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Plan Name | NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN |
Plan identification number | 002 |
401k Plan Type | Defined Contribution Pension |
Plan Features/Benefits |
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Company Name: | NOMURA SECURITIES INTERNATIONAL, INC. |
Employer identification number (EIN): | 132642206 |
NAIC Classification: | 523900 |
Additional information about NOMURA SECURITIES INTERNATIONAL, INC.
Jurisdiction of Incorporation: | New York Department of State |
Incorporation Date: | 1969-09-12 |
Company Identification Number: | 282102 |
Legal Registered Office Address: |
80 STATE STREET New York ALBANY United States of America (USA) 12207 |
More information about NOMURA SECURITIES INTERNATIONAL, INC.
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 | MICHAEL BOHAN | MICHAEL BOHAN | 2018-10-15 | |
002 | 2016-01-01 | MICHAEL BOHAN | MICHAEL BOHAN | 2017-10-16 | |
002 | 2015-01-01 | MICHAEL BOHAN | MICHAEL BOHAN | 2016-10-17 | |
002 | 2014-01-01 | MICHAEL BOHAN | |||
002 | 2013-01-01 | MICHAEL BOHAN | MICHAEL BOHAN | 2014-10-14 | |
002 | 2012-01-01 | MR. GLENN C. JORGENSEN | MR. GLENN C. JORGENSEN | 2013-10-15 | |
002 | 2011-01-01 | MR. GLENN C. JORGENSEN | MR. GLENN C. JORGENSEN | 2012-10-12 | |
002 | 2009-01-01 | MICHAEL BOHAN | MICHAEL BOHAN | 2010-10-15 |
Measure | Date | Value |
---|---|---|
2022: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2022 401k membership | ||
Total participants, beginning-of-year | 2022-01-01 | 3,573 |
Total number of active participants reported on line 7a of the Form 5500 | 2022-01-01 | 1,923 |
Number of retired or separated participants receiving benefits | 2022-01-01 | 8 |
Number of other retired or separated participants entitled to future benefits | 2022-01-01 | 1,835 |
Total of all active and inactive participants | 2022-01-01 | 3,766 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2022-01-01 | 3 |
Total participants | 2022-01-01 | 3,769 |
Number of participants with account balances | 2022-01-01 | 3,763 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2022-01-01 | 125 |
2021: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2021 401k membership | ||
Total participants, beginning-of-year | 2021-01-01 | 3,527 |
Total number of active participants reported on line 7a of the Form 5500 | 2021-01-01 | 1,819 |
Number of retired or separated participants receiving benefits | 2021-01-01 | 6 |
Number of other retired or separated participants entitled to future benefits | 2021-01-01 | 1,744 |
Total of all active and inactive participants | 2021-01-01 | 3,569 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2021-01-01 | 4 |
Total participants | 2021-01-01 | 3,573 |
Number of participants with account balances | 2021-01-01 | 3,563 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2021-01-01 | 164 |
2020: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2020 401k membership | ||
Total participants, beginning-of-year | 2020-01-01 | 3,473 |
Total number of active participants reported on line 7a of the Form 5500 | 2020-01-01 | 1,842 |
Number of retired or separated participants receiving benefits | 2020-01-01 | 7 |
Number of other retired or separated participants entitled to future benefits | 2020-01-01 | 1,676 |
Total of all active and inactive participants | 2020-01-01 | 3,525 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2020-01-01 | 2 |
Total participants | 2020-01-01 | 3,527 |
Number of participants with account balances | 2020-01-01 | 3,515 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2020-01-01 | 82 |
2019: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2019 401k membership | ||
Total participants, beginning-of-year | 2019-01-01 | 3,458 |
Total number of active participants reported on line 7a of the Form 5500 | 2019-01-01 | 1,755 |
Number of retired or separated participants receiving benefits | 2019-01-01 | 8 |
Number of other retired or separated participants entitled to future benefits | 2019-01-01 | 1,707 |
Total of all active and inactive participants | 2019-01-01 | 3,470 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2019-01-01 | 3 |
Total participants | 2019-01-01 | 3,473 |
Number of participants with account balances | 2019-01-01 | 3,462 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2019-01-01 | 188 |
2018: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2018 401k membership | ||
Total participants, beginning-of-year | 2018-01-01 | 3,375 |
Total number of active participants reported on line 7a of the Form 5500 | 2018-01-01 | 1,910 |
Number of retired or separated participants receiving benefits | 2018-01-01 | 8 |
Number of other retired or separated participants entitled to future benefits | 2018-01-01 | 1,538 |
Total of all active and inactive participants | 2018-01-01 | 3,456 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2018-01-01 | 2 |
Total participants | 2018-01-01 | 3,458 |
Number of participants with account balances | 2018-01-01 | 3,451 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2018-01-01 | 130 |
2017: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2017 401k membership | ||
Total participants, beginning-of-year | 2017-01-01 | 3,258 |
Total number of active participants reported on line 7a of the Form 5500 | 2017-01-01 | 1,878 |
Number of retired or separated participants receiving benefits | 2017-01-01 | 5 |
Number of other retired or separated participants entitled to future benefits | 2017-01-01 | 1,490 |
Total of all active and inactive participants | 2017-01-01 | 3,373 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2017-01-01 | 2 |
Total participants | 2017-01-01 | 3,375 |
Number of participants with account balances | 2017-01-01 | 3,367 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2017-01-01 | 133 |
2016: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2016 401k membership | ||
Total participants, beginning-of-year | 2016-01-01 | 3,172 |
Total number of active participants reported on line 7a of the Form 5500 | 2016-01-01 | 1,820 |
Number of retired or separated participants receiving benefits | 2016-01-01 | 1 |
Number of other retired or separated participants entitled to future benefits | 2016-01-01 | 1,436 |
Total of all active and inactive participants | 2016-01-01 | 3,257 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2016-01-01 | 1 |
Total participants | 2016-01-01 | 3,258 |
Number of participants with account balances | 2016-01-01 | 3,254 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2016-01-01 | 236 |
2015: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2015 401k membership | ||
Total participants, beginning-of-year | 2015-01-01 | 2,985 |
Total number of active participants reported on line 7a of the Form 5500 | 2015-01-01 | 1,944 |
Number of retired or separated participants receiving benefits | 2015-01-01 | 1 |
Number of other retired or separated participants entitled to future benefits | 2015-01-01 | 1,227 |
Total of all active and inactive participants | 2015-01-01 | 3,172 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-01-01 | 0 |
Total participants | 2015-01-01 | 3,172 |
Number of participants with account balances | 2015-01-01 | 3,158 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2015-01-01 | 168 |
2014: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2014 401k membership | ||
Total participants, beginning-of-year | 2014-01-01 | 2,796 |
Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 1,888 |
Number of retired or separated participants receiving benefits | 2014-01-01 | 1 |
Number of other retired or separated participants entitled to future benefits | 2014-01-01 | 1,096 |
Total of all active and inactive participants | 2014-01-01 | 2,985 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-01-01 | 0 |
Total participants | 2014-01-01 | 2,985 |
Number of participants with account balances | 2014-01-01 | 2,964 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-01-01 | 139 |
2013: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2013 401k membership | ||
Total participants, beginning-of-year | 2013-01-01 | 2,686 |
Total number of active participants reported on line 7a of the Form 5500 | 2013-01-01 | 1,755 |
Number of retired or separated participants receiving benefits | 2013-01-01 | 1 |
Number of other retired or separated participants entitled to future benefits | 2013-01-01 | 1,040 |
Total of all active and inactive participants | 2013-01-01 | 2,796 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-01-01 | 0 |
Total participants | 2013-01-01 | 2,796 |
Number of participants with account balances | 2013-01-01 | 2,775 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-01-01 | 272 |
2012: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2012 401k membership | ||
Total participants, beginning-of-year | 2012-01-01 | 2,764 |
Total number of active participants reported on line 7a of the Form 5500 | 2012-01-01 | 1,827 |
Number of retired or separated participants receiving benefits | 2012-01-01 | 1 |
Number of other retired or separated participants entitled to future benefits | 2012-01-01 | 857 |
Total of all active and inactive participants | 2012-01-01 | 2,685 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-01-01 | 1 |
Total participants | 2012-01-01 | 2,686 |
Number of participants with account balances | 2012-01-01 | 2,673 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-01-01 | 275 |
2011: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2011 401k membership | ||
Total participants, beginning-of-year | 2011-01-01 | 2,032 |
Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 2,034 |
Number of retired or separated participants receiving benefits | 2011-01-01 | 1 |
Number of other retired or separated participants entitled to future benefits | 2011-01-01 | 728 |
Total of all active and inactive participants | 2011-01-01 | 2,763 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-01-01 | 1 |
Total participants | 2011-01-01 | 2,764 |
Number of participants with account balances | 2011-01-01 | 2,458 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-01-01 | 201 |
2009: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2009 401k membership | ||
Total participants, beginning-of-year | 2009-01-01 | 1,220 |
Total number of active participants reported on line 7a of the Form 5500 | 2009-01-01 | 878 |
Number of retired or separated participants receiving benefits | 2009-01-01 | 1 |
Number of other retired or separated participants entitled to future benefits | 2009-01-01 | 596 |
Total of all active and inactive participants | 2009-01-01 | 1,475 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-01-01 | 2 |
Total participants | 2009-01-01 | 1,477 |
Number of participants with account balances | 2009-01-01 | 1,451 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-01-01 | 40 |
Measure | Date | Value |
---|---|---|
2022 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2022 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2022-12-31 | $0 |
Total transfer of assets to this plan | 2022-12-31 | $383,496 |
Total transfer of assets from this plan | 2022-12-31 | $587 |
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 | $-114,748,826 |
Total loss/gain on sale of assets | 2022-12-31 | $0 |
Total of all expenses incurred | 2022-12-31 | $43,615,262 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $43,019,455 |
Expenses. Certain deemed distributions of participant loans | 2022-12-31 | $18,599 |
Value of total corrective distributions | 2022-12-31 | $215,578 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $61,994,104 |
Value of total assets at end of year | 2022-12-31 | $848,210,952 |
Value of total assets at beginning of year | 2022-12-31 | $1,006,192,131 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $361,630 |
Total interest from all sources | 2022-12-31 | $120,796 |
Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $25,568,756 |
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 | $25,568,756 |
Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
Value of fidelity bond cover | 2022-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2022-12-31 | Yes |
Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
Contributions received from participants | 2022-12-31 | $28,762,831 |
Participant contributions at end of year | 2022-12-31 | $2,403,322 |
Participant contributions at beginning of year | 2022-12-31 | $2,850,587 |
Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $3,440,403 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2022-12-31 | $54,885 |
Other income not declared elsewhere | 2022-12-31 | $109,872 |
Administrative expenses (other) incurred | 2022-12-31 | $361,630 |
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 | $-158,364,088 |
Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $848,210,952 |
Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $1,006,192,131 |
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 | $564,456,763 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-12-31 | $676,996,060 |
Interest on participant loans | 2022-12-31 | $120,796 |
Value of interest in common/collective trusts at end of year | 2022-12-31 | $268,132,537 |
Value of interest in common/collective trusts at beginning of year | 2022-12-31 | $314,644,207 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $-149,987,159 |
Net investment gain or loss from common/collective trusts | 2022-12-31 | $-52,555,195 |
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 | $29,790,870 |
Employer contributions (assets) at end of year | 2022-12-31 | $13,218,330 |
Employer contributions (assets) at beginning of year | 2022-12-31 | $11,701,277 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $42,964,570 |
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 | 2022-12-31 | Yes |
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 | MITCHELL & TITUS |
Accountancy firm EIN | 2022-12-31 | 132781641 |
2021 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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 | $179,850,103 |
Total loss/gain on sale of assets | 2021-12-31 | $0 |
Total of all expenses incurred | 2021-12-31 | $43,233,415 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $42,668,275 |
Expenses. Certain deemed distributions of participant loans | 2021-12-31 | $7,041 |
Value of total corrective distributions | 2021-12-31 | $259,508 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $58,903,893 |
Value of total assets at end of year | 2021-12-31 | $1,006,192,131 |
Value of total assets at beginning of year | 2021-12-31 | $869,575,443 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $298,591 |
Total interest from all sources | 2021-12-31 | $134,691 |
Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $43,100,012 |
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 | $43,100,012 |
Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
Value of fidelity bond cover | 2021-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
Contributions received from participants | 2021-12-31 | $26,263,191 |
Participant contributions at end of year | 2021-12-31 | $2,850,587 |
Participant contributions at beginning of year | 2021-12-31 | $2,419,197 |
Participant contributions at beginning of year | 2021-12-31 | $438 |
Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $5,273,677 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2021-12-31 | $626 |
Other income not declared elsewhere | 2021-12-31 | $16,753 |
Administrative expenses (other) incurred | 2021-12-31 | $298,591 |
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 | $136,616,688 |
Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $1,006,192,131 |
Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $869,575,443 |
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 | $676,996,060 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-31 | $855,220,487 |
Interest on participant loans | 2021-12-31 | $134,691 |
Value of interest in common/collective trusts at end of year | 2021-12-31 | $314,644,207 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-31 | $54,406,100 |
Net investment gain or loss from common/collective trusts | 2021-12-31 | $23,288,654 |
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 | No |
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 | $27,367,025 |
Employer contributions (assets) at end of year | 2021-12-31 | $11,701,277 |
Employer contributions (assets) at beginning of year | 2021-12-31 | $11,935,321 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $42,667,649 |
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 | MITCHELL & TITUS |
Accountancy firm EIN | 2021-12-31 | 132781641 |
2020 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2020 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2020-12-31 | $0 |
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 | $188,238,352 |
Total loss/gain on sale of assets | 2020-12-31 | $0 |
Total of all expenses incurred | 2020-12-31 | $42,215,617 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $41,703,675 |
Expenses. Certain deemed distributions of participant loans | 2020-12-31 | $36,071 |
Value of total corrective distributions | 2020-12-31 | $20,183 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $54,335,832 |
Value of total assets at end of year | 2020-12-31 | $869,575,443 |
Value of total assets at beginning of year | 2020-12-31 | $723,552,708 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $455,688 |
Total interest from all sources | 2020-12-31 | $133,840 |
Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $25,972,395 |
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 | $25,972,395 |
Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
Value of fidelity bond cover | 2020-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
Contributions received from participants | 2020-12-31 | $24,774,660 |
Participant contributions at end of year | 2020-12-31 | $2,419,197 |
Participant contributions at beginning of year | 2020-12-31 | $2,279,627 |
Participant contributions at end of year | 2020-12-31 | $438 |
Income. Received or receivable in cash from other sources (including rollovers) | 2020-12-31 | $1,995,671 |
Other income not declared elsewhere | 2020-12-31 | $3,857 |
Administrative expenses (other) incurred | 2020-12-31 | $455,688 |
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 | $146,022,735 |
Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $869,575,443 |
Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $723,552,708 |
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 | $855,220,487 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $710,130,667 |
Interest on participant loans | 2020-12-31 | $133,840 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $107,792,428 |
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 | No |
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 | $27,565,501 |
Employer contributions (assets) at end of year | 2020-12-31 | $11,935,321 |
Employer contributions (assets) at beginning of year | 2020-12-31 | $11,142,414 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $41,703,675 |
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 | MITCHELL & TITUS |
Accountancy firm EIN | 2020-12-31 | 132781641 |
2019 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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 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 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 | $185,405,607 |
Total income from all sources (including contributions) | 2019-12-31 | $185,405,607 |
Total loss/gain on sale of assets | 2019-12-31 | $0 |
Total loss/gain on sale of assets | 2019-12-31 | $0 |
Total of all expenses incurred | 2019-12-31 | $53,199,539 |
Total of all expenses incurred | 2019-12-31 | $53,199,539 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $52,387,731 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $52,387,731 |
Expenses. Certain deemed distributions of participant loans | 2019-12-31 | $21,596 |
Expenses. Certain deemed distributions of participant loans | 2019-12-31 | $21,596 |
Value of total corrective distributions | 2019-12-31 | $198,272 |
Value of total corrective distributions | 2019-12-31 | $198,272 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $52,247,377 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $52,247,377 |
Value of total assets at end of year | 2019-12-31 | $723,552,708 |
Value of total assets at end of year | 2019-12-31 | $723,552,708 |
Value of total assets at beginning of year | 2019-12-31 | $591,346,640 |
Value of total assets at beginning of year | 2019-12-31 | $591,346,640 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $591,940 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $591,940 |
Total interest from all sources | 2019-12-31 | $123,407 |
Total interest from all sources | 2019-12-31 | $123,407 |
Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $24,974,298 |
Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $24,974,298 |
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 | $24,974,298 |
Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $24,974,298 |
Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
Value of fidelity bond cover | 2019-12-31 | $50,000,000 |
Value of fidelity bond cover | 2019-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
Contributions received from participants | 2019-12-31 | $23,570,294 |
Contributions received from participants | 2019-12-31 | $23,570,294 |
Participant contributions at end of year | 2019-12-31 | $2,279,627 |
Participant contributions at end of year | 2019-12-31 | $2,279,627 |
Participant contributions at beginning of year | 2019-12-31 | $2,491,885 |
Participant contributions at beginning of year | 2019-12-31 | $2,491,885 |
Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $2,857,924 |
Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $2,857,924 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2019-12-31 | $195 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2019-12-31 | $195 |
Other income not declared elsewhere | 2019-12-31 | $13,856 |
Other income not declared elsewhere | 2019-12-31 | $13,856 |
Administrative expenses (other) incurred | 2019-12-31 | $591,940 |
Administrative expenses (other) incurred | 2019-12-31 | $591,940 |
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 |
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 | $132,206,068 |
Value of net income/loss | 2019-12-31 | $132,206,068 |
Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $723,552,708 |
Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $723,552,708 |
Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $591,346,640 |
Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $591,346,640 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
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 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 |
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 | $710,130,667 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $710,130,667 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $577,161,560 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $577,161,560 |
Interest on participant loans | 2019-12-31 | $123,407 |
Interest on participant loans | 2019-12-31 | $123,407 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $108,046,669 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $108,046,669 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
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 |
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 |
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 | $25,819,159 |
Contributions received in cash from employer | 2019-12-31 | $25,819,159 |
Employer contributions (assets) at end of year | 2019-12-31 | $11,142,414 |
Employer contributions (assets) at end of year | 2019-12-31 | $11,142,414 |
Employer contributions (assets) at beginning of year | 2019-12-31 | $11,693,195 |
Employer contributions (assets) at beginning of year | 2019-12-31 | $11,693,195 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $52,387,536 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $52,387,536 |
Did the plan have assets held for investment | 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 |
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 |
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 |
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 |
Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
Accountancy firm name | 2019-12-31 | MITCHELL & TITUS |
Accountancy firm name | 2019-12-31 | MITCHELL & TITUS |
Accountancy firm EIN | 2019-12-31 | 132781641 |
Accountancy firm EIN | 2019-12-31 | 132781641 |
2018 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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 | $22,990,088 |
Total loss/gain on sale of assets | 2018-12-31 | $0 |
Total of all expenses incurred | 2018-12-31 | $34,396,987 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $34,332,456 |
Value of total corrective distributions | 2018-12-31 | $59,756 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $57,737,863 |
Value of total assets at end of year | 2018-12-31 | $591,346,640 |
Value of total assets at beginning of year | 2018-12-31 | $602,753,539 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $4,775 |
Total interest from all sources | 2018-12-31 | $121,452 |
Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $26,868,029 |
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 | $26,868,029 |
Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
Value of fidelity bond cover | 2018-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2018-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
Contributions received from participants | 2018-12-31 | $23,575,909 |
Participant contributions at end of year | 2018-12-31 | $2,491,885 |
Participant contributions at beginning of year | 2018-12-31 | $2,346,959 |
Income. Received or receivable in cash from other sources (including rollovers) | 2018-12-31 | $7,706,763 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2018-12-31 | $30 |
Other income not declared elsewhere | 2018-12-31 | $3,546 |
Administrative expenses (other) incurred | 2018-12-31 | $4,775 |
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 | $-11,406,899 |
Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $591,346,640 |
Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $602,753,539 |
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 | $577,161,560 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $589,164,619 |
Interest on participant loans | 2018-12-31 | $121,452 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-61,740,802 |
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 | $26,455,191 |
Employer contributions (assets) at end of year | 2018-12-31 | $11,693,195 |
Employer contributions (assets) at beginning of year | 2018-12-31 | $11,241,961 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $34,332,426 |
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 | MITCHELL & TITUS |
Accountancy firm EIN | 2018-12-31 | 132781641 |
2017 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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 | $138,576,455 |
Total loss/gain on sale of assets | 2017-12-31 | $0 |
Total of all expenses incurred | 2017-12-31 | $33,748,677 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $33,514,944 |
Expenses. Certain deemed distributions of participant loans | 2017-12-31 | $-8,744 |
Value of total corrective distributions | 2017-12-31 | $112,554 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $50,673,155 |
Value of total assets at end of year | 2017-12-31 | $602,753,539 |
Value of total assets at beginning of year | 2017-12-31 | $497,925,761 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $129,923 |
Total interest from all sources | 2017-12-31 | $101,008 |
Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $18,882,143 |
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 | $18,882,143 |
Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
Value of fidelity bond cover | 2017-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2017-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
Contributions received from participants | 2017-12-31 | $21,879,530 |
Participant contributions at end of year | 2017-12-31 | $2,346,959 |
Participant contributions at beginning of year | 2017-12-31 | $2,275,124 |
Income. Received or receivable in cash from other sources (including rollovers) | 2017-12-31 | $3,674,234 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2017-12-31 | $2,631,418 |
Other income not declared elsewhere | 2017-12-31 | $3,422 |
Administrative expenses (other) incurred | 2017-12-31 | $129,923 |
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 | $104,827,778 |
Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $602,753,539 |
Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $497,925,761 |
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 | $589,164,619 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $484,300,660 |
Interest on participant loans | 2017-12-31 | $101,008 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $68,916,727 |
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 | $25,119,391 |
Employer contributions (assets) at end of year | 2017-12-31 | $11,241,961 |
Employer contributions (assets) at beginning of year | 2017-12-31 | $11,349,977 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $30,883,526 |
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 | MICTHELL & TITUS |
Accountancy firm EIN | 2017-12-31 | 132781641 |
2016 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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 | $90,993,696 |
Total loss/gain on sale of assets | 2016-12-31 | $0 |
Total of all expenses incurred | 2016-12-31 | $34,162,012 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $33,824,302 |
Value of total corrective distributions | 2016-12-31 | $150,011 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $53,796,755 |
Value of total assets at end of year | 2016-12-31 | $497,925,761 |
Value of total assets at beginning of year | 2016-12-31 | $441,094,077 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $187,699 |
Total interest from all sources | 2016-12-31 | $89,241 |
Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $13,566,394 |
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 | $13,566,394 |
Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
Value of fidelity bond cover | 2016-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2016-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
Contributions received from participants | 2016-12-31 | $22,938,536 |
Participant contributions at end of year | 2016-12-31 | $2,275,124 |
Participant contributions at beginning of year | 2016-12-31 | $2,057,874 |
Income. Received or receivable in cash from other sources (including rollovers) | 2016-12-31 | $4,962,716 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2016-12-31 | $21,424 |
Other income not declared elsewhere | 2016-12-31 | $9,402 |
Administrative expenses (other) incurred | 2016-12-31 | $187,699 |
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 | $56,831,684 |
Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $497,925,761 |
Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $441,094,077 |
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 | $484,300,660 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $427,104,866 |
Interest on participant loans | 2016-12-31 | $89,241 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $23,531,904 |
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 | $25,895,503 |
Employer contributions (assets) at end of year | 2016-12-31 | $11,349,977 |
Employer contributions (assets) at beginning of year | 2016-12-31 | $11,931,337 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $33,802,878 |
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 | MICTHELL & TITUS |
Accountancy firm EIN | 2016-12-31 | 132781641 |
2015 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2015 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2015-12-31 | $0 |
Total transfer of assets from this plan | 2015-12-31 | $420,863 |
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 | $51,544,911 |
Total loss/gain on sale of assets | 2015-12-31 | $0 |
Total of all expenses incurred | 2015-12-31 | $29,330,091 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $29,073,393 |
Expenses. Certain deemed distributions of participant loans | 2015-12-31 | $61,213 |
Value of total corrective distributions | 2015-12-31 | $115,279 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $54,163,417 |
Value of total assets at end of year | 2015-12-31 | $441,094,077 |
Value of total assets at beginning of year | 2015-12-31 | $419,300,120 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $80,206 |
Total interest from all sources | 2015-12-31 | $78,088 |
Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $15,177,627 |
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 | $15,177,627 |
Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
Value of fidelity bond cover | 2015-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2015-12-31 | Yes |
Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
Contributions received from participants | 2015-12-31 | $23,099,695 |
Participant contributions at end of year | 2015-12-31 | $2,057,874 |
Participant contributions at beginning of year | 2015-12-31 | $1,808,676 |
Income. Received or receivable in cash from other sources (including rollovers) | 2015-12-31 | $4,502,097 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2015-12-31 | $1,768 |
Other income not declared elsewhere | 2015-12-31 | $57,703 |
Administrative expenses (other) incurred | 2015-12-31 | $80,206 |
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 | $22,214,820 |
Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $441,094,077 |
Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $419,300,120 |
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 | $427,104,866 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $406,555,096 |
Interest on participant loans | 2015-12-31 | $78,088 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-17,931,924 |
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 | $26,561,625 |
Employer contributions (assets) at end of year | 2015-12-31 | $11,931,337 |
Employer contributions (assets) at beginning of year | 2015-12-31 | $10,936,348 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $29,071,625 |
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 | 2015-12-31 | Yes |
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 | MITCHELL & TITUS |
Accountancy firm EIN | 2015-12-31 | 132781641 |
2014 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2014 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
Total transfer of assets to this plan | 2014-12-31 | $1,742,973 |
Total transfer of assets from this plan | 2014-12-31 | $3,187,927 |
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 | $73,577,824 |
Total loss/gain on sale of assets | 2014-12-31 | $0 |
Total of all expenses incurred | 2014-12-31 | $23,863,939 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $23,685,007 |
Expenses. Certain deemed distributions of participant loans | 2014-12-31 | $17,060 |
Value of total corrective distributions | 2014-12-31 | $83,533 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $47,739,531 |
Value of total assets at end of year | 2014-12-31 | $419,300,120 |
Value of total assets at beginning of year | 2014-12-31 | $371,031,189 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $78,339 |
Total interest from all sources | 2014-12-31 | $76,013 |
Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $15,185,894 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2014-12-31 | $15,185,894 |
Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
Value of fidelity bond cover | 2014-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
Contributions received from participants | 2014-12-31 | $21,285,957 |
Participant contributions at end of year | 2014-12-31 | $1,808,676 |
Participant contributions at beginning of year | 2014-12-31 | $1,879,317 |
Income. Received or receivable in cash from other sources (including rollovers) | 2014-12-31 | $1,840,889 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2014-12-31 | $1,286 |
Other income not declared elsewhere | 2014-12-31 | $17,711 |
Administrative expenses (other) incurred | 2014-12-31 | $78,339 |
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 | $49,713,885 |
Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $419,300,120 |
Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $371,031,189 |
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 | $406,555,096 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $358,834,468 |
Interest on participant loans | 2014-12-31 | $76,013 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $10,558,675 |
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 | $24,612,685 |
Employer contributions (assets) at end of year | 2014-12-31 | $10,936,348 |
Employer contributions (assets) at beginning of year | 2014-12-31 | $10,317,404 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $23,683,721 |
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 | MITCHELL & TITUS |
Accountancy firm EIN | 2014-12-31 | 132781641 |
2013 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2013 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
Total income from all sources (including contributions) | 2013-12-31 | $108,829,216 |
Total loss/gain on sale of assets | 2013-12-31 | $0 |
Total of all expenses incurred | 2013-12-31 | $25,263,227 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $25,129,557 |
Expenses. Certain deemed distributions of participant loans | 2013-12-31 | $25,993 |
Value of total corrective distributions | 2013-12-31 | $101,359 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $48,330,444 |
Value of total assets at end of year | 2013-12-31 | $371,031,189 |
Value of total assets at beginning of year | 2013-12-31 | $287,465,200 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $6,318 |
Total interest from all sources | 2013-12-31 | $70,859 |
Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $9,298,490 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $9,298,490 |
Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
Value of fidelity bond cover | 2013-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
Contributions received from participants | 2013-12-31 | $19,540,257 |
Participant contributions at end of year | 2013-12-31 | $1,879,317 |
Participant contributions at beginning of year | 2013-12-31 | $1,574,047 |
Income. Received or receivable in cash from other sources (including rollovers) | 2013-12-31 | $5,877,526 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2013-12-31 | $31,010 |
Other income not declared elsewhere | 2013-12-31 | $3,597 |
Administrative expenses (other) incurred | 2013-12-31 | $6,318 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
Value of net income/loss | 2013-12-31 | $83,565,989 |
Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $371,031,189 |
Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $287,465,200 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $358,834,468 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $274,720,491 |
Interest on participant loans | 2013-12-31 | $70,859 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $51,125,826 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
Contributions received in cash from employer | 2013-12-31 | $22,912,661 |
Employer contributions (assets) at end of year | 2013-12-31 | $10,317,404 |
Employer contributions (assets) at beginning of year | 2013-12-31 | $11,170,662 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $25,098,547 |
Did the plan have assets held for investment | 2013-12-31 | 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 | 2013-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
Accountancy firm name | 2013-12-31 | MITCHELL & TITUS |
Accountancy firm EIN | 2013-12-31 | 132781641 |
2012 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2012 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2012-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total income from all sources (including contributions) | 2012-12-31 | $75,339,165 |
Total loss/gain on sale of assets | 2012-12-31 | $0 |
Total of all expenses incurred | 2012-12-31 | $24,121,666 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $23,966,854 |
Value of total corrective distributions | 2012-12-31 | $150,427 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $46,404,366 |
Value of total assets at end of year | 2012-12-31 | $287,465,200 |
Value of total assets at beginning of year | 2012-12-31 | $236,247,701 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $4,385 |
Total interest from all sources | 2012-12-31 | $67,152 |
Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $6,432,222 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $6,432,222 |
Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
Value of fidelity bond cover | 2012-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
Contributions received from participants | 2012-12-31 | $19,481,386 |
Participant contributions at end of year | 2012-12-31 | $1,574,047 |
Participant contributions at beginning of year | 2012-12-31 | $1,407,398 |
Income. Received or receivable in cash from other sources (including rollovers) | 2012-12-31 | $2,938,610 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2012-12-31 | $761 |
Other income not declared elsewhere | 2012-12-31 | $61,581 |
Administrative expenses (other) incurred | 2012-12-31 | $4,385 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Value of net income/loss | 2012-12-31 | $51,217,499 |
Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $287,465,200 |
Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $236,247,701 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $274,720,491 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $224,556,486 |
Interest on participant loans | 2012-12-31 | $67,152 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $22,373,844 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
Contributions received in cash from employer | 2012-12-31 | $23,984,370 |
Employer contributions (assets) at end of year | 2012-12-31 | $11,170,662 |
Employer contributions (assets) at beginning of year | 2012-12-31 | $10,283,817 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $23,966,093 |
Did the plan have assets held for investment | 2012-12-31 | 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 | 2012-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
Accountancy firm name | 2012-12-31 | MITCHELL & TITUS |
Accountancy firm EIN | 2012-12-31 | 132781641 |
2011 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2011 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2011-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
Total income from all sources (including contributions) | 2011-12-31 | $42,262,817 |
Total loss/gain on sale of assets | 2011-12-31 | $0 |
Total of all expenses incurred | 2011-12-31 | $14,594,121 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $14,485,075 |
Expenses. Certain deemed distributions of participant loans | 2011-12-31 | $17,035 |
Value of total corrective distributions | 2011-12-31 | $87,042 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $44,601,108 |
Value of total assets at end of year | 2011-12-31 | $236,247,701 |
Value of total assets at beginning of year | 2011-12-31 | $208,579,005 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $4,969 |
Total interest from all sources | 2011-12-31 | $54,838 |
Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $4,713,714 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $4,713,714 |
Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
Value of fidelity bond cover | 2011-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
Contributions received from participants | 2011-12-31 | $18,571,915 |
Participant contributions at end of year | 2011-12-31 | $1,407,398 |
Participant contributions at beginning of year | 2011-12-31 | $916,599 |
Income. Received or receivable in cash from other sources (including rollovers) | 2011-12-31 | $4,035,057 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2011-12-31 | $46,251 |
Other income not declared elsewhere | 2011-12-31 | $1,344 |
Administrative expenses (other) incurred | 2011-12-31 | $4,969 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Value of net income/loss | 2011-12-31 | $27,668,696 |
Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $236,247,701 |
Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $208,579,005 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $224,556,486 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $200,175,400 |
Interest on participant loans | 2011-12-31 | $54,838 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-7,108,187 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
Contributions received in cash from employer | 2011-12-31 | $21,994,136 |
Employer contributions (assets) at end of year | 2011-12-31 | $10,283,817 |
Employer contributions (assets) at beginning of year | 2011-12-31 | $7,487,006 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $14,438,824 |
Did the plan have assets held for investment | 2011-12-31 | 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 | 2011-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
Accountancy firm name | 2011-12-31 | MITCHELL & TITUS |
Accountancy firm EIN | 2011-12-31 | 132781641 |
2010 : NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2010 401k financial data | ||
Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total income from all sources (including contributions) | 2010-12-31 | $56,326,912 |
Total loss/gain on sale of assets | 2010-12-31 | $0 |
Total of all expenses incurred | 2010-12-31 | $14,332,334 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $14,306,248 |
Value of total corrective distributions | 2010-12-31 | $21,305 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $35,815,758 |
Value of total assets at end of year | 2010-12-31 | $208,579,005 |
Value of total assets at beginning of year | 2010-12-31 | $166,584,427 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $4,781 |
Total interest from all sources | 2010-12-31 | $44,619 |
Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $3,393,407 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $3,393,407 |
Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
Value of fidelity bond cover | 2010-12-31 | $50,000,000 |
If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
Contributions received from participants | 2010-12-31 | $13,706,867 |
Participant contributions at end of year | 2010-12-31 | $916,599 |
Participant contributions at beginning of year | 2010-12-31 | $842,885 |
Income. Received or receivable in cash from other sources (including rollovers) | 2010-12-31 | $7,325,964 |
Other income not declared elsewhere | 2010-12-31 | $53,361 |
Administrative expenses (other) incurred | 2010-12-31 | $4,781 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Value of net income/loss | 2010-12-31 | $41,994,578 |
Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $208,579,005 |
Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $166,584,427 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $200,175,400 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $162,218,287 |
Interest on participant loans | 2010-12-31 | $44,619 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $17,019,767 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
Contributions received in cash from employer | 2010-12-31 | $14,782,927 |
Employer contributions (assets) at end of year | 2010-12-31 | $7,487,006 |
Employer contributions (assets) at beginning of year | 2010-12-31 | $3,523,255 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $14,306,248 |
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 | 2010-12-31 | No |
Did the plan have assets held for investment | 2010-12-31 | 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 | 2010-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Disclaimer |
Accountancy firm name | 2010-12-31 | MITCHELL & TITUS |
Accountancy firm EIN | 2010-12-31 | 132781641 |
2022: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2020 form 5500 responses | ||
2020-01-01 | Type of plan entity | Single employer plan |
2020-01-01 | Submission has been amended | No |
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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 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: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2014 form 5500 responses | ||
2014-01-01 | Type of plan entity | Single employer plan |
2014-01-01 | Submission has been amended | No |
2014-01-01 | This submission is the final filing | No |
2014-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2014-01-01 | Plan is a collectively bargained plan | No |
2014-01-01 | Plan funding arrangement – Trust | Yes |
2014-01-01 | Plan benefit arrangement - Trust | Yes |
2013: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2013 form 5500 responses | ||
2013-01-01 | Type of plan entity | Single employer plan |
2013-01-01 | Submission has been amended | No |
2013-01-01 | This submission is the final filing | No |
2013-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2013-01-01 | Plan is a collectively bargained plan | No |
2013-01-01 | Plan funding arrangement – Trust | Yes |
2013-01-01 | Plan benefit arrangement - Trust | Yes |
2012: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2012 form 5500 responses | ||
2012-01-01 | Type of plan entity | Single employer plan |
2012-01-01 | Submission has been amended | No |
2012-01-01 | This submission is the final filing | No |
2012-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2012-01-01 | Plan is a collectively bargained plan | No |
2012-01-01 | Plan funding arrangement – Trust | Yes |
2012-01-01 | Plan benefit arrangement - Trust | Yes |
2011: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2011 form 5500 responses | ||
2011-01-01 | Type of plan entity | Single employer plan |
2011-01-01 | Submission has been amended | No |
2011-01-01 | This submission is the final filing | No |
2011-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2011-01-01 | Plan is a collectively bargained plan | No |
2011-01-01 | Plan funding arrangement – Trust | Yes |
2011-01-01 | Plan benefit arrangement - Trust | Yes |
2009: NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN 2009 form 5500 responses | ||
2009-01-01 | Type of plan entity | Mulitple 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 – Trust | Yes |
2009-01-01 | Plan benefit arrangement - Trust | Yes |