| 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.
- Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
- 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.
- Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.
- 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)).
|
HIGHLINE FINANCIAL, LLC has sponsored the creation of one or more 401k plans.
| Measure | Date | Value |
|---|
| 2008: HIGHLINE FINANCIAL 401K PLAN 2008 401k membership |
|---|
| Total participants, beginning-of-year | 2008-01-01 | 20 |
| Total number of active participants reported on line 7a of the Form 5500 | 2008-01-01 | 30 |
| Number of retired or separated participants receiving benefits | 2008-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2008-01-01 | 8 |
| Total of all active and inactive participants | 2008-01-01 | 38 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2008-01-01 | 0 |
| Total participants | 2008-01-01 | 38 |
| Number of participants with account balances | 2008-01-01 | 28 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2008-01-01 | 4 |
| 2007: HIGHLINE FINANCIAL 401K PLAN 2007 401k membership |
|---|
| Total participants, beginning-of-year | 2007-01-01 | 19 |
| Total number of active participants reported on line 7a of the Form 5500 | 2007-01-01 | 20 |
| Number of retired or separated participants receiving benefits | 2007-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2007-01-01 | 0 |
| Total of all active and inactive participants | 2007-01-01 | 20 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2007-01-01 | 0 |
| Total participants | 2007-01-01 | 20 |
| Number of participants with account balances | 2007-01-01 | 19 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2007-01-01 | 2 |
| 2006: HIGHLINE FINANCIAL 401K PLAN 2006 401k membership |
|---|
| Total participants, beginning-of-year | 2006-11-08 | 0 |
| Total number of active participants reported on line 7a of the Form 5500 | 2006-11-08 | 19 |
| Number of retired or separated participants receiving benefits | 2006-11-08 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2006-11-08 | 0 |
| Total of all active and inactive participants | 2006-11-08 | 19 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2006-11-08 | 0 |
| Total participants | 2006-11-08 | 19 |
| Number of participants with account balances | 2006-11-08 | 19 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2006-11-08 | 0 |
| Measure | Date | Value |
|---|
| 2008 : HIGHLINE FINANCIAL 401K PLAN 2008 401k financial data |
|---|
| Total income from all sources | 2008-12-31 | $-165,734 |
| Expenses. Total of all expenses incurred | 2008-12-31 | $2,565 |
| Benefits paid (including direct rollovers) | 2008-12-31 | $1,267 |
| Total plan assets at end of year | 2008-12-31 | $494,220 |
| Total plan assets at beginning of year | 2008-12-31 | $662,519 |
| Total contributions received or receivable from participants | 2008-12-31 | $83,480 |
| Expenses. Other expenses not covered elsewhere | 2008-12-31 | $1,298 |
| Other income received | 2008-12-31 | $-274,742 |
| Net income (gross income less expenses) | 2008-12-31 | $-168,299 |
| Net plan assets at end of year (total assets less liabilities) | 2008-12-31 | $494,220 |
| Net plan assets at beginning of year (total assets less liabilities) | 2008-12-31 | $662,519 |
| Total contributions received or receivable from employer(s) | 2008-12-31 | $25,528 |
| 2007 : HIGHLINE FINANCIAL 401K PLAN 2007 401k financial data |
|---|
| Total income from all sources | 2007-12-31 | $152,408 |
| Expenses. Total of all expenses incurred | 2007-12-31 | $2,127 |
| Benefits paid (including direct rollovers) | 2007-12-31 | $430 |
| Total plan assets at end of year | 2007-12-31 | $662,519 |
| Total plan assets at beginning of year | 2007-12-31 | $512,238 |
| Value of fidelity bond covering the plan | 2007-12-31 | $500,000 |
| Total contributions received or receivable from participants | 2007-12-31 | $93,701 |
| Expenses. Other expenses not covered elsewhere | 2007-12-31 | $121 |
| Other income received | 2007-12-31 | $31,005 |
| Net income (gross income less expenses) | 2007-12-31 | $150,281 |
| Net plan assets at end of year (total assets less liabilities) | 2007-12-31 | $662,519 |
| Net plan assets at beginning of year (total assets less liabilities) | 2007-12-31 | $512,238 |
| Total contributions received or receivable from employer(s) | 2007-12-31 | $27,702 |
| Value of corrective distributions | 2007-12-31 | $1,576 |
| 2006 : HIGHLINE FINANCIAL 401K PLAN 2006 401k financial data |
|---|
| Transfers to/from the plan | 2006-12-31 | $504,804 |
| Total income from all sources | 2006-12-31 | $7,434 |
| Expenses. Total of all expenses incurred | 2006-12-31 | $0 |
| Benefits paid (including direct rollovers) | 2006-12-31 | $0 |
| Total plan assets at end of year | 2006-12-31 | $512,238 |
| Total plan assets at beginning of year | 2006-12-31 | $0 |
| Value of fidelity bond covering the plan | 2006-12-31 | $500,000 |
| Total contributions received or receivable from participants | 2006-12-31 | $9,552 |
| Expenses. Other expenses not covered elsewhere | 2006-12-31 | $0 |
| Contributions received from other sources (not participants or employers) | 2006-12-31 | $0 |
| Other income received | 2006-12-31 | $-2,118 |
| Noncash contributions received | 2006-12-31 | $0 |
| Net income (gross income less expenses) | 2006-12-31 | $7,434 |
| Net plan assets at end of year (total assets less liabilities) | 2006-12-31 | $512,238 |
| Net plan assets at beginning of year (total assets less liabilities) | 2006-12-31 | $0 |
| Total contributions received or receivable from employer(s) | 2006-12-31 | $0 |
| Value of certain deemed distributions of participant loans | 2006-12-31 | $0 |
| Value of corrective distributions | 2006-12-31 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2006-12-31 | $0 |
| 2008: HIGHLINE FINANCIAL 401K PLAN 2008 form 5500 responses |
|---|
| 2008-01-01 | Type of plan entity | Single employer plan |
| 2008-01-01 | Submission has been amended | Yes |
| 2008-01-01 | This submission is the final filing | No |
| 2008-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2008-01-01 | Plan is a collectively bargained plan | No |
| 2008-01-01 | Plan funding arrangement – Insurance | Yes |
| 2008-01-01 | Plan funding arrangement – Trust | Yes |
| 2008-01-01 | Plan benefit arrangement - Trust | Yes |
| 2007: HIGHLINE FINANCIAL 401K PLAN 2007 form 5500 responses |
|---|
| 2007-01-01 | Type of plan entity | Single employer plan |
| 2007-01-01 | Submission has been amended | Yes |
| 2007-01-01 | This submission is the final filing | No |
| 2007-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2007-01-01 | Plan is a collectively bargained plan | No |
| 2007-01-01 | Plan funding arrangement – Insurance | Yes |
| 2007-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2006: HIGHLINE FINANCIAL 401K PLAN 2006 form 5500 responses |
|---|
| 2006-11-08 | Type of plan entity | Single employer plan |
| 2006-11-08 | First time form 5500 has been submitted | Yes |
| 2006-11-08 | Submission has been amended | No |
| 2006-11-08 | This submission is the final filing | No |
| 2006-11-08 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2006-11-08 | Plan is a collectively bargained plan | No |
| 2006-11-08 | Plan funding arrangement – Insurance | Yes |
| 2006-11-08 | Plan funding arrangement – Trust | Yes |
| 2006-11-08 | Plan benefit arrangement – Insurance | Yes |
| 2006-11-08 | Plan benefit arrangement - Trust | Yes |
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