401k Plan data: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN plan

KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN
Plan identification number	002

KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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 sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

KNIGHT CAPITAL GROUP, INC has sponsored the creation of one or more 401k plans.

Company Name: KNIGHT CAPITAL GROUP, INC

Employer identification number (EIN): 223689303

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 JOAN FADER JOAN FADER 2014-10-15
002 2012-01-01 JOAN FADER
002 2011-01-01 JOAN FADER BRONWEN BASTONE 2012-10-10
002 2010-01-01 JOAN FADER BRONWEN BASTONE 2011-10-17
002 2009-01-01 JOAN FADER

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2013-01-01	JOAN FADER	JOAN FADER	2014-10-15
002	2012-01-01	JOAN FADER
002	2011-01-01	JOAN FADER	BRONWEN BASTONE	2012-10-10
002	2010-01-01	JOAN FADER	BRONWEN BASTONE	2011-10-17
002	2009-01-01	JOAN FADER

Plan Statistics for KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN

401k plan membership statisitcs for KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN

Measure Date Value
2013: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,964
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1,007
Number of retired or separated participants receiving benefits 2013-01-01 2
Number of other retired or separated participants entitled to future benefits 2013-01-01 696
Total of all active and inactive participants 2013-01-01 1,705
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 2
Total participants 2013-01-01 1,707
Number of participants with account balances 2013-01-01 1,629
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,932
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,365
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 595
Total of all active and inactive participants 2012-01-01 1,962
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 2
Total participants 2012-01-01 1,964
Number of participants with account balances 2012-01-01 1,927
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 111
2011: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,650
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1,245
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 686
Total of all active and inactive participants 2011-01-01 1,932
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 1,932
Number of participants with account balances 2011-01-01 1,882
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 160
2010: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 1,526
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 1,063
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 587
Total of all active and inactive participants 2010-01-01 1,650
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 1,650
Number of participants with account balances 2010-01-01 1,606
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 123
2009: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,573
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 975
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 551
Total of all active and inactive participants 2009-01-01 1,526
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 1,526
Number of participants with account balances 2009-01-01 1,482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 107

Measure	Date	Value
2013: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,964
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1,007
Number of retired or separated participants receiving benefits	2013-01-01	2
Number of other retired or separated participants entitled to future benefits	2013-01-01	696
Total of all active and inactive participants	2013-01-01	1,705
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	2
Total participants	2013-01-01	1,707
Number of participants with account balances	2013-01-01	1,629
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,932
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,365
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	595
Total of all active and inactive participants	2012-01-01	1,962
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	2
Total participants	2012-01-01	1,964
Number of participants with account balances	2012-01-01	1,927
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	111
2011: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,650
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1,245
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	686
Total of all active and inactive participants	2011-01-01	1,932
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	1,932
Number of participants with account balances	2011-01-01	1,882
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	160
2010: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	1,526
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	1,063
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	587
Total of all active and inactive participants	2010-01-01	1,650
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	1,650
Number of participants with account balances	2010-01-01	1,606
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	123
2009: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,573
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	975
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	551
Total of all active and inactive participants	2009-01-01	1,526
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	1,526
Number of participants with account balances	2009-01-01	1,482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	107

Financial Data on KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN

Measure	Date	Value
2013 : KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$30,187,255
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	$54,098,487
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$30,188,023
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$30,183,536
Value of total corrective distributions	2013-12-31	$767
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$19,557,414
Value of total assets at end of year	2013-12-31	$225,978,892
Value of total assets at beginning of year	2013-12-31	$171,881,173
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,720
Total interest from all sources	2013-12-31	$93,059
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$4,277,384
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	$4,277,384
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$5,000,000
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	$12,873,970
Participant contributions at end of year	2013-12-31	$2,456,965
Participant contributions at beginning of year	2013-12-31	$2,387,221
Participant contributions at end of year	2013-12-31	$190,590
Participant contributions at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$963,896
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$225
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$27,617,632
Other income not declared elsewhere	2013-12-31	$12,740
Administrative expenses (other) incurred	2013-12-31	$3,720
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	$23,910,464
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$225,978,892
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$171,881,173
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	$188,200,564
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$163,261,405
Interest on participant loans	2013-12-31	$93,059
Value of interest in common/collective trusts at end of year	2013-12-31	$7,433,029
Value of interest in common/collective trusts at beginning of year	2013-12-31	$6,216,735
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$30,037,872
Net investment gain or loss from common/collective trusts	2013-12-31	$120,018
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	$5,719,548
Employer contributions (assets) at end of year	2013-12-31	$80,112
Employer contributions (assets) at beginning of year	2013-12-31	$15,812
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$30,183,311
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	EISNER AMPER
Accountancy firm EIN	2013-12-31	131639826
2012 : KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING 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	$40,555,062
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$11,536,162
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$11,530,158
Value of total corrective distributions	2012-12-31	$2,422
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$22,421,487
Value of total assets at end of year	2012-12-31	$171,881,173
Value of total assets at beginning of year	2012-12-31	$142,862,273
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,582
Total interest from all sources	2012-12-31	$103,165
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$3,461,077
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	$3,461,077
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
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	$13,812,188
Participant contributions at end of year	2012-12-31	$2,387,221
Participant contributions at beginning of year	2012-12-31	$2,222,300
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$227,302
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$1,512,256
Other income not declared elsewhere	2012-12-31	$23,717
Administrative expenses (other) incurred	2012-12-31	$3,582
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	$29,018,900
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$171,881,173
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$142,862,273
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	$163,261,405
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$134,110,198
Interest on participant loans	2012-12-31	$103,165
Value of interest in common/collective trusts at end of year	2012-12-31	$6,216,735
Value of interest in common/collective trusts at beginning of year	2012-12-31	$6,186,213
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$14,399,722
Net investment gain or loss from common/collective trusts	2012-12-31	$145,894
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	$7,097,043
Employer contributions (assets) at end of year	2012-12-31	$15,812
Employer contributions (assets) at beginning of year	2012-12-31	$116,260
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$11,530,158
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	EISNER AMPER
Accountancy firm EIN	2012-12-31	013163982
2011 : KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING 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	$19,598,891
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$10,144,392
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$10,131,113
Expenses. Certain deemed distributions of participant loans	2011-12-31	$2,262
Value of total corrective distributions	2011-12-31	$6,898
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$20,760,815
Value of total assets at end of year	2011-12-31	$142,862,273
Value of total assets at beginning of year	2011-12-31	$133,407,774
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$4,119
Total interest from all sources	2011-12-31	$99,462
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$2,710,478
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	$2,710,478
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$5,000,000
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	$12,897,056
Participant contributions at end of year	2011-12-31	$2,222,300
Participant contributions at beginning of year	2011-12-31	$2,130,218
Participant contributions at end of year	2011-12-31	$227,302
Participant contributions at beginning of year	2011-12-31	$201,067
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,142,733
Other income not declared elsewhere	2011-12-31	$2,769
Administrative expenses (other) incurred	2011-12-31	$4,119
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	$9,454,499
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$142,862,273
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$133,407,774
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	$134,110,198
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$125,800,034
Interest on participant loans	2011-12-31	$99,462
Value of interest in common/collective trusts at end of year	2011-12-31	$6,186,213
Value of interest in common/collective trusts at beginning of year	2011-12-31	$5,146,066
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-4,137,805
Net investment gain or loss from common/collective trusts	2011-12-31	$163,172
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	$6,721,026
Employer contributions (assets) at end of year	2011-12-31	$116,260
Employer contributions (assets) at beginning of year	2011-12-31	$130,389
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$10,131,113
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	2011-12-31	No
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	EISNER AMPER LLC
Accountancy firm EIN	2011-12-31	013163982
2010 : KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING 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	$33,021,090
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$8,579,554
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$8,565,335
Value of total corrective distributions	2010-12-31	$11,316
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$19,059,431
Value of total assets at end of year	2010-12-31	$133,407,774
Value of total assets at beginning of year	2010-12-31	$108,966,238
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,903
Total interest from all sources	2010-12-31	$95,907
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$2,019,218
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	$2,019,218
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
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	$11,978,388
Participant contributions at end of year	2010-12-31	$2,130,218
Participant contributions at beginning of year	2010-12-31	$1,642,361
Participant contributions at end of year	2010-12-31	$201,067
Participant contributions at beginning of year	2010-12-31	$163,805
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,028,573
Other income not declared elsewhere	2010-12-31	$39,000
Administrative expenses (other) incurred	2010-12-31	$2,903
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	$24,441,536
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$133,407,774
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$108,966,238
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	$125,800,034
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$103,812,640
Interest on participant loans	2010-12-31	$95,907
Value of interest in common/collective trusts at end of year	2010-12-31	$5,146,066
Value of interest in common/collective trusts at beginning of year	2010-12-31	$3,227,851
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$11,680,425
Net investment gain or loss from common/collective trusts	2010-12-31	$127,109
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	$6,052,470
Employer contributions (assets) at end of year	2010-12-31	$130,389
Employer contributions (assets) at beginning of year	2010-12-31	$119,581
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$8,565,335
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	EISNER AMPER LLC
Accountancy firm EIN	2010-12-31	131639826

Form 5500 Responses for KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN

2013: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING 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: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple 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
2010: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Mulitple employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: KNIGHT CAPITAL GROUP, INC. 401K PROFIT SHARING 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

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KNIGHT CAPITAL LLC [EIN = 364767388]

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Company Name:	KNIGHT CAPITAL GROUP, INC
Employer identification number (EIN):	223689303
NAIC Classification:	523120
NAIC Description:	Securities Brokerage