401k Plan data: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) plan

INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 401k Plan overview

Plan Name	INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K)
Plan identification number	001

INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

INSTITUTIONAL SHAREHOLDER SERVICES has sponsored the creation of one or more 401k plans.

Company Name: INSTITUTIONAL SHAREHOLDER SERVICES

Employer identification number (EIN): 061541449

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K)

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 YSA FELIX
001 2016-01-01 ALEXIS DAUR
001 2015-01-01 ALEXIS DAUR
001 2014-04-22 ALEXIS DAUR

Plan Statistics for INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K)

401k plan membership statisitcs for INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K)

Measure Date Value
2022: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2022 401k membership
Total participants, beginning-of-year 2022-01-01 985
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 762
Number of retired or separated participants receiving benefits 2022-01-01 69
Number of other retired or separated participants entitled to future benefits 2022-01-01 328
Total of all active and inactive participants 2022-01-01 1,159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 1
Total participants 2022-01-01 1,160
Number of participants with account balances 2022-01-01 1,139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 47
2021: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2021 401k membership
Total participants, beginning-of-year 2021-01-01 906
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 658
Number of retired or separated participants receiving benefits 2021-01-01 1
Number of other retired or separated participants entitled to future benefits 2021-01-01 325
Total of all active and inactive participants 2021-01-01 984
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 1
Total participants 2021-01-01 985
Number of participants with account balances 2021-01-01 960
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 46
2020: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2020 401k membership
Total participants, beginning-of-year 2020-01-01 695
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 684
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 221
Total of all active and inactive participants 2020-01-01 905
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 1
Total participants 2020-01-01 906
Number of participants with account balances 2020-01-01 889
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 17
2019: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2019 401k membership
Total participants, beginning-of-year 2019-01-01 571
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 441
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 182
Total of all active and inactive participants 2019-01-01 623
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 2
Total participants 2019-01-01 625
Number of participants with account balances 2019-01-01 621
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 17
2018: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2018 401k membership
Total participants, beginning-of-year 2018-01-01 467
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 435
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 134
Total of all active and inactive participants 2018-01-01 569
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 2
Total participants 2018-01-01 571
Number of participants with account balances 2018-01-01 570
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 12
2017: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2017 401k membership
Total participants, beginning-of-year 2017-01-01 407
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 364
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 101
Total of all active and inactive participants 2017-01-01 465
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 2
Total participants 2017-01-01 467
Number of participants with account balances 2017-01-01 465
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 9
2016: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2016 401k membership
Total participants, beginning-of-year 2016-01-01 362
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 304
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 86
Total of all active and inactive participants 2016-01-01 390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 2
Total participants 2016-01-01 392
Number of participants with account balances 2016-01-01 390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 15
2015: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2015 401k membership
Total participants, beginning-of-year 2015-01-01 316
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 304
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 56
Total of all active and inactive participants 2015-01-01 360
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 2
Total participants 2015-01-01 362
Number of participants with account balances 2015-01-01 358
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 20
2014: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2014 401k membership
Total participants, beginning-of-year 2014-04-22 0
Total number of active participants reported on line 7a of the Form 5500 2014-04-22 300
Number of retired or separated participants receiving benefits 2014-04-22 0
Number of other retired or separated participants entitled to future benefits 2014-04-22 16
Total of all active and inactive participants 2014-04-22 316
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-04-22 0
Total participants 2014-04-22 316
Number of participants with account balances 2014-04-22 308
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-04-22 4

Measure	Date	Value
2022: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2022 401k membership
Total participants, beginning-of-year	2022-01-01	985
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	762
Number of retired or separated participants receiving benefits	2022-01-01	69
Number of other retired or separated participants entitled to future benefits	2022-01-01	328
Total of all active and inactive participants	2022-01-01	1,159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	1
Total participants	2022-01-01	1,160
Number of participants with account balances	2022-01-01	1,139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	47
2021: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2021 401k membership
Total participants, beginning-of-year	2021-01-01	906
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	658
Number of retired or separated participants receiving benefits	2021-01-01	1
Number of other retired or separated participants entitled to future benefits	2021-01-01	325
Total of all active and inactive participants	2021-01-01	984
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	1
Total participants	2021-01-01	985
Number of participants with account balances	2021-01-01	960
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	46
2020: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2020 401k membership
Total participants, beginning-of-year	2020-01-01	695
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	684
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	221
Total of all active and inactive participants	2020-01-01	905
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	1
Total participants	2020-01-01	906
Number of participants with account balances	2020-01-01	889
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	17
2019: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2019 401k membership
Total participants, beginning-of-year	2019-01-01	571
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	441
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	182
Total of all active and inactive participants	2019-01-01	623
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	2
Total participants	2019-01-01	625
Number of participants with account balances	2019-01-01	621
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	17
2018: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2018 401k membership
Total participants, beginning-of-year	2018-01-01	467
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	435
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	134
Total of all active and inactive participants	2018-01-01	569
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	2
Total participants	2018-01-01	571
Number of participants with account balances	2018-01-01	570
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	12
2017: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2017 401k membership
Total participants, beginning-of-year	2017-01-01	407
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	364
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	101
Total of all active and inactive participants	2017-01-01	465
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	2
Total participants	2017-01-01	467
Number of participants with account balances	2017-01-01	465
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	9
2016: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2016 401k membership
Total participants, beginning-of-year	2016-01-01	362
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	304
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	86
Total of all active and inactive participants	2016-01-01	390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	2
Total participants	2016-01-01	392
Number of participants with account balances	2016-01-01	390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	15
2015: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2015 401k membership
Total participants, beginning-of-year	2015-01-01	316
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	304
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	56
Total of all active and inactive participants	2015-01-01	360
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	2
Total participants	2015-01-01	362
Number of participants with account balances	2015-01-01	358
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	20
2014: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2014 401k membership
Total participants, beginning-of-year	2014-04-22	0
Total number of active participants reported on line 7a of the Form 5500	2014-04-22	300
Number of retired or separated participants receiving benefits	2014-04-22	0
Number of other retired or separated participants entitled to future benefits	2014-04-22	16
Total of all active and inactive participants	2014-04-22	316
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-04-22	0
Total participants	2014-04-22	316
Number of participants with account balances	2014-04-22	308
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-04-22	4

Financial Data on INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K)

Measure	Date	Value
2022 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-5,134,436
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$10,089,550
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$10,079,737
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$18,641,953
Value of total assets at end of year	2022-12-31	$128,482,341
Value of total assets at beginning of year	2022-12-31	$143,706,327
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$9,813
Total interest from all sources	2022-12-31	$46,223
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$4,103,579
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$4,103,579
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$7,101,986
Participant contributions at end of year	2022-12-31	$976,800
Participant contributions at beginning of year	2022-12-31	$886,907
Assets. Other investments not covered elsewhere at end of year	2022-12-31	$934,393
Assets. Other investments not covered elsewhere at beginning of year	2022-12-31	$1,083,060
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$2,072,166
Other income not declared elsewhere	2022-12-31	$-216,742
Administrative expenses (other) incurred	2022-12-31	$9,813
Total non interest bearing cash at end of year	2022-12-31	$8
Total non interest bearing cash at beginning of year	2022-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-15,223,986
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$128,482,341
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$143,706,327
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$114,121,920
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$131,321,817
Interest on participant loans	2022-12-31	$46,223
Value of interest in common/collective trusts at end of year	2022-12-31	$9,830,286
Value of interest in common/collective trusts at beginning of year	2022-12-31	$10,414,543
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-27,888,282
Net investment gain or loss from common/collective trusts	2022-12-31	$178,833
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$9,467,801
Employer contributions (assets) at end of year	2022-12-31	$2,618,934
Employer contributions (assets) at beginning of year	2022-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$10,079,737
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	HCVT CPAS LLP
Accountancy firm EIN	2022-12-31	821849709
2021 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$31,104,447
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$6,101,501
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$6,095,252
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$13,798,869
Value of total assets at end of year	2021-12-31	$143,706,327
Value of total assets at beginning of year	2021-12-31	$118,703,381
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$6,249
Total interest from all sources	2021-12-31	$47,488
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$3,825,048
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$3,825,048
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$6,519,303
Participant contributions at end of year	2021-12-31	$886,907
Participant contributions at beginning of year	2021-12-31	$972,890
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$1,083,060
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$726,230
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$1,131,682
Other income not declared elsewhere	2021-12-31	$186,594
Administrative expenses (other) incurred	2021-12-31	$6,249
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$25,002,946
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$143,706,327
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$118,703,381
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$131,321,817
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$106,165,842
Interest on participant loans	2021-12-31	$47,488
Value of interest in common/collective trusts at end of year	2021-12-31	$10,414,543
Value of interest in common/collective trusts at beginning of year	2021-12-31	$10,838,419
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$13,058,414
Net investment gain or loss from common/collective trusts	2021-12-31	$188,034
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$6,147,884
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$6,095,252
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2021-12-31	Yes
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	HCVT CPAS LLP
Accountancy firm EIN	2021-12-31	821849709
2020 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets to this plan	2020-12-31	$25,959,993
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$27,992,326
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$6,478,619
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$6,463,942
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$13,276,289
Value of total assets at end of year	2020-12-31	$118,703,381
Value of total assets at beginning of year	2020-12-31	$71,229,681
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$14,677
Total interest from all sources	2020-12-31	$51,817
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$2,733,511
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$2,733,511
Administrative expenses professional fees incurred	2020-12-31	$300
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$6,162,374
Participant contributions at end of year	2020-12-31	$972,890
Participant contributions at beginning of year	2020-12-31	$736,134
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$726,230
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$949,477
Other income not declared elsewhere	2020-12-31	$263,209
Administrative expenses (other) incurred	2020-12-31	$14,377
Total non interest bearing cash at end of year	2020-12-31	$0
Total non interest bearing cash at beginning of year	2020-12-31	$63,367,879
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$21,513,707
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$118,703,381
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$71,229,681
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$106,165,842
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$9,571
Interest on participant loans	2020-12-31	$51,817
Value of interest in common/collective trusts at end of year	2020-12-31	$10,838,419
Value of interest in common/collective trusts at beginning of year	2020-12-31	$7,116,097
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$11,582,211
Net investment gain or loss from common/collective trusts	2020-12-31	$85,289
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$6,164,438
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$6,463,942
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-12-31	Yes
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	HCVT CPAS LLP
Accountancy firm EIN	2020-12-31	821849709
2019 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$20,793,724
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$2,247,383
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,245,784
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$7,726,864
Value of total assets at end of year	2019-12-31	$71,229,681
Value of total assets at beginning of year	2019-12-31	$52,683,340
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$1,599
Total interest from all sources	2019-12-31	$35,972
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,053,255
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,053,255
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2019-12-31	$32
Contributions received from participants	2019-12-31	$3,545,707
Participant contributions at end of year	2019-12-31	$736,134
Participant contributions at beginning of year	2019-12-31	$653,451
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$748,912
Other income not declared elsewhere	2019-12-31	$4,603
Administrative expenses (other) incurred	2019-12-31	$1,599
Total non interest bearing cash at end of year	2019-12-31	$63,367,879
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$18,546,341
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$71,229,681
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$52,683,340
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$9,571
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$46,991,477
Interest on participant loans	2019-12-31	$35,972
Value of interest in common/collective trusts at end of year	2019-12-31	$7,116,097
Value of interest in common/collective trusts at beginning of year	2019-12-31	$5,038,412
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$11,836,529
Net investment gain or loss from common/collective trusts	2019-12-31	$136,501
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$3,432,245
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,245,784
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	HCVT CPAS LLP
Accountancy firm EIN	2019-12-31	821849709
2018 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$4,556,226
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,631,162
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,606,721
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$7,862,202
Value of total assets at end of year	2018-12-31	$52,683,340
Value of total assets at beginning of year	2018-12-31	$49,758,276
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$24,441
Total interest from all sources	2018-12-31	$26,987
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$860,708
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$860,708
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$3,359,344
Participant contributions at end of year	2018-12-31	$653,451
Participant contributions at beginning of year	2018-12-31	$520,581
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$618,305
Other income not declared elsewhere	2018-12-31	$-5
Administrative expenses (other) incurred	2018-12-31	$24,441
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$2,925,064
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$52,683,340
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$49,758,276
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$46,991,477
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$45,475,086
Interest on participant loans	2018-12-31	$26,987
Value of interest in common/collective trusts at end of year	2018-12-31	$5,038,412
Value of interest in common/collective trusts at beginning of year	2018-12-31	$3,762,609
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-4,281,223
Net investment gain or loss from common/collective trusts	2018-12-31	$87,557
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$3,884,553
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,606,721
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	HOLTHOUSE CARLIN & VAN TRIGT, LLP
Accountancy firm EIN	2018-12-31	954345526
2017 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$13,539,356
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,106,618
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,105,266
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$5,969,738
Value of total assets at end of year	2017-12-31	$49,758,276
Value of total assets at beginning of year	2017-12-31	$38,325,538
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,352
Total interest from all sources	2017-12-31	$23,704
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$675,954
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$675,954
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$2,751,308
Participant contributions at end of year	2017-12-31	$520,581
Participant contributions at beginning of year	2017-12-31	$394,031
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$380,248
Administrative expenses (other) incurred	2017-12-31	$1,352
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$11,432,738
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$49,758,276
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$38,325,538
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$45,475,086
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$34,313,986
Interest on participant loans	2017-12-31	$23,704
Value of interest in common/collective trusts at end of year	2017-12-31	$3,762,609
Value of interest in common/collective trusts at beginning of year	2017-12-31	$3,617,521
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$6,802,609
Net investment gain or loss from common/collective trusts	2017-12-31	$67,351
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$2,838,182
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,105,266
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	HOLTHOUSE CARLIN &VAN TRIGT, LLP
Accountancy firm EIN	2017-12-31	954345526
2016 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$8,110,263
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,031,175
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,030,153
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$5,401,311
Value of total assets at end of year	2016-12-31	$38,325,538
Value of total assets at beginning of year	2016-12-31	$31,246,450
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$1,022
Total interest from all sources	2016-12-31	$15,673
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$554,699
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$554,699
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$2,563,663
Participant contributions at end of year	2016-12-31	$394,031
Participant contributions at beginning of year	2016-12-31	$370,119
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$282,285
Other income not declared elsewhere	2016-12-31	$179
Administrative expenses (other) incurred	2016-12-31	$1,022
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$7,079,088
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$38,325,538
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$31,246,450
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$34,313,986
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$28,311,272
Interest on participant loans	2016-12-31	$15,673
Value of interest in common/collective trusts at end of year	2016-12-31	$3,617,521
Value of interest in common/collective trusts at beginning of year	2016-12-31	$2,565,059
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$2,084,514
Net investment gain or loss from common/collective trusts	2016-12-31	$53,887
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$2,555,363
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,030,153
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	HOLTHOUSE CARLIN & VAN TRIGT, LLP
Accountancy firm EIN	2016-12-31	954345526
2015 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$498,390
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$4,250,470
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$352,767
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$352,734
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$4,707,397
Value of total assets at end of year	2015-12-31	$31,246,450
Value of total assets at beginning of year	2015-12-31	$26,850,357
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$33
Total interest from all sources	2015-12-31	$13,148
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$446,008
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$446,008
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$2,485,083
Participant contributions at end of year	2015-12-31	$370,119
Participant contributions at beginning of year	2015-12-31	$303,910
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$157,054
Other income not declared elsewhere	2015-12-31	$941
Administrative expenses (other) incurred	2015-12-31	$33
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$3,897,703
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$31,246,450
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$26,850,357
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$28,311,272
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$24,276,336
Interest on participant loans	2015-12-31	$13,148
Value of interest in common/collective trusts at end of year	2015-12-31	$2,565,059
Value of interest in common/collective trusts at beginning of year	2015-12-31	$2,270,111
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-956,303
Net investment gain or loss from common/collective trusts	2015-12-31	$39,279
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$2,065,260
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$352,734
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2015-12-31	366055558
2014 : INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$23,793,483
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,555,396
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$498,522
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$497,634
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,055,054
Value of total assets at end of year	2014-12-31	$26,850,357
Value of total assets at beginning of year	2014-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$888
Total interest from all sources	2014-12-31	$6,481
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,524,733
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,524,733
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,147,211
Participant contributions at end of year	2014-12-31	$303,910
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$228,075
Other income not declared elsewhere	2014-12-31	$-7
Administrative expenses (other) incurred	2014-12-31	$888
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$3,056,874
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$26,850,357
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$24,276,336
Interest on participant loans	2014-12-31	$6,481
Value of interest in common/collective trusts at end of year	2014-12-31	$2,270,111
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-52,962
Net investment gain or loss from common/collective trusts	2014-12-31	$22,097
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$679,768
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$497,634
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	GRANT THORNTON LLP
Accountancy firm EIN	2014-12-31	366055558

Form 5500 Responses for INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K)

2022: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	Yes
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: INSTITUTIONAL SHAREHOLDER SERVICES INC. 401(K) 2014 form 5500 responses
2014-04-22	Type of plan entity	Single employer plan
2014-04-22	First time form 5500 has been submitted	Yes
2014-04-22	Submission has been amended	No
2014-04-22	This submission is the final filing	No
2014-04-22	This return/report is a short plan year return/report (less than 12 months)	Yes
2014-04-22	Plan is a collectively bargained plan	No
2014-04-22	Plan funding arrangement – Trust	Yes
2014-04-22	Plan benefit arrangement - Trust	Yes

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Company Name:	INSTITUTIONAL SHAREHOLDER SERVICES
Employer identification number (EIN):	061541449
NAIC Classification:	523900