401k Plan data: LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN plan

LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 401k Plan overview

Plan Name	LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN
Plan identification number	002

LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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

LOMBARD ODIER ASSET MANAGEMENT USA CORP. has sponsored the creation of one or more 401k plans.

Company Name: LOMBARD ODIER ASSET MANAGEMENT USA CORP.

Employer identification number (EIN): 061603711

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01
002 2016-01-01 JENNIFER HARGRAVE 2017-05-11 JENNIFER HARGRAVE 2017-05-11
002 2015-01-01 RIANNA NICKERSON 2016-05-13 RIANNA NICKERSON 2016-05-13
002 2014-01-01 RIANNA NICKERSON 2015-05-11 RIANNA NICKERSON 2015-05-11
002 2013-01-01 RIANNA NICKERSON 2014-07-17 RIANNA NICKERSON 2014-07-17
002 2012-01-01 RIANNA NICKERSON 2013-05-16 RIANNA NICKERSON 2013-05-16
002 2011-01-01 RIANNA NICKERSON 2012-06-28 RIANNA NICKERSON 2012-06-28
002 2010-01-01 EMILY HOBBS 2011-05-03 EMILY HOBBS 2011-05-03
002 2009-01-01 EMILY HOBBS EMILY HOBBS 2010-07-15
002 2008-01-01 EMILY HOBBS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01
002	2021-01-01
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01
002	2016-01-01	JENNIFER HARGRAVE	2017-05-11	JENNIFER HARGRAVE	2017-05-11
002	2015-01-01	RIANNA NICKERSON	2016-05-13	RIANNA NICKERSON	2016-05-13
002	2014-01-01	RIANNA NICKERSON	2015-05-11	RIANNA NICKERSON	2015-05-11
002	2013-01-01	RIANNA NICKERSON	2014-07-17	RIANNA NICKERSON	2014-07-17
002	2012-01-01	RIANNA NICKERSON	2013-05-16	RIANNA NICKERSON	2013-05-16
002	2011-01-01	RIANNA NICKERSON	2012-06-28	RIANNA NICKERSON	2012-06-28
002	2010-01-01	EMILY HOBBS	2011-05-03	EMILY HOBBS	2011-05-03
002	2009-01-01	EMILY HOBBS		EMILY HOBBS	2010-07-15
002	2008-01-01	EMILY HOBBS

Plan Statistics for LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN

401k plan membership statisitcs for LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN

Measure Date Value
2009: LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 29
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 34
Number of participants with account balances 2009-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1
2008: LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year 2008-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 19
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 4
Total of all active and inactive participants 2008-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 23
Number of participants with account balances 2008-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-01-01 0

Measure	Date	Value
2009: LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	29
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	34
Number of participants with account balances	2009-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1
2008: LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year	2008-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	19
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	4
Total of all active and inactive participants	2008-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	23
Number of participants with account balances	2008-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-01-01	0

Financial Data on LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN

Measure	Date	Value
2008 : LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 2008 401k financial data
Total plan liabilities at beginning of year	2008-12-31	$0
Total income from all sources	2008-12-31	$186,165
Expenses. Total of all expenses incurred	2008-12-31	$0
Benefits paid (including direct rollovers)	2008-12-31	$0
Total plan assets at end of year	2008-12-31	$416,964
Total plan assets at beginning of year	2008-12-31	$230,799
Value of fidelity bond covering the plan	2008-12-31	$120,000
Total contributions received or receivable from participants	2008-12-31	$207,062
Expenses. Other expenses not covered elsewhere	2008-12-31	$0
Contributions received from other sources (not participants or employers)	2008-12-31	$0
Other income received	2008-12-31	$-227,959
Noncash contributions received	2008-12-31	$0
Net income (gross income less expenses)	2008-12-31	$186,165
Net plan assets at end of year (total assets less liabilities)	2008-12-31	$416,964
Net plan assets at beginning of year (total assets less liabilities)	2008-12-31	$230,799
Total contributions received or receivable from employer(s)	2008-12-31	$207,062
Value of certain deemed distributions of participant loans	2008-12-31	$0
Value of corrective distributions	2008-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2008-12-31	$0

Form 5500 Responses for LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN

2009: LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2008: LOMBARD ODIER ASSET MANAGEMENT (USA) CORP. 401(K) PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	No
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Insurance	Yes
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement – Insurance	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-D0-WS62

Policy instance

Insurance contract or identification number	GAP-D0-WS62
Number of Individuals Covered	19
Insurance policy start date	2008-01-01
Insurance policy end date	2008-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	LOMBARD ODIER ASSET MANAGEMENT USA CORP.
Employer identification number (EIN):	061603711
NAIC Classification:	523900