401k Plan data: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN plan

NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
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

NORTHROAD CAPITAL MANAGEMENT, LLC has sponsored the creation of one or more 401k plans.

Company Name: NORTHROAD CAPITAL MANAGEMENT, LLC

Employer identification number (EIN): 043665171

NAIC Classification: 523900

Additional information about NORTHROAD CAPITAL MANAGEMENT, LLC

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 2002-05-07

Company Identification Number: 2764219

Legal Registered Office Address: 550 SCIENCE DRIVE
NEW YORK
MADISON
United States of America (USA)
53711

More information about NORTHROAD CAPITAL MANAGEMENT, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 BART SARGENT 2017-11-29 BART SARGENT 2017-11-29
001 2016-01-01 BART SARGENT 2017-07-25 BART SARGENT 2017-07-25
001 2015-01-01 DENISE AMAYA-RODRIGUEZ 2016-07-14 DENISE AMAYA-RODRIGUEZ 2016-07-14
001 2014-01-01 JAMES SHORE
001 2014-01-01 JAMES SHORE
001 2013-01-01 DENISE AMAYA-RODRIGUEZ
001 2012-01-01 DENISE AMAYA-RODRIGUEZ
001 2011-01-01 DENISE RODRIGUEZ
001 2009-01-01 KEVIN AARONS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	BART SARGENT	2017-11-29	BART SARGENT	2017-11-29
001	2016-01-01	BART SARGENT	2017-07-25	BART SARGENT	2017-07-25
001	2015-01-01	DENISE AMAYA-RODRIGUEZ	2016-07-14	DENISE AMAYA-RODRIGUEZ	2016-07-14
001	2014-01-01	JAMES SHORE
001	2014-01-01	JAMES SHORE
001	2013-01-01	DENISE AMAYA-RODRIGUEZ
001	2012-01-01	DENISE AMAYA-RODRIGUEZ
001	2011-01-01	DENISE RODRIGUEZ
001	2009-01-01	KEVIN AARONS

Plan Statistics for NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 5
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 5
Total of all active and inactive participants 2014-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 10
Number of participants with account balances 2014-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 5
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 5
Total of all active and inactive participants 2013-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 10
Number of participants with account balances 2013-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 6
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 9
Number of participants with account balances 2012-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 7
Number of retired or separated participants receiving benefits 2011-01-01 0
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 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 11
Number of participants with account balances 2011-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 9
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 2
Total of all active and inactive participants 2009-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 11
Number of participants with account balances 2009-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	5
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	5
Total of all active and inactive participants	2014-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	10
Number of participants with account balances	2014-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	5
Total of all active and inactive participants	2013-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	10
Number of participants with account balances	2013-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	6
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	9
Number of participants with account balances	2012-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	7
Number of retired or separated participants receiving benefits	2011-01-01	0
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	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	11
Number of participants with account balances	2011-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	9
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	2
Total of all active and inactive participants	2009-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	11
Number of participants with account balances	2009-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$99,929
Expenses. Total of all expenses incurred	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$1,356,035
Total plan assets at beginning of year	2014-12-31	$1,256,106
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$78,355
Other income received	2014-12-31	$19,624
Net income (gross income less expenses)	2014-12-31	$99,929
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,356,035
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,256,106
Total contributions received or receivable from employer(s)	2014-12-31	$1,950
2013 : NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$344,783
Expenses. Total of all expenses incurred	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$1,256,106
Total plan assets at beginning of year	2013-12-31	$911,323
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$98,500
Other income received	2013-12-31	$245,245
Net income (gross income less expenses)	2013-12-31	$344,783
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,256,106
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$911,323
Total contributions received or receivable from employer(s)	2013-12-31	$1,038
2012 : NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$208,962
Expenses. Total of all expenses incurred	2012-12-31	$265,314
Benefits paid (including direct rollovers)	2012-12-31	$265,059
Total plan assets at end of year	2012-12-31	$911,323
Total plan assets at beginning of year	2012-12-31	$967,675
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$97,658
Other income received	2012-12-31	$109,149
Net income (gross income less expenses)	2012-12-31	$-56,352
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$911,323
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$967,675
Total contributions received or receivable from employer(s)	2012-12-31	$2,155
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$255
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total income from all sources	2011-12-31	$109,230
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$967,675
Total plan assets at beginning of year	2011-12-31	$858,445
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$137,083
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-27,853
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$109,230
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$967,675
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$858,445
Total contributions received or receivable from employer(s)	2011-12-31	$0
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total income from all sources	2010-12-31	$187,352
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$858,445
Total plan assets at beginning of year	2010-12-31	$671,093
Total contributions received or receivable from participants	2010-12-31	$118,250
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$9,897
Other income received	2010-12-31	$59,205
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$187,352
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$858,445
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$671,093
Total contributions received or receivable from employer(s)	2010-12-31	$0
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0

Form 5500 Responses for NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN

2014: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
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: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING 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: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING 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: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING 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
2009: NORTHROAD CAPITAL MANAGEMENT, LLC 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NORTHROAD CAPITAL MANAGEMENT, LLC
Employer identification number (EIN):	043665171
NAIC Classification:	523900

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	2002-05-07
Company Identification Number:	2764219
Legal Registered Office Address:	550 SCIENCE DRIVE NEW YORK MADISON United States of America (USA) 53711