-01-01 DAVID S. WADDELL DAVID S. WADDELL 2016-10-11
002 2014-01-01 DAVID S. WADDELL DAVID S. WADDELL 2015-10-07
002 2013-01-01 DAVID S. WADDELL DAVID S. WADDELL 2014-07-28
002 2012-01-01 DAVID WADDELL DAVID WADDELL 2013-08-27
002 2011-01-01 DAVID S. WADDELL DAVID S. WADDELL 2012-08-23
002 2010-01-01 DAVID S. WADDELL DAVID S. WADDELL 2011-07-25

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2016-01-01	DAVID S. WADDELL	DAVID S. WADDELL	2017-04-21
002	2015-01-01	DAVID S. WADDELL	DAVID S. WADDELL	2016-10-11
002	2014-01-01	DAVID S. WADDELL	DAVID S. WADDELL	2015-10-07
002	2013-01-01	DAVID S. WADDELL	DAVID S. WADDELL	2014-07-28
002	2012-01-01	DAVID WADDELL	DAVID WADDELL	2013-08-27
002	2011-01-01	DAVID S. WADDELL	DAVID S. WADDELL	2012-08-23
002	2010-01-01	DAVID S. WADDELL	DAVID S. WADDELL	2011-07-25

Plan Statistics for WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2016: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 19
Number of other retired or separated participants entitled to future benefits 2015-01-01 1
Total of all active and inactive participants 2015-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 20
Number of participants with account balances 2015-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2014: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 19
Total of all active and inactive participants 2014-01-01 19
Total participants 2014-01-01 19
Number of participants with account balances 2014-01-01 19
2013: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 16
Total of all active and inactive participants 2013-01-01 16
Total participants 2013-01-01 16
Number of participants with account balances 2013-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 13
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 14
Total participants 2012-01-01 14
Number of participants with account balances 2012-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2
2011: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 14
Total of all active and inactive participants 2011-01-01 14
Total participants 2011-01-01 14
Number of participants with account balances 2011-01-01 13
2010: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 16
Total of all active and inactive participants 2010-01-01 16
Total participants 2010-01-01 16
Number of participants with account balances 2010-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0

Measure	Date	Value
2016: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	19
Number of other retired or separated participants entitled to future benefits	2015-01-01	1
Total of all active and inactive participants	2015-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	20
Number of participants with account balances	2015-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2014: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	19
Total of all active and inactive participants	2014-01-01	19
Total participants	2014-01-01	19
Number of participants with account balances	2014-01-01	19
2013: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	16
Total of all active and inactive participants	2013-01-01	16
Total participants	2013-01-01	16
Number of participants with account balances	2013-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	13
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	14
Total participants	2012-01-01	14
Number of participants with account balances	2012-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2
2011: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	14
Total of all active and inactive participants	2011-01-01	14
Total participants	2011-01-01	14
Number of participants with account balances	2011-01-01	13
2010: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	16
Total of all active and inactive participants	2010-01-01	16
Total participants	2010-01-01	16
Number of participants with account balances	2010-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0

Financial Data on WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2016 : WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$477,426
Total income from all sources	2016-12-31	$440,426
Expenses. Total of all expenses incurred	2016-12-31	$1,155,989
Benefits paid (including direct rollovers)	2016-12-31	$1,154,910
Total plan assets at end of year	2016-12-31	$0
Total plan assets at beginning of year	2016-12-31	$1,192,989
Value of fidelity bond covering the plan	2016-12-31	$425,000
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Other income received	2016-12-31	$440,426
Net income (gross income less expenses)	2016-12-31	$-715,563
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$715,563
Assets. Value of employer securities	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$1,079
2015 : WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$477,426
Total plan liabilities at beginning of year	2015-12-31	$557,006
Total income from all sources	2015-12-31	$123,773
Expenses. Total of all expenses incurred	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$1,192,989
Total plan assets at beginning of year	2015-12-31	$1,148,796
Value of fidelity bond covering the plan	2015-12-31	$425,000
Other income received	2015-12-31	$3,541
Net income (gross income less expenses)	2015-12-31	$123,773
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$715,563
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$591,790
Assets. Value of employer securities	2015-12-31	$1,150,500
Total contributions received or receivable from employer(s)	2015-12-31	$120,232
2014 : WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$557,006
Total plan liabilities at beginning of year	2014-12-31	$631,985
Total income from all sources	2014-12-31	$261,832
Expenses. Total of all expenses incurred	2014-12-31	$36,489
Total plan assets at end of year	2014-12-31	$1,148,796
Total plan assets at beginning of year	2014-12-31	$998,432
Value of fidelity bond covering the plan	2014-12-31	$425,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$36,489
Other income received	2014-12-31	$141,600
Net income (gross income less expenses)	2014-12-31	$225,343
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$591,790
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$366,447
Assets. Value of employer securities	2014-12-31	$1,115,100
Total contributions received or receivable from employer(s)	2014-12-31	$120,232
2013 : WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$631,985
Total plan liabilities at beginning of year	2013-12-31	$702,628
Total income from all sources	2013-12-31	$252,982
Expenses. Total of all expenses incurred	2013-12-31	$42,283
Benefits paid (including direct rollovers)	2013-12-31	$1,501
Total plan assets at end of year	2013-12-31	$998,432
Total plan assets at beginning of year	2013-12-31	$858,376
Value of fidelity bond covering the plan	2013-12-31	$425,000
Expenses. Other expenses not covered elsewhere	2013-12-31	$40,782
Other income received	2013-12-31	$132,750
Net income (gross income less expenses)	2013-12-31	$210,699
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$366,447
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$155,748
Assets. Value of employer securities	2013-12-31	$973,500
Total contributions received or receivable from employer(s)	2013-12-31	$120,232
2012 : WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$702,628
Total plan liabilities at beginning of year	2012-12-31	$769,188
Total income from all sources	2012-12-31	$235,282
Expenses. Total of all expenses incurred	2012-12-31	$44,861
Total plan assets at end of year	2012-12-31	$858,376
Total plan assets at beginning of year	2012-12-31	$734,515
Value of fidelity bond covering the plan	2012-12-31	$425,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$44,861
Other income received	2012-12-31	$115,050
Net income (gross income less expenses)	2012-12-31	$190,421
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$155,748
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$-34,673
Assets. Value of employer securities	2012-12-31	$840,750
Total contributions received or receivable from employer(s)	2012-12-31	$120,232
2011 : WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$769,188
Total plan liabilities at beginning of year	2011-12-31	$831,900
Total income from all sources	2011-12-31	$14,032
Expenses. Total of all expenses incurred	2011-12-31	$48,705
Total plan assets at end of year	2011-12-31	$734,515
Total plan assets at beginning of year	2011-12-31	$831,900
Value of fidelity bond covering the plan	2011-12-31	$425,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$48,705
Other income received	2011-12-31	$-106,200
Net income (gross income less expenses)	2011-12-31	$-34,673
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$-34,673
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$0
Assets. Value of employer securities	2011-12-31	$725,700
Total contributions received or receivable from employer(s)	2011-12-31	$120,232
2010 : WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$831,900
Total plan assets at end of year	2010-12-31	$831,900
Value of fidelity bond covering the plan	2010-12-31	$250,000
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$0
Assets. Value of employer securities	2010-12-31	$831,900

Form 5500 Responses for WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2016: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP 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	Yes
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
2015: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP 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	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
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP 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: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP 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: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP 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: WADDELL & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	First time form 5500 has been submitted	Yes
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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	WADDELL & ASSOCIATES, INC.
Employer identification number (EIN):	592627811
NAIC Classification:	523900