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GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 401k Plan overview

Plan NameGREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN
Plan identification number 003

GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • 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.

401k Sponsoring company profile

GREENE, TWEED & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name:GREENE, TWEED & CO., INC.
Employer identification number (EIN):231287953
NAIC Classification:339900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032012-01-01SUSAN MORGAN
0032011-01-01SUSAN M. MORGAN SUSAN M. MORGAN2012-10-11
0032009-01-01SUSAN M. MORGAN SUSAN M. MORGAN2010-08-17

Plan Statistics for GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN

401k plan membership statisitcs for GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN

Measure Date Value
2012: GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01910
Total number of active participants reported on line 7a of the Form 55002012-01-01810
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01150
Total of all active and inactive participants2012-01-01960
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-014
Total participants2012-01-01964
Number of participants with account balances2012-01-01946
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0153
2011: GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01825
Total number of active participants reported on line 7a of the Form 55002011-01-01733
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01151
Total of all active and inactive participants2011-01-01884
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-013
Total participants2011-01-01887
Number of participants with account balances2011-01-01870
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01873
Total number of active participants reported on line 7a of the Form 55002009-01-01595
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01185
Total of all active and inactive participants2009-01-01780
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-013
Total participants2009-01-01783
Number of participants with account balances2009-01-01766
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-01115

Financial Data on GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN

Measure Date Value
2012 : GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$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$12,279,414
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$2,204,845
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$2,181,234
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$6,846,808
Value of total assets at end of year2012-12-31$55,744,381
Value of total assets at beginning of year2012-12-31$45,669,812
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$23,611
Total interest from all sources2012-12-31$58,646
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$609,213
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$609,213
Administrative expenses professional fees incurred2012-12-31$8,000
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$2,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$4,360,774
Participant contributions at end of year2012-12-31$1,505,277
Participant contributions at beginning of year2012-12-31$1,051,576
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$587,133
Other income not declared elsewhere2012-12-31$20,797
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$10,074,569
Value of net assets at end of year (total assets less liabilities)2012-12-31$55,744,381
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$45,669,812
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$11
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$42,771,448
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$35,626,098
Value of interest in pooled separate accounts at end of year2012-12-31$8,806,214
Value of interest in pooled separate accounts at beginning of year2012-12-31$6,797,693
Interest on participant loans2012-12-31$58,646
Value of interest in common/collective trusts at end of year2012-12-31$2,661,442
Value of interest in common/collective trusts at beginning of year2012-12-31$2,194,445
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$4,205,540
Net investment gain/loss from pooled separate accounts2012-12-31$159,155
Net investment gain or loss from common/collective trusts2012-12-31$379,255
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$1,898,901
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$2,181,234
Contract administrator fees2012-12-31$15,600
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31CLIFTONLARSONALLEN, LLP
Accountancy firm EIN2012-12-31410746749
2011 : GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$0
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets to this plan2011-12-31$148
Total transfer of assets from this plan2011-12-31$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$5,428,011
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,855,716
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,842,296
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Value of total corrective distributions2011-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$5,920,194
Value of total assets at end of year2011-12-31$45,669,812
Value of total assets at beginning of year2011-12-31$43,097,369
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$13,420
Total interest from all sources2011-12-31$50,582
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$397,529
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$397,529
Administrative expenses professional fees incurred2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$2,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$3,704,990
Participant contributions at end of year2011-12-31$1,051,576
Participant contributions at beginning of year2011-12-31$905,006
Participant contributions at end of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$639,946
Other income not declared elsewhere2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$2,572,295
Value of net assets at end of year (total assets less liabilities)2011-12-31$45,669,812
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$43,097,369
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$714
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$35,626,098
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$34,534,000
Value of interest in pooled separate accounts at end of year2011-12-31$6,797,693
Value of interest in pooled separate accounts at beginning of year2011-12-31$5,640,943
Interest on participant loans2011-12-31$50,582
Value of interest in common/collective trusts at end of year2011-12-31$2,194,445
Value of interest in common/collective trusts at beginning of year2011-12-31$2,017,420
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,156,839
Net investment gain/loss from pooled separate accounts2011-12-31$160,664
Net investment gain or loss from common/collective trusts2011-12-31$55,881
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$0
Contributions received in cash from employer2011-12-31$1,575,258
Employer contributions (assets) at end of year2011-12-31$0
Income. Dividends from common stock2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,842,296
Contract administrator fees2011-12-31$12,706
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$0
Aggregate carrying amount (costs) on sale of assets2011-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31LARSONALLEN LLP
Accountancy firm EIN2011-12-31410746749
2010 : GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$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$9,290,093
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$3,206,601
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$3,184,957
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$4,585,747
Value of total assets at end of year2010-12-31$43,097,369
Value of total assets at beginning of year2010-12-31$37,013,877
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$21,644
Total interest from all sources2010-12-31$46,527
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$594,978
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$594,978
Administrative expenses professional fees incurred2010-12-31$2,000
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$2,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$3,142,337
Participant contributions at end of year2010-12-31$905,006
Participant contributions at beginning of year2010-12-31$728,834
Participant contributions at beginning of year2010-12-31$3,604
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$138,615
Other income not declared elsewhere2010-12-31$5,362
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$6,083,492
Value of net assets at end of year (total assets less liabilities)2010-12-31$43,097,369
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$37,013,877
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$13,839
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$34,534,000
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$29,289,404
Value of interest in pooled separate accounts at end of year2010-12-31$5,640,943
Value of interest in pooled separate accounts at beginning of year2010-12-31$5,398,000
Interest on participant loans2010-12-31$46,527
Value of interest in common/collective trusts at end of year2010-12-31$2,017,420
Value of interest in common/collective trusts at beginning of year2010-12-31$1,594,012
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$3,655,905
Net investment gain/loss from pooled separate accounts2010-12-31$143,150
Net investment gain or loss from common/collective trusts2010-12-31$258,424
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$1,304,795
Employer contributions (assets) at beginning of year2010-12-31$23
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$3,184,957
Contract administrator fees2010-12-31$5,805
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31LARSONALLEN LLP
Accountancy firm EIN2010-12-31410746749
2009 : GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN

2012: GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: GREENE, TWEED & CO., INC. SAVINGS AND INVESTMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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