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COWEN GROUP 401(K) PLAN 401k Plan overview

Plan NameCOWEN GROUP 401(K) PLAN
Plan identification number 001

COWEN GROUP 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

COWEN INC. has sponsored the creation of one or more 401k plans.

Company Name:COWEN INC.
Employer identification number (EIN):270423711
NAIC Classification:523110
NAIC Description:Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COWEN GROUP 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01JANE GERHARD
0012016-01-01JANE GERHARD
0012015-01-01JANE GERHARD
0012014-01-01JANE GERHARD
0012014-01-01JANE GERHARD
0012013-01-01JANE GERHARD
0012012-01-01JANE GERHARD
0012011-01-01JANE GERHARD

Plan Statistics for COWEN GROUP 401(K) PLAN

401k plan membership statisitcs for COWEN GROUP 401(K) PLAN

Measure Date Value
2022: COWEN GROUP 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-012,060
Total number of active participants reported on line 7a of the Form 55002022-01-011,309
Number of retired or separated participants receiving benefits2022-01-01157
Number of other retired or separated participants entitled to future benefits2022-01-01691
Total of all active and inactive participants2022-01-012,157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-011
Total participants2022-01-012,158
Number of participants with account balances2022-01-012,101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-01125
2021: COWEN GROUP 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,954
Total number of active participants reported on line 7a of the Form 55002021-01-011,268
Number of retired or separated participants receiving benefits2021-01-01163
Number of other retired or separated participants entitled to future benefits2021-01-01628
Total of all active and inactive participants2021-01-012,059
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-011
Total participants2021-01-012,060
Number of participants with account balances2021-01-011,991
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0193
2020: COWEN GROUP 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,943
Total number of active participants reported on line 7a of the Form 55002020-01-011,152
Number of retired or separated participants receiving benefits2020-01-01157
Number of other retired or separated participants entitled to future benefits2020-01-01647
Total of all active and inactive participants2020-01-011,956
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-011,957
Number of participants with account balances2020-01-011,897
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0178
2019: COWEN GROUP 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,850
Total number of active participants reported on line 7a of the Form 55002019-01-011,107
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01814
Total of all active and inactive participants2019-01-011,921
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-011,922
Number of participants with account balances2019-01-011,870
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0180
2018: COWEN GROUP 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,243
Total number of active participants reported on line 7a of the Form 55002018-01-011,031
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01819
Total of all active and inactive participants2018-01-011,850
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-011,851
Number of participants with account balances2018-01-011,786
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0187
2017: COWEN GROUP 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-011,251
Total number of active participants reported on line 7a of the Form 55002017-01-01839
Number of retired or separated participants receiving benefits2017-01-011
Number of other retired or separated participants entitled to future benefits2017-01-01420
Total of all active and inactive participants2017-01-011,260
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-012
Total participants2017-01-011,262
Number of participants with account balances2017-01-011,203
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0156
2016: COWEN GROUP 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,205
Total number of active participants reported on line 7a of the Form 55002016-01-01853
Number of retired or separated participants receiving benefits2016-01-0162
Number of other retired or separated participants entitled to future benefits2016-01-01367
Total of all active and inactive participants2016-01-011,282
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-015
Total participants2016-01-011,287
Number of participants with account balances2016-01-011,190
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0130
2015: COWEN GROUP 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-011,206
Total number of active participants reported on line 7a of the Form 55002015-01-01805
Number of retired or separated participants receiving benefits2015-01-0159
Number of other retired or separated participants entitled to future benefits2015-01-01351
Total of all active and inactive participants2015-01-011,215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-015
Total participants2015-01-011,220
Number of participants with account balances2015-01-011,091
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0140
2014: COWEN GROUP 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-011,104
Total number of active participants reported on line 7a of the Form 55002014-01-01705
Number of retired or separated participants receiving benefits2014-01-0190
Number of other retired or separated participants entitled to future benefits2014-01-01331
Total of all active and inactive participants2014-01-011,126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-014
Total participants2014-01-011,130
Number of participants with account balances2014-01-01944
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-01122
2013: COWEN GROUP 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-011,117
Total number of active participants reported on line 7a of the Form 55002013-01-01656
Number of retired or separated participants receiving benefits2013-01-0183
Number of other retired or separated participants entitled to future benefits2013-01-01357
Total of all active and inactive participants2013-01-011,096
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-015
Total participants2013-01-011,101
Number of participants with account balances2013-01-01947
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-01132
2012: COWEN GROUP 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-011,103
Total number of active participants reported on line 7a of the Form 55002012-01-01624
Number of retired or separated participants receiving benefits2012-01-0149
Number of other retired or separated participants entitled to future benefits2012-01-01343
Total of all active and inactive participants2012-01-011,016
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-014
Total participants2012-01-011,020
Number of participants with account balances2012-01-01871
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0149
2011: COWEN GROUP 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01914
Total number of active participants reported on line 7a of the Form 55002011-01-01574
Number of retired or separated participants receiving benefits2011-01-0149
Number of other retired or separated participants entitled to future benefits2011-01-01248
Total of all active and inactive participants2011-01-01871
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-015
Total participants2011-01-01876
Number of participants with account balances2011-01-01788
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0143

Financial Data on COWEN GROUP 401(K) PLAN

Measure Date Value
2022 : COWEN GROUP 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
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$0
Total income from all sources (including contributions)2022-12-31$-40,827,676
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$17,169,818
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$16,816,266
Expenses. Certain deemed distributions of participant loans2022-12-31$106,120
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$26,614,713
Value of total assets at end of year2022-12-31$312,841,430
Value of total assets at beginning of year2022-12-31$370,838,924
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$247,432
Total interest from all sources2022-12-31$82,214
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$14,280,279
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$14,280,279
Administrative expenses professional fees incurred2022-12-31$175,182
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$20,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$21,242,255
Participant contributions at end of year2022-12-31$1,926,338
Participant contributions at beginning of year2022-12-31$1,749,077
Assets. Other investments not covered elsewhere at end of year2022-12-31$568,299
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$1,165,912
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$1,532,525
Total non interest bearing cash at end of year2022-12-31$221,784
Total non interest bearing cash at beginning of year2022-12-31$221,784
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-57,997,494
Value of net assets at end of year (total assets less liabilities)2022-12-31$312,841,430
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$370,838,924
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$72,250
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$281,022,291
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$337,269,729
Interest on participant loans2022-12-31$82,214
Value of interest in common/collective trusts at end of year2022-12-31$25,114,622
Value of interest in common/collective trusts at beginning of year2022-12-31$26,633,012
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-81,804,882
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$3,839,933
Employer contributions (assets) at end of year2022-12-31$3,988,096
Employer contributions (assets) at beginning of year2022-12-31$3,799,410
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$16,816,266
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2022-12-31232426656
2021 : COWEN GROUP 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$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$83,756,213
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$25,430,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$25,193,389
Expenses. Certain deemed distributions of participant loans2021-12-31$568
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$35,454,845
Value of total assets at end of year2021-12-31$370,838,924
Value of total assets at beginning of year2021-12-31$312,513,304
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$236,636
Total interest from all sources2021-12-31$81,606
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$20,855,096
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$20,855,096
Administrative expenses professional fees incurred2021-12-31$164,396
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$20,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$20,677,789
Participant contributions at end of year2021-12-31$1,749,077
Participant contributions at beginning of year2021-12-31$1,604,560
Assets. Other investments not covered elsewhere at end of year2021-12-31$1,165,912
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$1,235,653
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$11,057,204
Total non interest bearing cash at end of year2021-12-31$221,784
Total non interest bearing cash at beginning of year2021-12-31$236,835
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$58,325,620
Value of net assets at end of year (total assets less liabilities)2021-12-31$370,838,924
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$312,513,304
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$72,240
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$337,269,729
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$278,051,028
Interest on participant loans2021-12-31$81,606
Value of interest in common/collective trusts at end of year2021-12-31$26,633,012
Value of interest in common/collective trusts at beginning of year2021-12-31$28,466,546
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$27,364,666
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$3,719,852
Employer contributions (assets) at end of year2021-12-31$3,799,410
Employer contributions (assets) at beginning of year2021-12-31$2,918,682
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$25,193,389
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Disclaimer
Accountancy firm name2021-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2021-12-31232426656
2020 : COWEN GROUP 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$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$67,723,144
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$20,330,868
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$20,023,754
Expenses. Certain deemed distributions of participant loans2020-12-31$73,394
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$22,943,061
Value of total assets at end of year2020-12-31$312,513,304
Value of total assets at beginning of year2020-12-31$265,121,028
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$233,720
Total interest from all sources2020-12-31$84,010
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$8,261,973
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$8,261,973
Administrative expenses professional fees incurred2020-12-31$161,470
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$20,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$17,335,886
Participant contributions at end of year2020-12-31$1,604,560
Participant contributions at beginning of year2020-12-31$1,619,104
Assets. Other investments not covered elsewhere at end of year2020-12-31$1,235,653
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$1,160,718
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$2,825,050
Total non interest bearing cash at end of year2020-12-31$236,835
Total non interest bearing cash at beginning of year2020-12-31$236,835
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$47,392,276
Value of net assets at end of year (total assets less liabilities)2020-12-31$312,513,304
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$265,121,028
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$72,250
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$278,051,028
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$240,651,795
Interest on participant loans2020-12-31$84,010
Value of interest in common/collective trusts at end of year2020-12-31$28,466,546
Value of interest in common/collective trusts at beginning of year2020-12-31$20,366,306
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$36,434,100
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$2,782,125
Employer contributions (assets) at end of year2020-12-31$2,918,682
Employer contributions (assets) at beginning of year2020-12-31$1,086,270
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$20,023,754
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2020-12-31232426656
2019 : COWEN GROUP 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$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$70,443,142
Total income from all sources (including contributions)2019-12-31$70,443,142
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$31,969,467
Total of all expenses incurred2019-12-31$31,969,467
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$31,637,524
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$31,637,524
Expenses. Certain deemed distributions of participant loans2019-12-31$84,449
Expenses. Certain deemed distributions of participant loans2019-12-31$84,449
Value of total corrective distributions2019-12-31$3,189
Value of total corrective distributions2019-12-31$3,189
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$18,884,988
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$18,884,988
Value of total assets at end of year2019-12-31$265,121,028
Value of total assets at end of year2019-12-31$265,121,028
Value of total assets at beginning of year2019-12-31$226,647,353
Value of total assets at beginning of year2019-12-31$226,647,353
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$244,305
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$244,305
Total interest from all sources2019-12-31$88,044
Total interest from all sources2019-12-31$88,044
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$8,712,878
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$8,712,878
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$8,712,878
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$8,712,878
Administrative expenses professional fees incurred2019-12-31$172,055
Administrative expenses professional fees incurred2019-12-31$172,055
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$20,000,000
Value of fidelity bond cover2019-12-31$20,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$14,582,936
Contributions received from participants2019-12-31$14,582,936
Participant contributions at end of year2019-12-31$1,619,104
Participant contributions at end of year2019-12-31$1,619,104
Participant contributions at beginning of year2019-12-31$1,610,492
Participant contributions at beginning of year2019-12-31$1,610,492
Assets. Other investments not covered elsewhere at end of year2019-12-31$1,160,718
Assets. Other investments not covered elsewhere at end of year2019-12-31$1,160,718
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$1,141,382
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$1,141,382
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$3,309,707
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$3,309,707
Total non interest bearing cash at end of year2019-12-31$236,835
Total non interest bearing cash at end of year2019-12-31$236,835
Total non interest bearing cash at beginning of year2019-12-31$501,059
Total non interest bearing cash at beginning of year2019-12-31$501,059
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$38,473,675
Value of net income/loss2019-12-31$38,473,675
Value of net assets at end of year (total assets less liabilities)2019-12-31$265,121,028
Value of net assets at end of year (total assets less liabilities)2019-12-31$265,121,028
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$226,647,353
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$226,647,353
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$72,250
Investment advisory and management fees2019-12-31$72,250
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$240,651,795
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$240,651,795
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$199,787,607
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$199,787,607
Interest on participant loans2019-12-31$88,044
Interest on participant loans2019-12-31$88,044
Value of interest in common/collective trusts at end of year2019-12-31$20,366,306
Value of interest in common/collective trusts at end of year2019-12-31$20,366,306
Value of interest in common/collective trusts at beginning of year2019-12-31$22,604,935
Value of interest in common/collective trusts at beginning of year2019-12-31$22,604,935
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$42,757,232
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$42,757,232
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$992,345
Contributions received in cash from employer2019-12-31$992,345
Employer contributions (assets) at end of year2019-12-31$1,086,270
Employer contributions (assets) at end of year2019-12-31$1,086,270
Employer contributions (assets) at beginning of year2019-12-31$1,001,878
Employer contributions (assets) at beginning of year2019-12-31$1,001,878
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$31,637,524
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$31,637,524
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31BUCKNO LISICKY & COMPANY
Accountancy firm name2019-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2019-12-31232426656
Accountancy firm EIN2019-12-31232426656
2018 : COWEN GROUP 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$39,811
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$3,097,286
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$30,783,711
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$30,329,163
Expenses. Certain deemed distributions of participant loans2018-12-31$268,845
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$17,449,886
Value of total assets at end of year2018-12-31$226,647,353
Value of total assets at beginning of year2018-12-31$254,293,967
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$185,703
Total interest from all sources2018-12-31$81,262
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$9,718,900
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$9,718,900
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$20,000,000
If this is an individual account plan, was there a blackout period2018-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$13,309,004
Participant contributions at end of year2018-12-31$1,610,492
Participant contributions at beginning of year2018-12-31$1,018,672
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$285,453
Assets. Other investments not covered elsewhere at end of year2018-12-31$1,141,382
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$1,023,805
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$3,240,757
Other income not declared elsewhere2018-12-31$148,044
Administrative expenses (other) incurred2018-12-31$520
Total non interest bearing cash at end of year2018-12-31$501,059
Total non interest bearing cash at beginning of year2018-12-31$581,009
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-27,686,425
Value of net assets at end of year (total assets less liabilities)2018-12-31$226,647,353
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$254,293,967
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$54,187
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$199,787,607
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$6,652,650
Interest on participant loans2018-12-31$81,637
Interest earned on other investments2018-12-31$-375
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$230,514,142
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$230,514,142
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$22,604,935
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$13,486,676
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-24,300,806
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$900,125
Employer contributions (assets) at end of year2018-12-31$1,001,878
Employer contributions (assets) at beginning of year2018-12-31$731,560
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$30,329,163
Contract administrator fees2018-12-31$130,996
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31Yes
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2018-12-31232426656
2017 : COWEN GROUP 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$95,487,314
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$35,147,682
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$13,781,559
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$13,763,644
Value of total corrective distributions2017-12-31$7,090
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$11,759,961
Value of total assets at end of year2017-12-31$254,293,967
Value of total assets at beginning of year2017-12-31$137,440,530
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$10,825
Total interest from all sources2017-12-31$41,363
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$4,479,947
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$4,479,947
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$20,000,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$10,175,444
Participant contributions at end of year2017-12-31$1,018,672
Participant contributions at beginning of year2017-12-31$922,369
Participant contributions at end of year2017-12-31$285,453
Participant contributions at beginning of year2017-12-31$0
Assets. Other investments not covered elsewhere at end of year2017-12-31$1,023,805
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$1,372,194
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$968,895
Administrative expenses (other) incurred2017-12-31$10,825
Total non interest bearing cash at end of year2017-12-31$581,009
Total non interest bearing cash at beginning of year2017-12-31$176,575
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$21,366,123
Value of net assets at end of year (total assets less liabilities)2017-12-31$254,293,967
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$137,440,530
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$6,652,650
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$66,178,838
Value of interest in pooled separate accounts at end of year2017-12-31$0
Value of interest in pooled separate accounts at beginning of year2017-12-31$28,545,131
Interest on participant loans2017-12-31$41,363
Value of interest in common/collective trusts at end of year2017-12-31$0
Value of interest in common/collective trusts at beginning of year2017-12-31$24,675,960
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$230,514,142
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$13,486,676
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$14,866,285
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$8,724,154
Net investment gain/loss from pooled separate accounts2017-12-31$5,490,615
Net investment gain or loss from common/collective trusts2017-12-31$4,651,642
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$615,622
Employer contributions (assets) at end of year2017-12-31$731,560
Employer contributions (assets) at beginning of year2017-12-31$703,178
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$13,763,644
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2017-12-31232426656
2016 : COWEN GROUP 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets from this plan2016-12-31$3,949,084
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$25,486,658
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$8,363,965
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$8,343,372
Value of total corrective distributions2016-12-31$6,079
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$13,385,855
Value of total assets at end of year2016-12-31$137,440,530
Value of total assets at beginning of year2016-12-31$124,266,921
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$14,514
Total interest from all sources2016-12-31$36,695
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,496,284
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$2,496,284
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$10,000,000
If this is an individual account plan, was there a blackout period2016-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$9,680,318
Participant contributions at end of year2016-12-31$922,369
Participant contributions at beginning of year2016-12-31$818,948
Assets. Other investments not covered elsewhere at end of year2016-12-31$1,372,194
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$1,178,510
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$2,906,361
Other income not declared elsewhere2016-12-31$3,077
Administrative expenses (other) incurred2016-12-31$14,514
Total non interest bearing cash at end of year2016-12-31$176,575
Total non interest bearing cash at beginning of year2016-12-31$144,581
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$17,122,693
Value of net assets at end of year (total assets less liabilities)2016-12-31$137,440,530
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$124,266,921
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$66,178,838
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$64,198,690
Value of interest in pooled separate accounts at end of year2016-12-31$28,545,131
Value of interest in pooled separate accounts at beginning of year2016-12-31$24,458,405
Interest on participant loans2016-12-31$36,695
Value of interest in common/collective trusts at end of year2016-12-31$24,675,960
Value of interest in common/collective trusts at beginning of year2016-12-31$19,347,647
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$14,866,285
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$13,533,549
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$3,845,215
Net investment gain/loss from pooled separate accounts2016-12-31$3,892,359
Net investment gain or loss from common/collective trusts2016-12-31$1,827,173
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$799,176
Employer contributions (assets) at end of year2016-12-31$703,178
Employer contributions (assets) at beginning of year2016-12-31$586,591
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$8,343,372
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31Yes
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2016-12-31232426656
2015 : COWEN GROUP 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets from this plan2015-12-31$1,823,058
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$11,863,543
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$8,053,895
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$8,018,880
Value of total corrective distributions2015-12-31$5,681
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$12,241,968
Value of total assets at end of year2015-12-31$124,266,921
Value of total assets at beginning of year2015-12-31$122,280,331
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$29,334
Total interest from all sources2015-12-31$30,231
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$4,271,496
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$4,271,496
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$10,000,000
If this is an individual account plan, was there a blackout period2015-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$7,311,337
Participant contributions at end of year2015-12-31$818,948
Participant contributions at beginning of year2015-12-31$821,396
Assets. Other investments not covered elsewhere at end of year2015-12-31$1,178,510
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$1,739,169
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$4,344,040
Administrative expenses (other) incurred2015-12-31$29,334
Total non interest bearing cash at end of year2015-12-31$144,581
Total non interest bearing cash at beginning of year2015-12-31$602,607
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$3,809,648
Value of net assets at end of year (total assets less liabilities)2015-12-31$124,266,921
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$122,280,331
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$64,198,690
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$67,566,873
Value of interest in pooled separate accounts at end of year2015-12-31$24,458,405
Value of interest in pooled separate accounts at beginning of year2015-12-31$21,707,046
Interest on participant loans2015-12-31$30,231
Value of interest in common/collective trusts at end of year2015-12-31$19,347,647
Value of interest in common/collective trusts at beginning of year2015-12-31$16,263,510
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$13,533,549
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$13,254,224
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-4,501,484
Net investment gain/loss from pooled separate accounts2015-12-31$-7,691
Net investment gain or loss from common/collective trusts2015-12-31$-170,977
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$586,591
Employer contributions (assets) at end of year2015-12-31$586,591
Employer contributions (assets) at beginning of year2015-12-31$325,506
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$8,018,880
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31Yes
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2015-12-31232426656
2014 : COWEN GROUP 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$880,098
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$15,399,779
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$7,244,404
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$7,226,243
Value of total corrective distributions2014-12-31$4,394
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$7,991,129
Value of total assets at end of year2014-12-31$122,218,099
Value of total assets at beginning of year2014-12-31$113,182,626
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$13,767
Total interest from all sources2014-12-31$39,739
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$5,284,855
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$5,284,855
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$10,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$6,289,881
Participant contributions at end of year2014-12-31$821,396
Participant contributions at beginning of year2014-12-31$1,022,491
Assets. Other investments not covered elsewhere at end of year2014-12-31$1,739,169
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$1,766,492
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$1,430,859
Other income not declared elsewhere2014-12-31$2,609
Administrative expenses (other) incurred2014-12-31$13,767
Total non interest bearing cash at end of year2014-12-31$602,607
Total non interest bearing cash at beginning of year2014-12-31$840,638
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$8,155,375
Value of net assets at end of year (total assets less liabilities)2014-12-31$122,218,099
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$113,182,626
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$67,566,873
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$65,948,131
Value of interest in pooled separate accounts at end of year2014-12-31$21,707,046
Value of interest in pooled separate accounts at beginning of year2014-12-31$17,918,985
Interest on participant loans2014-12-31$39,739
Value of interest in common/collective trusts at end of year2014-12-31$16,263,510
Value of interest in common/collective trusts at beginning of year2014-12-31$13,463,432
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$13,254,224
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$11,627,516
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-1,090,359
Net investment gain/loss from pooled separate accounts2014-12-31$2,221,089
Net investment gain or loss from common/collective trusts2014-12-31$950,717
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$270,389
Employer contributions (assets) at end of year2014-12-31$263,274
Employer contributions (assets) at beginning of year2014-12-31$594,941
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$7,226,243
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2014-12-31232426656
2013 : COWEN GROUP 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$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$25,257,312
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$8,885,037
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$8,863,532
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$7,812,698
Value of total assets at end of year2013-12-31$113,182,626
Value of total assets at beginning of year2013-12-31$96,810,351
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$21,505
Total interest from all sources2013-12-31$40,183
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$4,013,691
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$4,013,691
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$10,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$6,089,812
Participant contributions at end of year2013-12-31$1,022,491
Participant contributions at beginning of year2013-12-31$951,053
Assets. Other investments not covered elsewhere at end of year2013-12-31$1,766,492
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$2,609,734
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$1,127,945
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2013-12-31$479
Other income not declared elsewhere2013-12-31$34,708
Administrative expenses (other) incurred2013-12-31$21,505
Total non interest bearing cash at end of year2013-12-31$840,638
Total non interest bearing cash at beginning of year2013-12-31$273,900
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$16,372,275
Value of net assets at end of year (total assets less liabilities)2013-12-31$113,182,626
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$96,810,351
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$65,948,131
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$59,714,845
Value of interest in pooled separate accounts at end of year2013-12-31$17,918,985
Value of interest in pooled separate accounts at beginning of year2013-12-31$10,366,048
Interest on participant loans2013-12-31$40,183
Value of interest in common/collective trusts at end of year2013-12-31$13,463,432
Value of interest in common/collective trusts at beginning of year2013-12-31$9,062,733
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$11,627,516
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$11,853,413
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$7,295,696
Net investment gain/loss from pooled separate accounts2013-12-31$4,192,490
Net investment gain or loss from common/collective trusts2013-12-31$1,867,846
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$594,941
Employer contributions (assets) at end of year2013-12-31$594,941
Employer contributions (assets) at beginning of year2013-12-31$1,978,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$8,863,053
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2013-12-31232426656
2012 : COWEN GROUP 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total transfer of assets to this plan2012-12-31$12,670,534
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$19,000,674
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$11,840,433
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$11,716,951
Expenses. Certain deemed distributions of participant loans2012-12-31$120,076
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$7,862,092
Value of total assets at end of year2012-12-31$96,810,351
Value of total assets at beginning of year2012-12-31$76,979,576
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$3,406
Total interest from all sources2012-12-31$37,105
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$2,941,555
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$2,941,555
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$10,000,000
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$6,046,982
Participant contributions at end of year2012-12-31$951,053
Participant contributions at beginning of year2012-12-31$826,006
Assets. Other investments not covered elsewhere at end of year2012-12-31$2,609,734
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$2,216,765
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$185,731
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-12-31$2,753
Other income not declared elsewhere2012-12-31$30,239
Administrative expenses (other) incurred2012-12-31$3,406
Total non interest bearing cash at end of year2012-12-31$273,900
Total non interest bearing cash at beginning of year2012-12-31$554,632
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$7,160,241
Value of net assets at end of year (total assets less liabilities)2012-12-31$96,810,351
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$76,979,576
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$59,714,845
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$46,288,125
Value of interest in pooled separate accounts at end of year2012-12-31$10,366,048
Value of interest in pooled separate accounts at beginning of year2012-12-31$7,262,582
Interest on participant loans2012-12-31$37,105
Value of interest in common/collective trusts at end of year2012-12-31$9,062,733
Value of interest in common/collective trusts at beginning of year2012-12-31$7,726,138
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$11,853,413
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$10,256,967
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$5,609,585
Net investment gain/loss from pooled separate accounts2012-12-31$1,444,065
Net investment gain or loss from common/collective trusts2012-12-31$1,076,033
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$1,629,379
Employer contributions (assets) at end of year2012-12-31$1,978,625
Employer contributions (assets) at beginning of year2012-12-31$1,848,361
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$11,714,198
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 name2012-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2012-12-31232426656
2011 : COWEN GROUP 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$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$8,407,646
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$10,535,046
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$10,400,271
Expenses. Certain deemed distributions of participant loans2011-12-31$133,190
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$8,439,790
Value of total assets at end of year2011-12-31$76,979,576
Value of total assets at beginning of year2011-12-31$79,106,976
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,585
Total interest from all sources2011-12-31$48,875
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$1,911,533
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$1,911,533
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$5,438,380
Participant contributions at end of year2011-12-31$826,006
Participant contributions at beginning of year2011-12-31$839,448
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$61,679
Assets. Other investments not covered elsewhere at end of year2011-12-31$2,216,765
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$3,647,489
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$1,133,488
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$244,154
Other income not declared elsewhere2011-12-31$642,433
Administrative expenses (other) incurred2011-12-31$1,585
Total non interest bearing cash at end of year2011-12-31$554,632
Total non interest bearing cash at beginning of year2011-12-31$21,623,369
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-2,127,400
Value of net assets at end of year (total assets less liabilities)2011-12-31$76,979,576
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$79,106,976
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$46,288,125
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$47,650,280
Value of interest in pooled separate accounts at end of year2011-12-31$7,262,582
Value of interest in pooled separate accounts at beginning of year2011-12-31$0
Interest on participant loans2011-12-31$48,875
Value of interest in common/collective trusts at end of year2011-12-31$7,726,138
Value of interest in common/collective trusts at beginning of year2011-12-31$3,627,830
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$10,256,967
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-2,590,142
Net investment gain/loss from pooled separate accounts2011-12-31$-14,827
Net investment gain or loss from common/collective trusts2011-12-31$-30,016
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 contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$1,867,922
Employer contributions (assets) at end of year2011-12-31$1,848,361
Employer contributions (assets) at beginning of year2011-12-31$1,656,881
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$10,156,117
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31Yes
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
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 name2011-12-31BUCKNO LISICKY & COMPANY
Accountancy firm EIN2011-12-31232426656

Form 5500 Responses for COWEN GROUP 401(K) PLAN

2022: COWEN GROUP 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: COWEN GROUP 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: COWEN GROUP 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: COWEN GROUP 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: COWEN GROUP 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: COWEN GROUP 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entityMulitple employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: COWEN GROUP 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entityMulitple employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: COWEN GROUP 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entityMulitple employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: COWEN GROUP 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entityMulitple employer plan
2014-01-01Submission has been amendedYes
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: COWEN GROUP 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entityMulitple employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: COWEN GROUP 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entityMulitple 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: COWEN GROUP 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entityMulitple 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

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number522178
Policy instance 2
Insurance contract or identification number522178
Number of Individuals Covered0
Insurance policy start date2018-01-01
Insurance policy end date2018-10-02
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered0
Insurance policy start date2018-01-01
Insurance policy end date2018-10-02
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number522178
Policy instance 2
Insurance contract or identification number522178
Number of Individuals Covered284
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered284
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number522178
Policy instance 2
Insurance contract or identification number522178
Number of Individuals Covered1130
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered1130
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered1012
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number522178
Policy instance 1
Insurance contract or identification number522178
Number of Individuals Covered1012
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered1011
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number522178
Policy instance 1
Insurance contract or identification number522178
Number of Individuals Covered1011
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered971
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number522178
Policy instance 1
Insurance contract or identification number522178
Number of Individuals Covered971
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number522178
Policy instance 1
Insurance contract or identification number522178
Number of Individuals Covered827
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered827
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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