401k Plan data: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN plan

MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 401k Plan overview

Plan Name	MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN
Plan identification number	002

MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

MF GLOBAL HOLDINGS USA, INC. has sponsored the creation of one or more 401k plans.

Company Name: MF GLOBAL HOLDINGS USA, INC.

Employer identification number (EIN): 131962847

NAIC Classification: 523140
NAIC Description: Commodity Contracts Brokerage

Additional information about MF GLOBAL HOLDINGS USA, INC.

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1962-04-30

Company Identification Number: 147263

Legal Registered Office Address: 2711 CENTERVILLE RD
STE 400
WILMINGTON
United States of America (USA)
19808

More information about MF GLOBAL HOLDINGS USA, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-04-01 CHRISTOPHER BATES CHRISTOPHER BATES 2014-11-04
002 2012-04-01 CHRISTOPHER BATES
002 2011-04-01 CHRISTOPHER BATES
002 2010-04-01 CHRISTOPHER BATES
002 2009-04-01 MARC SERRILLI
002 2009-04-01 MARC SERRILLI
002 2009-04-01 MARC SERRILLI

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2013-04-01	CHRISTOPHER BATES	CHRISTOPHER BATES	2014-11-04
002	2012-04-01	CHRISTOPHER BATES
002	2011-04-01	CHRISTOPHER BATES
002	2010-04-01	CHRISTOPHER BATES
002	2009-04-01	MARC SERRILLI
002	2009-04-01	MARC SERRILLI
002	2009-04-01	MARC SERRILLI

Plan Statistics for MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN

401k plan membership statisitcs for MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN

Measure Date Value
2013: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-04-01 1,617
Total number of active participants reported on line 7a of the Form 5500 2013-04-01 0
Number of retired or separated participants receiving benefits 2013-04-01 0
Number of other retired or separated participants entitled to future benefits 2013-04-01 0
Total of all active and inactive participants 2013-04-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-04-01 0
Total participants 2013-04-01 0
Number of participants with account balances 2013-04-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-04-01 0
2012: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-04-01 1,915
Total number of active participants reported on line 7a of the Form 5500 2012-04-01 708
Number of retired or separated participants receiving benefits 2012-04-01 0
Number of other retired or separated participants entitled to future benefits 2012-04-01 909
Total of all active and inactive participants 2012-04-01 1,617
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-04-01 0
Total participants 2012-04-01 1,617
Number of participants with account balances 2012-04-01 960
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-04-01 32
2011: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-04-01 1,853
Total number of active participants reported on line 7a of the Form 5500 2011-04-01 774
Number of retired or separated participants receiving benefits 2011-04-01 16
Number of other retired or separated participants entitled to future benefits 2011-04-01 1,123
Total of all active and inactive participants 2011-04-01 1,913
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-04-01 2
Total participants 2011-04-01 1,915
Number of participants with account balances 2011-04-01 1,255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-04-01 930
2010: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-04-01 1,988
Total number of active participants reported on line 7a of the Form 5500 2010-04-01 1,263
Number of retired or separated participants receiving benefits 2010-04-01 19
Number of other retired or separated participants entitled to future benefits 2010-04-01 558
Total of all active and inactive participants 2010-04-01 1,840
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-04-01 13
Total participants 2010-04-01 1,853
Number of participants with account balances 2010-04-01 1,758
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-04-01 246
2009: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-04-01 1,931
Total number of active participants reported on line 7a of the Form 5500 2009-04-01 1,464
Number of retired or separated participants receiving benefits 2009-04-01 19
Number of other retired or separated participants entitled to future benefits 2009-04-01 493
Total of all active and inactive participants 2009-04-01 1,976
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-04-01 12
Total participants 2009-04-01 1,988
Number of participants with account balances 2009-04-01 1,883
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-04-01 181

Measure	Date	Value
2013: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-04-01	1,617
Total number of active participants reported on line 7a of the Form 5500	2013-04-01	0
Number of retired or separated participants receiving benefits	2013-04-01	0
Number of other retired or separated participants entitled to future benefits	2013-04-01	0
Total of all active and inactive participants	2013-04-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-04-01	0
Total participants	2013-04-01	0
Number of participants with account balances	2013-04-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-04-01	0
2012: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-04-01	1,915
Total number of active participants reported on line 7a of the Form 5500	2012-04-01	708
Number of retired or separated participants receiving benefits	2012-04-01	0
Number of other retired or separated participants entitled to future benefits	2012-04-01	909
Total of all active and inactive participants	2012-04-01	1,617
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-04-01	0
Total participants	2012-04-01	1,617
Number of participants with account balances	2012-04-01	960
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-04-01	32
2011: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-04-01	1,853
Total number of active participants reported on line 7a of the Form 5500	2011-04-01	774
Number of retired or separated participants receiving benefits	2011-04-01	16
Number of other retired or separated participants entitled to future benefits	2011-04-01	1,123
Total of all active and inactive participants	2011-04-01	1,913
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-04-01	2
Total participants	2011-04-01	1,915
Number of participants with account balances	2011-04-01	1,255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-04-01	930
2010: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-04-01	1,988
Total number of active participants reported on line 7a of the Form 5500	2010-04-01	1,263
Number of retired or separated participants receiving benefits	2010-04-01	19
Number of other retired or separated participants entitled to future benefits	2010-04-01	558
Total of all active and inactive participants	2010-04-01	1,840
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-04-01	13
Total participants	2010-04-01	1,853
Number of participants with account balances	2010-04-01	1,758
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-04-01	246
2009: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-04-01	1,931
Total number of active participants reported on line 7a of the Form 5500	2009-04-01	1,464
Number of retired or separated participants receiving benefits	2009-04-01	19
Number of other retired or separated participants entitled to future benefits	2009-04-01	493
Total of all active and inactive participants	2009-04-01	1,976
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-04-01	12
Total participants	2009-04-01	1,988
Number of participants with account balances	2009-04-01	1,883
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-04-01	181

Financial Data on MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN

Measure	Date	Value
2014 : MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-03-31	$-47,613
Total unrealized appreciation/depreciation of assets	2014-03-31	$-47,613
Total transfer of assets to this plan	2014-03-31	$0
Total transfer of assets from this plan	2014-03-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-03-31	$0
Expenses. Interest paid	2014-03-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-03-31	$0
Total income from all sources (including contributions)	2014-03-31	$6,762,221
Total loss/gain on sale of assets	2014-03-31	$-11,085
Total of all expenses incurred	2014-03-31	$64,996,778
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-03-31	$64,772,762
Expenses. Certain deemed distributions of participant loans	2014-03-31	$112,545
Value of total corrective distributions	2014-03-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-03-31	$0
Value of total assets at end of year	2014-03-31	$0
Value of total assets at beginning of year	2014-03-31	$58,234,557
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-03-31	$111,471
Total interest from all sources	2014-03-31	$4,683
Total dividends received (eg from common stock, registered investment company shares)	2014-03-31	$2,009,367
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-03-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-03-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2014-03-31	$2,000,427
Assets. Real estate other than employer real property at end of year	2014-03-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-03-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-03-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-03-31	$0
Was this plan covered by a fidelity bond	2014-03-31	Yes
Value of fidelity bond cover	2014-03-31	$5,000,000
If this is an individual account plan, was there a blackout period	2014-03-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-03-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-03-31	No
Contributions received from participants	2014-03-31	$0
Participant contributions at end of year	2014-03-31	$0
Participant contributions at beginning of year	2014-03-31	$201,140
Assets. Other investments not covered elsewhere at end of year	2014-03-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-03-31	$1,646,659
Income. Received or receivable in cash from other sources (including rollovers)	2014-03-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-03-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-03-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-03-31	$0
Assets. Loans (other than to participants) at end of year	2014-03-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-03-31	$0
Other income not declared elsewhere	2014-03-31	$103,745
Administrative expenses (other) incurred	2014-03-31	$111,471
Total non interest bearing cash at end of year	2014-03-31	$0
Total non interest bearing cash at beginning of year	2014-03-31	$21,601
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-03-31	No
Income. Non cash contributions	2014-03-31	$0
Value of net income/loss	2014-03-31	$-58,234,557
Value of net assets at end of year (total assets less liabilities)	2014-03-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-03-31	$58,234,557
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-03-31	No
Were any leases to which the plan was party in default or uncollectible	2014-03-31	No
Assets. partnership/joint venture interests at end of year	2014-03-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-03-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-03-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-03-31	$37,303,770
Value of interest in pooled separate accounts at end of year	2014-03-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-03-31	$0
Interest on participant loans	2014-03-31	$4,028
Interest earned on other investments	2014-03-31	$0
Income. Interest from US Government securities	2014-03-31	$0
Value of interest in common/collective trusts at end of year	2014-03-31	$0
Value of interest in common/collective trusts at beginning of year	2014-03-31	$11,140,712
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-03-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-03-31	$7,598,123
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-03-31	$7,598,123
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-03-31	$655
Asset value of US Government securities at end of year	2014-03-31	$0
Asset value of US Government securities at beginning of year	2014-03-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-03-31	$4,585,595
Net investment gain/loss from pooled separate accounts	2014-03-31	$0
Net investment gain or loss from common/collective trusts	2014-03-31	$117,529
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-03-31	No
Was there a failure to transmit to the plan any participant contributions	2014-03-31	No
Has the plan failed to provide any benefit when due under the plan	2014-03-31	No
Assets. Invements in employer securities at end of year	2014-03-31	$0
Assets. Invements in employer securities at beginning of year	2014-03-31	$0
Contributions received in cash from employer	2014-03-31	$0
Income. Dividends from preferred stock	2014-03-31	$0
Income. Dividends from common stock	2014-03-31	$8,940
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-03-31	$64,772,762
Asset. Corporate debt instrument preferred debt at end of year	2014-03-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-03-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-03-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-03-31	$0
Assets. Corporate common stocks other than exployer securities at end of year	2014-03-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-03-31	$322,552
Did the plan have assets held for investment	2014-03-31	No
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	2014-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-03-31	Yes
Aggregate proceeds on sale of assets	2014-03-31	$11,123,324
Aggregate carrying amount (costs) on sale of assets	2014-03-31	$11,134,409
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-03-31	Disclaimer
Accountancy firm name	2014-03-31	EISNER AMPER LLP
Accountancy firm EIN	2014-03-31	131639826
2013 : MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-03-31	$100,579
Total unrealized appreciation/depreciation of assets	2013-03-31	$100,579
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-03-31	$0
Total income from all sources (including contributions)	2013-03-31	$3,725,867
Total loss/gain on sale of assets	2013-03-31	$979
Total of all expenses incurred	2013-03-31	$25,162,176
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-03-31	$24,294,671
Expenses. Certain deemed distributions of participant loans	2013-03-31	$768,034
Value of total corrective distributions	2013-03-31	$10,999
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-03-31	$0
Value of total assets at end of year	2013-03-31	$58,234,557
Value of total assets at beginning of year	2013-03-31	$79,670,866
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-03-31	$88,472
Total interest from all sources	2013-03-31	$6,419
Total dividends received (eg from common stock, registered investment company shares)	2013-03-31	$1,150,520
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-03-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-03-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2013-03-31	$1,139,574
Was this plan covered by a fidelity bond	2013-03-31	Yes
Value of fidelity bond cover	2013-03-31	$5,000,000
If this is an individual account plan, was there a blackout period	2013-03-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-03-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-03-31	No
Participant contributions at end of year	2013-03-31	$201,140
Participant contributions at beginning of year	2013-03-31	$1,180,289
Assets. Other investments not covered elsewhere at end of year	2013-03-31	$1,646,659
Assets. Other investments not covered elsewhere at beginning of year	2013-03-31	$2,065,022
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-03-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-03-31	$6,866
Other income not declared elsewhere	2013-03-31	$286,735
Administrative expenses (other) incurred	2013-03-31	$88,472
Total non interest bearing cash at end of year	2013-03-31	$21,601
Total non interest bearing cash at beginning of year	2013-03-31	$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	2013-03-31	No
Value of net income/loss	2013-03-31	$-21,436,309
Value of net assets at end of year (total assets less liabilities)	2013-03-31	$58,234,557
Value of net assets at beginning of year (total assets less liabilities)	2013-03-31	$79,670,866
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-03-31	No
Were any leases to which the plan was party in default or uncollectible	2013-03-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-03-31	$37,303,770
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-03-31	$48,718,561
Interest on participant loans	2013-03-31	$12,311
Value of interest in common/collective trusts at end of year	2013-03-31	$11,140,712
Value of interest in common/collective trusts at beginning of year	2013-03-31	$14,917,829
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-03-31	$7,598,123
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-03-31	$12,423,707
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-03-31	$12,423,707
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-03-31	$-5,892
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-03-31	$1,988,657
Net investment gain or loss from common/collective trusts	2013-03-31	$191,978
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-03-31	No
Was there a failure to transmit to the plan any participant contributions	2013-03-31	No
Has the plan failed to provide any benefit when due under the plan	2013-03-31	No
Income. Dividends from common stock	2013-03-31	$10,946
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-03-31	$24,294,671
Assets. Corporate common stocks other than exployer securities at end of year	2013-03-31	$322,552
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-03-31	$358,592
Did the plan have assets held for investment	2013-03-31	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	2013-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-03-31	No
Aggregate proceeds on sale of assets	2013-03-31	$6,907,855
Aggregate carrying amount (costs) on sale of assets	2013-03-31	$6,906,876
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-03-31	Disclaimer
Accountancy firm name	2013-03-31	EISNER AMPER LLP
Accountancy firm EIN	2013-03-31	131639826
2012 : MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-03-31	$82,454
Total unrealized appreciation/depreciation of assets	2012-03-31	$82,454
Total transfer of assets to this plan	2012-03-31	$0
Total transfer of assets from this plan	2012-03-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-03-31	$0
Expenses. Interest paid	2012-03-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-03-31	$0
Total income from all sources (including contributions)	2012-03-31	$7,857,092
Total loss/gain on sale of assets	2012-03-31	$16,491
Total of all expenses incurred	2012-03-31	$59,132,646
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-03-31	$57,298,084
Expenses. Certain deemed distributions of participant loans	2012-03-31	$1,628,854
Value of total corrective distributions	2012-03-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-03-31	$7,978,048
Value of total assets at end of year	2012-03-31	$79,670,866
Value of total assets at beginning of year	2012-03-31	$130,946,420
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-03-31	$205,708
Total interest from all sources	2012-03-31	$76,573
Total dividends received (eg from common stock, registered investment company shares)	2012-03-31	$2,111,485
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-03-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-03-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-03-31	$2,077,352
Assets. Real estate other than employer real property at end of year	2012-03-31	$0
Assets. Real estate other than employer real property at beginning of year	2012-03-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-03-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-03-31	$0
Was this plan covered by a fidelity bond	2012-03-31	Yes
Value of fidelity bond cover	2012-03-31	$25,000,000
If this is an individual account plan, was there a blackout period	2012-03-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-03-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-03-31	No
Contributions received from participants	2012-03-31	$5,659,653
Participant contributions at end of year	2012-03-31	$1,180,289
Participant contributions at beginning of year	2012-03-31	$2,924,415
Participant contributions at end of year	2012-03-31	$0
Participant contributions at beginning of year	2012-03-31	$497,039
Assets. Other investments not covered elsewhere at end of year	2012-03-31	$2,065,022
Assets. Other investments not covered elsewhere at beginning of year	2012-03-31	$4,814,501
Income. Received or receivable in cash from other sources (including rollovers)	2012-03-31	$823,952
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-03-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-03-31	$6,866
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-03-31	$7,459
Assets. Loans (other than to participants) at end of year	2012-03-31	$0
Assets. Loans (other than to participants) at beginning of year	2012-03-31	$0
Other income not declared elsewhere	2012-03-31	$-336,582
Administrative expenses (other) incurred	2012-03-31	$205,708
Total non interest bearing cash at end of year	2012-03-31	$0
Total non interest bearing cash at beginning of year	2012-03-31	$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	2012-03-31	No
Income. Non cash contributions	2012-03-31	$0
Value of net income/loss	2012-03-31	$-51,275,554
Value of net assets at end of year (total assets less liabilities)	2012-03-31	$79,670,866
Value of net assets at beginning of year (total assets less liabilities)	2012-03-31	$130,946,420
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-03-31	No
Were any leases to which the plan was party in default or uncollectible	2012-03-31	No
Assets. partnership/joint venture interests at end of year	2012-03-31	$0
Assets. partnership/joint venture interests at beginning of year	2012-03-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-03-31	$48,718,561
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-03-31	$85,237,027
Interest on participant loans	2012-03-31	$74,391
Interest earned on other investments	2012-03-31	$0
Income. Interest from US Government securities	2012-03-31	$0
Value of interest in common/collective trusts at end of year	2012-03-31	$14,917,829
Value of interest in common/collective trusts at beginning of year	2012-03-31	$15,717,421
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-03-31	$12,423,707
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-03-31	$20,555,205
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-03-31	$20,555,205
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-03-31	$2,182
Asset value of US Government securities at end of year	2012-03-31	$0
Asset value of US Government securities at beginning of year	2012-03-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-03-31	$-2,386,660
Net investment gain/loss from pooled separate accounts	2012-03-31	$0
Net investment gain or loss from common/collective trusts	2012-03-31	$315,283
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-03-31	No
Was there a failure to transmit to the plan any participant contributions	2012-03-31	No
Has the plan failed to provide any benefit when due under the plan	2012-03-31	No
Assets. Invements in employer securities at end of year	2012-03-31	$0
Assets. Invements in employer securities at beginning of year	2012-03-31	$0
Contributions received in cash from employer	2012-03-31	$1,494,443
Employer contributions (assets) at end of year	2012-03-31	$0
Employer contributions (assets) at beginning of year	2012-03-31	$208,757
Income. Dividends from preferred stock	2012-03-31	$0
Income. Dividends from common stock	2012-03-31	$34,133
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-03-31	$57,298,084
Asset. Corporate debt instrument preferred debt at end of year	2012-03-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2012-03-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2012-03-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2012-03-31	$0
Assets. Corporate common stocks other than exployer securities at end of year	2012-03-31	$358,592
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-03-31	$984,596
Did the plan have assets held for investment	2012-03-31	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	2012-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-03-31	No
Aggregate proceeds on sale of assets	2012-03-31	$19,748,179
Aggregate carrying amount (costs) on sale of assets	2012-03-31	$19,731,688
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-03-31	Disclaimer
Accountancy firm name	2012-03-31	EISNER AMPER LLP
Accountancy firm EIN	2012-03-31	131639826
2011 : MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-03-31	$-55,130
Total unrealized appreciation/depreciation of assets	2011-03-31	$-55,130
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-03-31	$741,580
Total income from all sources (including contributions)	2011-03-31	$25,931,493
Total loss/gain on sale of assets	2011-03-31	$-15,460
Total of all expenses incurred	2011-03-31	$21,134,969
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-03-31	$20,453,581
Expenses. Certain deemed distributions of participant loans	2011-03-31	$590,572
Value of total corrective distributions	2011-03-31	$20,016
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-03-31	$13,177,605
Value of total assets at end of year	2011-03-31	$130,946,420
Value of total assets at beginning of year	2011-03-31	$126,891,476
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-03-31	$70,800
Total interest from all sources	2011-03-31	$96,413
Total dividends received (eg from common stock, registered investment company shares)	2011-03-31	$1,646,814
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-03-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-03-31	$1,606,399
Was this plan covered by a fidelity bond	2011-03-31	Yes
Value of fidelity bond cover	2011-03-31	$50,000,000
If this is an individual account plan, was there a blackout period	2011-03-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-03-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-03-31	No
Contributions received from participants	2011-03-31	$9,278,206
Participant contributions at end of year	2011-03-31	$2,924,415
Participant contributions at beginning of year	2011-03-31	$2,749,931
Participant contributions at end of year	2011-03-31	$497,039
Participant contributions at beginning of year	2011-03-31	$471,853
Assets. Other investments not covered elsewhere at end of year	2011-03-31	$4,814,501
Assets. Other investments not covered elsewhere at beginning of year	2011-03-31	$4,673,675
Income. Received or receivable in cash from other sources (including rollovers)	2011-03-31	$1,422,996
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-03-31	$7,459
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-03-31	$7,367
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-03-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-03-31	$741,580
Other income not declared elsewhere	2011-03-31	$257,946
Administrative expenses (other) incurred	2011-03-31	$70,800
Total non interest bearing cash at end of year	2011-03-31	$0
Total non interest bearing cash at beginning of year	2011-03-31	$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	2011-03-31	No
Value of net income/loss	2011-03-31	$4,796,524
Value of net assets at end of year (total assets less liabilities)	2011-03-31	$130,946,420
Value of net assets at beginning of year (total assets less liabilities)	2011-03-31	$126,149,896
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-03-31	No
Were any leases to which the plan was party in default or uncollectible	2011-03-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-03-31	$85,237,027
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-03-31	$81,934,502
Interest on participant loans	2011-03-31	$96,395
Value of interest in common/collective trusts at end of year	2011-03-31	$15,717,421
Value of interest in common/collective trusts at beginning of year	2011-03-31	$13,297,505
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-03-31	$20,555,205
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-03-31	$22,270,214
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-03-31	$22,270,214
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-03-31	$18
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-03-31	$9,962,205
Net investment gain or loss from common/collective trusts	2011-03-31	$861,100
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-03-31	No
Was there a failure to transmit to the plan any participant contributions	2011-03-31	No
Has the plan failed to provide any benefit when due under the plan	2011-03-31	No
Contributions received in cash from employer	2011-03-31	$2,476,403
Employer contributions (assets) at end of year	2011-03-31	$208,757
Employer contributions (assets) at beginning of year	2011-03-31	$222,318
Income. Dividends from common stock	2011-03-31	$40,415
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-03-31	$20,453,581
Assets. Corporate common stocks other than exployer securities at end of year	2011-03-31	$984,596
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-03-31	$1,264,111
Did the plan have assets held for investment	2011-03-31	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	2011-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-03-31	No
Aggregate proceeds on sale of assets	2011-03-31	$8,281,176
Aggregate carrying amount (costs) on sale of assets	2011-03-31	$8,296,636
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-03-31	Disclaimer
Accountancy firm name	2011-03-31	EISNER AMPER LLP
Accountancy firm EIN	2011-03-31	131639826
2010 : MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-03-31	$0

Form 5500 Responses for MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN

2013: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2013 form 5500 responses
2013-04-01	Type of plan entity	Single employer plan
2013-04-01	Submission has been amended	No
2013-04-01	This submission is the final filing	Yes
2013-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-04-01	Plan is a collectively bargained plan	No
2013-04-01	Plan funding arrangement – Trust	Yes
2013-04-01	Plan benefit arrangement - Trust	Yes
2012: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2012 form 5500 responses
2012-04-01	Type of plan entity	Single employer plan
2012-04-01	Submission has been amended	No
2012-04-01	This submission is the final filing	No
2012-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-04-01	Plan is a collectively bargained plan	No
2012-04-01	Plan funding arrangement – Trust	Yes
2012-04-01	Plan benefit arrangement - Trust	Yes
2011: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2011 form 5500 responses
2011-04-01	Type of plan entity	Single employer plan
2011-04-01	Submission has been amended	No
2011-04-01	This submission is the final filing	No
2011-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-04-01	Plan is a collectively bargained plan	No
2011-04-01	Plan funding arrangement – Trust	Yes
2011-04-01	Plan benefit arrangement - Trust	Yes
2010: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2010 form 5500 responses
2010-04-01	Type of plan entity	Single employer plan
2010-04-01	Submission has been amended	No
2010-04-01	This submission is the final filing	No
2010-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-04-01	Plan is a collectively bargained plan	No
2010-04-01	Plan funding arrangement – Trust	Yes
2010-04-01	Plan benefit arrangement - Trust	Yes
2009: MF GLOBAL HOLDINGS USA, INC. SAVINGS AND INVESTMENT PLAN 2009 form 5500 responses
2009-04-01	Type of plan entity	Single employer plan
2009-04-01	Submission has been amended	Yes
2009-04-01	This submission is the final filing	No
2009-04-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-04-01	Plan is a collectively bargained plan	No
2009-04-01	Plan funding arrangement – Trust	Yes
2009-04-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MF GLOBAL HOLDINGS USA, INC.
Employer identification number (EIN):	131962847
NAIC Classification:	523140
NAIC Description:	Commodity Contracts Brokerage

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1962-04-30
Company Identification Number:	147263
Legal Registered Office Address:	2711 CENTERVILLE RD STE 400 WILMINGTON United States of America (USA) 19808