401k Plan data: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN plan

PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 401k Plan overview

Plan Name	PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN
Plan identification number	001

PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

PENTWATER CAPITAL MANAGEMENT LP has sponsored the creation of one or more 401k plans.

Company Name: PENTWATER CAPITAL MANAGEMENT LP

Employer identification number (EIN): 208726027

NAIC Classification: 523900

Additional information about PENTWATER CAPITAL MANAGEMENT LP

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 4323883

More information about PENTWATER CAPITAL MANAGEMENT LP

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 DAVID ZIRIN 2023-03-21
001 2021-01-01 DAVID ZIRIN 2022-06-21
001 2020-01-01 DAVID ZIRIN 2021-08-18
001 2019-01-01 DAVID ZIRIN 2020-07-02
001 2018-01-01 DAVID ZIRIN 2019-05-02
001 2017-01-01 DAVID ZIRIN 2018-07-12
001 2016-01-01 NEAL NENADOVIC 2017-04-26 NEAL NENADOVIC 2017-04-26
001 2015-01-01 NEAL NENADOVIC 2016-09-26 NEAL NENADOVIC 2016-09-26
001 2014-01-01 NEAL NENADOVIC 2015-10-08 NEAL NENADOVIC 2015-10-08
001 2013-01-01 NEAL NENADOVIC 2014-03-19 NEAL NENADOVIC 2014-03-19
001 2012-01-01 DAVID ZIRIN DAVID ZIRIN 2013-01-31
001 2011-01-01 DAVID ZIRIN DAVID ZIRIN 2012-09-06
001 2009-01-01 DAVID ZIRIN DAVID ZIRIN 2010-09-24

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	DAVID ZIRIN	2023-03-21
001	2021-01-01	DAVID ZIRIN	2022-06-21
001	2020-01-01	DAVID ZIRIN	2021-08-18
001	2019-01-01	DAVID ZIRIN	2020-07-02
001	2018-01-01	DAVID ZIRIN	2019-05-02
001	2017-01-01	DAVID ZIRIN	2018-07-12
001	2016-01-01	NEAL NENADOVIC	2017-04-26	NEAL NENADOVIC	2017-04-26
001	2015-01-01	NEAL NENADOVIC	2016-09-26	NEAL NENADOVIC	2016-09-26
001	2014-01-01	NEAL NENADOVIC	2015-10-08	NEAL NENADOVIC	2015-10-08
001	2013-01-01	NEAL NENADOVIC	2014-03-19	NEAL NENADOVIC	2014-03-19
001	2012-01-01	DAVID ZIRIN		DAVID ZIRIN	2013-01-31
001	2011-01-01	DAVID ZIRIN		DAVID ZIRIN	2012-09-06
001	2009-01-01	DAVID ZIRIN		DAVID ZIRIN	2010-09-24

Plan Statistics for PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN

401k plan membership statisitcs for PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN

Measure Date Value
2012: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 30
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 30
Number of other retired or separated participants entitled to future benefits 2012-01-01 4
Total of all active and inactive participants 2012-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 34
Number of participants with account balances 2012-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 25
Number of other retired or separated participants entitled to future benefits 2011-01-01 4
Total of all active and inactive participants 2011-01-01 29
Total participants 2011-01-01 29
Number of participants with account balances 2011-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 17
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 22
Total participants 2009-01-01 22
Number of participants with account balances 2009-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 10

Measure	Date	Value
2012: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	30
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	30
Number of other retired or separated participants entitled to future benefits	2012-01-01	4
Total of all active and inactive participants	2012-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	34
Number of participants with account balances	2012-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	25
Number of other retired or separated participants entitled to future benefits	2011-01-01	4
Total of all active and inactive participants	2011-01-01	29
Total participants	2011-01-01	29
Number of participants with account balances	2011-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	17
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	22
Total participants	2009-01-01	22
Number of participants with account balances	2009-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	10

Financial Data on PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN

Measure	Date	Value
2012 : PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total income from all sources	2012-12-31	$1,071,292
Expenses. Total of all expenses incurred	2012-12-31	$42,249
Benefits paid (including direct rollovers)	2012-12-31	$42,249
Total plan assets at end of year	2012-12-31	$2,948,058
Total plan assets at beginning of year	2012-12-31	$1,919,015
Value of fidelity bond covering the plan	2012-12-31	$150,000
Total contributions received or receivable from participants	2012-12-31	$414,072
Contributions received from other sources (not participants or employers)	2012-12-31	$154,124
Other income received	2012-12-31	$281,199
Net income (gross income less expenses)	2012-12-31	$1,029,043
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,948,058
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,919,015
Total contributions received or receivable from employer(s)	2012-12-31	$221,897
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$470,497
Expenses. Total of all expenses incurred	2011-12-31	$216,328
Benefits paid (including direct rollovers)	2011-12-31	$216,193
Total plan assets at end of year	2011-12-31	$1,919,015
Total plan assets at beginning of year	2011-12-31	$1,664,846
Value of fidelity bond covering the plan	2011-12-31	$150,000
Total contributions received or receivable from participants	2011-12-31	$351,572
Contributions received from other sources (not participants or employers)	2011-12-31	$1,166
Other income received	2011-12-31	$-85,003
Net income (gross income less expenses)	2011-12-31	$254,169
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,919,015
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,664,846
Total contributions received or receivable from employer(s)	2011-12-31	$202,762
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$135
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$734,023
Expenses. Total of all expenses incurred	2010-12-31	$31,786
Benefits paid (including direct rollovers)	2010-12-31	$31,786
Total plan assets at end of year	2010-12-31	$1,664,846
Total plan assets at beginning of year	2010-12-31	$962,609
Value of fidelity bond covering the plan	2010-12-31	$150,000
Total contributions received or receivable from participants	2010-12-31	$329,762
Contributions received from other sources (not participants or employers)	2010-12-31	$38,857
Other income received	2010-12-31	$178,403
Net income (gross income less expenses)	2010-12-31	$702,237
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,664,846
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$962,609
Total contributions received or receivable from employer(s)	2010-12-31	$187,001
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN

2012: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: PENTWATER CAPITAL MANAGEMENT LP 401(K) 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: PENTWATER CAPITAL MANAGEMENT LP 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77487

Policy instance

Insurance contract or identification number	77487
Number of Individuals Covered	30
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $9,737
Total amount of fees paid to insurance company	USD $1,942
Commission paid to Insurance Broker	USD $8,082
Amount paid for insurance broker fees	971
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	TPA COMPENSATION
Insurance broker name	E.R.I.S.A., INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77487

Policy instance

Insurance contract or identification number	77487
Number of Individuals Covered	26
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $7,177
Total amount of fees paid to insurance company	USD $818
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77487

Policy instance

Insurance contract or identification number	77487
Number of Individuals Covered	28
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $4,811
Total amount of fees paid to insurance company	USD $508
Commission paid to Insurance Broker	USD $3,993
Insurance broker organization code?	3
Amount paid for insurance broker fees	508
Additional information about fees paid to insurance broker	TPA COMPENSATION AND FEES
Insurance broker name	E.R.I.S.A., INC.

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Company Name:	PENTWATER CAPITAL MANAGEMENT LP
Employer identification number (EIN):	208726027
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	4323883