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CRT CAPITAL GROUP LLC RETIREMENT PLAN 401k Plan overview

Plan NameCRT CAPITAL GROUP LLC RETIREMENT PLAN
Plan identification number 001

CRT CAPITAL GROUP LLC RETIREMENT PLAN Benefits

401k Plan TypeDefined 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.
  • 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) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CRT CAPITAL GROUP LLC has sponsored the creation of one or more 401k plans.

Company Name:CRT CAPITAL GROUP LLC
Employer identification number (EIN):061386357
NAIC Classification:523900

Additional information about CRT CAPITAL GROUP LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 5103957

More information about CRT CAPITAL GROUP LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CRT CAPITAL GROUP LLC RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012016-01-01BRIAN WATSON
0012015-01-01ROBERT TUITE
0012014-01-01ELENA VITOLO
0012013-01-01ROBERT TUITE ROBERT TUITE2014-09-18
0012012-01-01ROBERT TUITE ROBERT TUITE2013-09-18
0012011-01-01ROBERT TUITE ROBERT TUITE2012-09-24
0012009-01-01JOHN PIDLIPCHAK JOHN PIDLIPCHAK2010-07-22
0012009-01-01JOHN PIDLIPCHAK JOHN PIDLIPCHAK2010-07-22

Plan Statistics for CRT CAPITAL GROUP LLC RETIREMENT PLAN

401k plan membership statisitcs for CRT CAPITAL GROUP LLC RETIREMENT PLAN

Measure Date Value
2016: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01390
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Number of participants with account balances2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01303
Total number of active participants reported on line 7a of the Form 55002015-01-01287
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01103
Total of all active and inactive participants2015-01-01390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01390
Number of participants with account balances2015-01-01260
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01342
Total number of active participants reported on line 7a of the Form 55002014-01-01226
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-0176
Total of all active and inactive participants2014-01-01303
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01303
Number of participants with account balances2014-01-01223
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01364
Total number of active participants reported on line 7a of the Form 55002013-01-01264
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0178
Total of all active and inactive participants2013-01-01342
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01342
Number of participants with account balances2013-01-01240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01326
Total number of active participants reported on line 7a of the Form 55002012-01-01301
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0163
Total of all active and inactive participants2012-01-01364
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01364
Number of participants with account balances2012-01-01231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01253
Total number of active participants reported on line 7a of the Form 55002011-01-01261
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0164
Total of all active and inactive participants2011-01-01325
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01325
Number of participants with account balances2011-01-01184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01185
Total number of active participants reported on line 7a of the Form 55002009-01-01145
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0163
Total of all active and inactive participants2009-01-01208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01208
Number of participants with account balances2009-01-01141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on CRT CAPITAL GROUP LLC RETIREMENT PLAN

Measure Date Value
2016 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2016 401k financial data
Total income from all sources (including contributions)2016-12-29$3,118,244
Total of all expenses incurred2016-12-29$21,403,304
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-29$21,302,181
Value of total corrective distributions2016-12-29$26,302
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-29$2,129,992
Value of total assets at end of year2016-12-29$0
Value of total assets at beginning of year2016-12-29$18,285,060
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-29$74,821
Total interest from all sources2016-12-29$12,796
Total dividends received (eg from common stock, registered investment company shares)2016-12-29$104,694
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-29Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-12-29$0
Total dividends received from registered investment company shares (eg mutual funds)2016-12-29$104,694
Administrative expenses professional fees incurred2016-12-29$8,285
Assets. Corporate prefeered stocks other than exployer securities at end of year2016-12-29$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2016-12-29$0
Was this plan covered by a fidelity bond2016-12-29Yes
Value of fidelity bond cover2016-12-29$1,000,000
If this is an individual account plan, was there a blackout period2016-12-29No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-29$0
Were there any nonexempt tranactions with any party-in-interest2016-12-29No
Contributions received from participants2016-12-29$1,818,751
Participant contributions at end of year2016-12-29$0
Participant contributions at beginning of year2016-12-29$344,919
Assets. Other investments not covered elsewhere at end of year2016-12-29$0
Assets. Other investments not covered elsewhere at beginning of year2016-12-29$802,642
Income. Received or receivable in cash from other sources (including rollovers)2016-12-29$311,241
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-29$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-29$618
Other income not declared elsewhere2016-12-29$16,408
Administrative expenses (other) incurred2016-12-29$66,536
Total non interest bearing cash at end of year2016-12-29$0
Total non interest bearing cash at beginning of year2016-12-29$550
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-29No
Value of net income/loss2016-12-29$-18,285,060
Value of net assets at end of year (total assets less liabilities)2016-12-29$0
Value of net assets at beginning of year (total assets less liabilities)2016-12-29$18,285,060
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-29No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-29No
Were any leases to which the plan was party in default or uncollectible2016-12-29No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-29$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-29$13,671,208
Interest on participant loans2016-12-29$12,796
Value of interest in common/collective trusts at end of year2016-12-29$0
Value of interest in common/collective trusts at beginning of year2016-12-29$3,465,123
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-29$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-29$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-29$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-29$810,549
Net investment gain or loss from common/collective trusts2016-12-29$43,805
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-29No
Was there a failure to transmit to the plan any participant contributions2016-12-29No
Has the plan failed to provide any benefit when due under the plan2016-12-29No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-29$21,302,181
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-29No
Did the plan have assets held for investment2016-12-29No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-29No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-29Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-29Yes
Opinion of an independent qualified public accountant for this plan2016-12-29Disclaimer
Accountancy firm name2016-12-29KASS & JAFF, P.C.
Accountancy firm EIN2016-12-29133551137
2015 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$3,135,665
Total of all expenses incurred2015-12-31$2,880,395
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,737,732
Value of total corrective distributions2015-12-31$47,512
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,356,170
Value of total assets at end of year2015-12-31$18,285,060
Value of total assets at beginning of year2015-12-31$18,029,790
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$95,151
Total interest from all sources2015-12-31$14,761
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$196,592
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$196,592
Assets. Corporate prefeered stocks other than exployer securities at end of year2015-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2015-12-31$90,915
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$2,491,088
Participant contributions at end of year2015-12-31$344,919
Participant contributions at beginning of year2015-12-31$263,169
Assets. Other investments not covered elsewhere at end of year2015-12-31$802,642
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$865,082
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$618
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$452
Other income not declared elsewhere2015-12-31$-47,701
Administrative expenses (other) incurred2015-12-31$95,151
Total non interest bearing cash at end of year2015-12-31$550
Total non interest bearing cash at beginning of year2015-12-31$147
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$255,270
Value of net assets at end of year (total assets less liabilities)2015-12-31$18,285,060
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$18,029,790
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$13,671,208
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$14,038,284
Interest on participant loans2015-12-31$14,761
Value of interest in common/collective trusts at end of year2015-12-31$3,465,123
Value of interest in common/collective trusts at beginning of year2015-12-31$3,350,360
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$286,463
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$286,463
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-434,626
Net investment gain or loss from common/collective trusts2015-12-31$50,469
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,737,732
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31KASS & JAFFE, P.C.
Accountancy firm EIN2015-12-31133551137
2014 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$3,411,715
Total of all expenses incurred2014-12-31$3,741,059
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$3,739,479
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,742,083
Value of total assets at end of year2014-12-31$18,029,790
Value of total assets at beginning of year2014-12-31$18,359,134
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,580
Total interest from all sources2014-12-31$8,687
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$150,089
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$150,089
Assets. Corporate prefeered stocks other than exployer securities at end of year2014-12-31$90,915
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2014-12-31$692,829
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$2,220,786
Participant contributions at end of year2014-12-31$263,169
Participant contributions at beginning of year2014-12-31$129,068
Participant contributions at beginning of year2014-12-31$91,135
Assets. Other investments not covered elsewhere at end of year2014-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$521,297
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$452
Other income not declared elsewhere2014-12-31$0
Administrative expenses (other) incurred2014-12-31$1,580
Total non interest bearing cash at end of year2014-12-31$147
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-329,344
Value of net assets at end of year (total assets less liabilities)2014-12-31$18,029,790
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$18,359,134
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$14,038,284
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$205,998
Value of interest in pooled separate accounts at beginning of year2014-12-31$16,019,668
Interest on participant loans2014-12-31$8,687
Interest earned on other investments2014-12-31$0
Value of interest in common/collective trusts at end of year2014-12-31$3,350,360
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$286,463
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$133,365
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$133,365
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$1,087,071
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$474,095
Net investment gain/loss from pooled separate accounts2014-12-31$7,838
Net investment gain or loss from common/collective trusts2014-12-31$28,923
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$3,739,479
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31Yes
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31KASS & JAFFE, P.C.
Accountancy firm EIN2014-12-31133551137
2013 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets2013-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$158,304
Total unrealized appreciation/depreciation of assets2013-12-31$158,304
Total transfer of assets to this plan2013-12-31$0
Total transfer of assets from this plan2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Expenses. Interest paid2013-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022013-12-31$0
Total income from all sources (including contributions)2013-12-31$6,198,541
Total loss/gain on sale of assets2013-12-31$-4,838
Total of all expenses incurred2013-12-31$1,295,447
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,282,656
Expenses. Certain deemed distributions of participant loans2013-12-31$0
Value of total corrective distributions2013-12-31$11,695
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,458,905
Value of total assets at end of year2013-12-31$18,359,134
Value of total assets at beginning of year2013-12-31$13,456,040
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$1,096
Total income from rents2013-12-31$0
Total interest from all sources2013-12-31$5,126
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$43,288
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$0
Assets. Real estate other than employer real property at end of year2013-12-31$0
Assets. Real estate other than employer real property at beginning of year2013-12-31$0
Administrative expenses professional fees incurred2013-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2013-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2013-12-31$0
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$2,487,779
Participant contributions at end of year2013-12-31$129,068
Participant contributions at beginning of year2013-12-31$73,626
Participant contributions at end of year2013-12-31$91,135
Participant contributions at beginning of year2013-12-31$110,498
Assets. Other investments not covered elsewhere at end of year2013-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$971,126
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Assets. Loans (other than to participants) at end of year2013-12-31$0
Assets. Loans (other than to participants) at beginning of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$0
Other income not declared elsewhere2013-12-31$1,493
Administrative expenses (other) incurred2013-12-31$0
Liabilities. Value of operating payables at end of year2013-12-31$0
Liabilities. Value of operating payables at beginning of year2013-12-31$0
Total non interest bearing cash at end of year2013-12-31$0
Total non interest bearing cash at beginning of year2013-12-31$79,500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Income. Non cash contributions2013-12-31$0
Value of net income/loss2013-12-31$4,903,094
Value of net assets at end of year (total assets less liabilities)2013-12-31$18,359,134
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$13,456,040
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Assets. partnership/joint venture interests at end of year2013-12-31$0
Assets. partnership/joint venture interests at beginning of year2013-12-31$0
Investment advisory and management fees2013-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$205,998
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$293,957
Value of interest in pooled separate accounts at end of year2013-12-31$16,019,668
Value of interest in pooled separate accounts at beginning of year2013-12-31$11,198,768
Interest on participant loans2013-12-31$5,126
Income. Interest from loans (other than to participants)2013-12-31$0
Interest earned on other investments2013-12-31$0
Income. Interest from US Government securities2013-12-31$0
Income. Interest from corporate debt instruments2013-12-31$0
Value of interest in master investment trust accounts at end of year2013-12-31$0
Value of interest in master investment trust accounts at beginning of year2013-12-31$0
Value of interest in common/collective trusts at end of year2013-12-31$0
Value of interest in common/collective trusts at beginning of year2013-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$133,365
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$259,001
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$259,001
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2013-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2013-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$1,087,071
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$1,028,031
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$0
Asset value of US Government securities at end of year2013-12-31$0
Asset value of US Government securities at beginning of year2013-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$2,536,263
Net investment gain/loss from pooled separate accounts2013-12-31$0
Net investment gain or loss from common/collective trusts2013-12-31$0
Net gain/loss from 103.12 investment entities2013-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$0
Assets. Invements in employer securities at beginning of year2013-12-31$0
Assets. Value of employer real property at end of year2013-12-31$0
Assets. Value of employer real property at beginning of year2013-12-31$0
Contributions received in cash from employer2013-12-31$0
Employer contributions (assets) at end of year2013-12-31$0
Employer contributions (assets) at beginning of year2013-12-31$0
Income. Dividends from common stock2013-12-31$43,288
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,282,656
Asset. Corporate debt instrument preferred debt at end of year2013-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2013-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2013-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2013-12-31$0
Contract administrator fees2013-12-31$1,096
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$692,829
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$412,659
Liabilities. Value of benefit claims payable at end of year2013-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2013-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2013-12-31$0
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$145,146
Aggregate carrying amount (costs) on sale of assets2013-12-31$149,984
Liabilities. Value of acquisition indebtedness at end of year2013-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2013-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31KASS & JAFFE, P.C.
Accountancy firm EIN2013-12-31133551134
2012 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets2012-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$49,647
Total unrealized appreciation/depreciation of assets2012-12-31$49,647
Total transfer of assets to this plan2012-12-31$0
Total transfer of assets from this plan2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$2,218
Expenses. Interest paid2012-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022012-12-31$0
Total income from all sources (including contributions)2012-12-31$3,586,486
Total loss/gain on sale of assets2012-12-31$-7,401
Total of all expenses incurred2012-12-31$1,163,474
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,163,065
Expenses. Certain deemed distributions of participant loans2012-12-31$0
Value of total corrective distributions2012-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$2,406,040
Value of total assets at end of year2012-12-31$13,456,040
Value of total assets at beginning of year2012-12-31$11,035,246
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$409
Total income from rents2012-12-31$0
Total interest from all sources2012-12-31$2,971
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$31,938
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$0
Assets. Real estate other than employer real property at end of year2012-12-31$0
Assets. Real estate other than employer real property at beginning of year2012-12-31$0
Administrative expenses professional fees incurred2012-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2012-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2012-12-31$0
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$2,315,581
Participant contributions at end of year2012-12-31$73,626
Participant contributions at beginning of year2012-12-31$16,135
Participant contributions at end of year2012-12-31$110,498
Participant contributions at beginning of year2012-12-31$109,050
Assets. Other investments not covered elsewhere at end of year2012-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$90,459
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$0
Assets. Loans (other than to participants) at end of year2012-12-31$0
Assets. Loans (other than to participants) at beginning of year2012-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$2,218
Other income not declared elsewhere2012-12-31$94
Administrative expenses (other) incurred2012-12-31$0
Liabilities. Value of operating payables at end of year2012-12-31$0
Liabilities. Value of operating payables at beginning of year2012-12-31$0
Total non interest bearing cash at end of year2012-12-31$79,500
Total non interest bearing cash at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Income. Non cash contributions2012-12-31$0
Value of net income/loss2012-12-31$2,423,012
Value of net assets at end of year (total assets less liabilities)2012-12-31$13,456,040
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$11,033,028
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Assets. partnership/joint venture interests at end of year2012-12-31$0
Assets. partnership/joint venture interests at beginning of year2012-12-31$0
Investment advisory and management fees2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$293,957
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$298,043
Value of interest in pooled separate accounts at end of year2012-12-31$11,198,768
Value of interest in pooled separate accounts at beginning of year2012-12-31$9,585,279
Interest on participant loans2012-12-31$2,970
Income. Interest from loans (other than to participants)2012-12-31$0
Interest earned on other investments2012-12-31$0
Income. Interest from US Government securities2012-12-31$0
Income. Interest from corporate debt instruments2012-12-31$0
Value of interest in master investment trust accounts at end of year2012-12-31$0
Value of interest in master investment trust accounts at beginning of year2012-12-31$0
Value of interest in common/collective trusts at end of year2012-12-31$0
Value of interest in common/collective trusts at beginning of year2012-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$259,001
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$233,804
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$233,804
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$1
Assets. Value of investments in 103.12 investment entities at end of year2012-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$1,028,031
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$425,081
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$0
Asset value of US Government securities at end of year2012-12-31$0
Asset value of US Government securities at beginning of year2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,103,197
Net investment gain/loss from pooled separate accounts2012-12-31$0
Net investment gain or loss from common/collective trusts2012-12-31$0
Net gain/loss from 103.12 investment entities2012-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Assets. Invements in employer securities at end of year2012-12-31$0
Assets. Invements in employer securities at beginning of year2012-12-31$0
Assets. Value of employer real property at end of year2012-12-31$0
Assets. Value of employer real property at beginning of year2012-12-31$0
Contributions received in cash from employer2012-12-31$0
Employer contributions (assets) at end of year2012-12-31$0
Employer contributions (assets) at beginning of year2012-12-31$0
Income. Dividends from preferred stock2012-12-31$0
Income. Dividends from common stock2012-12-31$31,938
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,163,065
Asset. Corporate debt instrument preferred debt at end of year2012-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2012-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2012-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2012-12-31$0
Contract administrator fees2012-12-31$409
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$412,659
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$367,854
Liabilities. Value of benefit claims payable at end of year2012-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2012-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2012-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2012-12-31$0
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$25,223
Aggregate carrying amount (costs) on sale of assets2012-12-31$32,624
Liabilities. Value of acquisition indebtedness at end of year2012-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2012-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31KASS & JAFFE, P.C.
Accountancy firm EIN2012-12-31133551134
2011 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets2011-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-204,152
Total unrealized appreciation/depreciation of assets2011-12-31$-204,152
Total transfer of assets to this plan2011-12-31$0
Total transfer of assets from this plan2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$2,218
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Expenses. Interest paid2011-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022011-12-31$0
Total income from all sources (including contributions)2011-12-31$1,358,326
Total loss/gain on sale of assets2011-12-31$263,669
Total of all expenses incurred2011-12-31$2,524,150
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,514,598
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Value of total corrective distributions2011-12-31$8,877
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,562,347
Value of total assets at end of year2011-12-31$11,035,246
Value of total assets at beginning of year2011-12-31$12,198,852
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$675
Total income from rents2011-12-31$0
Total interest from all sources2011-12-31$1,089
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$28,614
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$0
Assets. Real estate other than employer real property at end of year2011-12-31$0
Assets. Real estate other than employer real property at beginning of year2011-12-31$0
Administrative expenses professional fees incurred2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,408,362
Participant contributions at end of year2011-12-31$16,135
Participant contributions at beginning of year2011-12-31$26,142
Participant contributions at end of year2011-12-31$109,050
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$153,985
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$0
Assets. Loans (other than to participants) at end of year2011-12-31$0
Assets. Loans (other than to participants) at beginning of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$2,218
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$0
Administrative expenses (other) incurred2011-12-31$0
Liabilities. Value of operating payables at end of year2011-12-31$0
Liabilities. Value of operating payables at beginning of year2011-12-31$0
Total non interest bearing cash at end of year2011-12-31$0
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Income. Non cash contributions2011-12-31$0
Value of net income/loss2011-12-31$-1,165,824
Value of net assets at end of year (total assets less liabilities)2011-12-31$11,033,028
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$12,198,852
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at end of year2011-12-31$0
Assets. partnership/joint venture interests at beginning of year2011-12-31$0
Investment advisory and management fees2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$298,043
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$776,807
Value of interest in pooled separate accounts at end of year2011-12-31$9,585,279
Value of interest in pooled separate accounts at beginning of year2011-12-31$9,841,754
Interest on participant loans2011-12-31$1,089
Income. Interest from loans (other than to participants)2011-12-31$0
Interest earned on other investments2011-12-31$0
Income. Interest from US Government securities2011-12-31$0
Income. Interest from corporate debt instruments2011-12-31$0
Value of interest in master investment trust accounts at end of year2011-12-31$0
Value of interest in master investment trust accounts at beginning of year2011-12-31$0
Value of interest in common/collective trusts at end of year2011-12-31$0
Value of interest in common/collective trusts at beginning of year2011-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$233,804
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$320,350
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$320,350
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2011-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$425,081
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$567,179
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$0
Asset value of US Government securities at end of year2011-12-31$0
Asset value of US Government securities at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-293,241
Net investment gain/loss from pooled separate accounts2011-12-31$0
Net investment gain or loss from common/collective trusts2011-12-31$0
Net gain/loss from 103.12 investment entities2011-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$0
Assets. Invements in employer securities at beginning of year2011-12-31$0
Assets. Value of employer real property at end of year2011-12-31$0
Assets. Value of employer real property at beginning of year2011-12-31$0
Contributions received in cash from employer2011-12-31$0
Employer contributions (assets) at end of year2011-12-31$0
Employer contributions (assets) at beginning of year2011-12-31$0
Income. Dividends from preferred stock2011-12-31$0
Income. Dividends from common stock2011-12-31$28,614
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,514,598
Asset. Corporate debt instrument preferred debt at end of year2011-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$0
Contract administrator fees2011-12-31$675
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$367,854
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$666,620
Liabilities. Value of benefit claims payable at end of year2011-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2011-12-31$0
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$727,430
Aggregate carrying amount (costs) on sale of assets2011-12-31$463,761
Liabilities. Value of acquisition indebtedness at end of year2011-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2011-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31KASS & JAFFE, P.C.
Accountancy firm EIN2011-12-31133551134
2010 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets2010-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$364,693
Total unrealized appreciation/depreciation of assets2010-12-31$364,693
Total transfer of assets to this plan2010-12-31$0
Total transfer of assets from this plan2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Expenses. Interest paid2010-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022010-12-31$0
Total income from all sources (including contributions)2010-12-31$3,117,428
Total loss/gain on sale of assets2010-12-31$54,495
Total of all expenses incurred2010-12-31$2,363,906
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,363,667
Expenses. Certain deemed distributions of participant loans2010-12-31$0
Value of total corrective distributions2010-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,590,888
Value of total assets at end of year2010-12-31$12,198,852
Value of total assets at beginning of year2010-12-31$11,445,330
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$239
Total income from rents2010-12-31$0
Total interest from all sources2010-12-31$1,673
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$20,197
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$0
Assets. Real estate other than employer real property at end of year2010-12-31$0
Assets. Real estate other than employer real property at beginning of year2010-12-31$0
Administrative expenses professional fees incurred2010-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2010-12-31$0
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,203,725
Participant contributions at end of year2010-12-31$26,142
Participant contributions at beginning of year2010-12-31$35,705
Participant contributions at beginning of year2010-12-31$0
Assets. Other investments not covered elsewhere at end of year2010-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$387,163
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$0
Assets. Loans (other than to participants) at end of year2010-12-31$0
Assets. Loans (other than to participants) at beginning of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$0
Other income not declared elsewhere2010-12-31$0
Administrative expenses (other) incurred2010-12-31$0
Liabilities. Value of operating payables at end of year2010-12-31$0
Liabilities. Value of operating payables at beginning of year2010-12-31$0
Total non interest bearing cash at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Income. Non cash contributions2010-12-31$0
Value of net income/loss2010-12-31$753,522
Value of net assets at end of year (total assets less liabilities)2010-12-31$12,198,852
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$11,445,330
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at end of year2010-12-31$0
Assets. partnership/joint venture interests at beginning of year2010-12-31$0
Investment advisory and management fees2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$776,807
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$488,715
Value of interest in pooled separate accounts at end of year2010-12-31$9,841,754
Value of interest in pooled separate accounts at beginning of year2010-12-31$9,042,397
Interest on participant loans2010-12-31$1,667
Income. Interest from loans (other than to participants)2010-12-31$0
Interest earned on other investments2010-12-31$0
Income. Interest from US Government securities2010-12-31$0
Income. Interest from corporate debt instruments2010-12-31$0
Value of interest in master investment trust accounts at end of year2010-12-31$0
Value of interest in master investment trust accounts at beginning of year2010-12-31$0
Value of interest in common/collective trusts at end of year2010-12-31$0
Value of interest in common/collective trusts at beginning of year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$320,350
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$1,029,872
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$1,029,872
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$6
Assets. Value of investments in 103.12 investment entities at end of year2010-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$567,179
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$363,264
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$0
Asset value of US Government securities at end of year2010-12-31$0
Asset value of US Government securities at beginning of year2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$0
Net investment gain/loss from pooled separate accounts2010-12-31$1,085,482
Net investment gain or loss from common/collective trusts2010-12-31$0
Net gain/loss from 103.12 investment entities2010-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$0
Assets. Invements in employer securities at beginning of year2010-12-31$0
Assets. Value of employer real property at end of year2010-12-31$0
Assets. Value of employer real property at beginning of year2010-12-31$0
Contributions received in cash from employer2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$0
Income. Dividends from preferred stock2010-12-31$0
Income. Dividends from common stock2010-12-31$20,197
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,363,667
Asset. Corporate debt instrument preferred debt at end of year2010-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$0
Contract administrator fees2010-12-31$239
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$666,620
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$485,377
Liabilities. Value of benefit claims payable at end of year2010-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2010-12-31$0
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$965,536
Aggregate carrying amount (costs) on sale of assets2010-12-31$911,041
Liabilities. Value of acquisition indebtedness at end of year2010-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2010-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31KASS & JAFFE, P.C.
Accountancy firm EIN2010-12-31133551134
2009 : CRT CAPITAL GROUP LLC RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for CRT CAPITAL GROUP LLC RETIREMENT PLAN

2016: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01This submission is the final filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: CRT CAPITAL GROUP LLC RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

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