NORTHERN TRUST GLOBAL INVESTMENTS has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan NTGI-QM COMMON DAILY STRUCTURED SMALL CAP EQUITY FUND - NON LENDING
| Measure | Date | Value |
|---|
| 2013 : NTGI-QM COMMON DAILY STRUCTURED SMALL CAP EQUITY FUND - NON LENDING 2013 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2013-06-07 | $-1,128,686 |
| Total unrealized appreciation/depreciation of assets | 2013-06-07 | $-1,128,686 |
| Total transfer of assets to this plan | 2013-06-07 | $146,100 |
| Total transfer of assets from this plan | 2013-06-07 | $32,780,759 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-06-07 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-06-07 | $25,579 |
| Total income from all sources (including contributions) | 2013-06-07 | $4,685,865 |
| Total loss/gain on sale of assets | 2013-06-07 | $5,650,520 |
| Total of all expenses incurred | 2013-06-07 | $10,346 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-06-07 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-06-07 | $0 |
| Value of total assets at end of year | 2013-06-07 | $0 |
| Value of total assets at beginning of year | 2013-06-07 | $27,984,719 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-06-07 | $10,346 |
| Total interest from all sources | 2013-06-07 | $86 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-06-07 | $161,657 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-06-07 | $3,932 |
| Administrative expenses professional fees incurred | 2013-06-07 | $10,346 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2013-06-07 | $12,004 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2013-06-07 | $54,515 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2013-06-07 | $25,579 |
| Value of net income/loss | 2013-06-07 | $4,675,519 |
| Value of net assets at end of year (total assets less liabilities) | 2013-06-07 | $0 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-06-07 | $27,959,140 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-06-07 | $121,561 |
| Income. Interest from loans (other than to participants) | 2013-06-07 | $8 |
| Income. Interest from US Government securities | 2013-06-07 | $63 |
| Income. Interest from corporate debt instruments | 2013-06-07 | $15 |
| Value of interest in common/collective trusts at beginning of year | 2013-06-07 | $1,096,134 |
| Asset value of US Government securities at beginning of year | 2013-06-07 | $119,972 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-06-07 | $1,449 |
| Net investment gain or loss from common/collective trusts | 2013-06-07 | $839 |
| Income. Dividends from preferred stock | 2013-06-07 | $200 |
| Income. Dividends from common stock | 2013-06-07 | $157,525 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2013-06-07 | $26,580,533 |
| Aggregate proceeds on sale of assets | 2013-06-07 | $31,248,268 |
| Aggregate carrying amount (costs) on sale of assets | 2013-06-07 | $25,597,748 |
| 2012 : NTGI-QM COMMON DAILY STRUCTURED SMALL CAP EQUITY FUND - NON LENDING 2012 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2012-12-31 | $2,963,455 |
| Total unrealized appreciation/depreciation of assets | 2012-12-31 | $2,963,455 |
| Total transfer of assets to this plan | 2012-12-31 | $1,137,286 |
| Total transfer of assets from this plan | 2012-12-31 | $6,538,477 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $25,579 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $23,820 |
| Total income from all sources (including contributions) | 2012-12-31 | $4,986,018 |
| Total loss/gain on sale of assets | 2012-12-31 | $1,498,151 |
| Total of all expenses incurred | 2012-12-31 | $35,081 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $0 |
| Value of total assets at end of year | 2012-12-31 | $27,984,719 |
| Value of total assets at beginning of year | 2012-12-31 | $28,433,214 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $35,081 |
| Total interest from all sources | 2012-12-31 | $237 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $508,869 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $8,090 |
| Administrative expenses professional fees incurred | 2012-12-31 | $20,506 |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2012-12-31 | $12,004 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2012-12-31 | $12,600 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-12-31 | $54,515 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-12-31 | $58,178 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2012-12-31 | $25,579 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2012-12-31 | $23,820 |
| Other income not declared elsewhere | 2012-12-31 | $19 |
| Administrative expenses (other) incurred | 2012-12-31 | $14,575 |
| Value of net income/loss | 2012-12-31 | $4,950,937 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $27,959,140 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $28,409,394 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $121,561 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $78,374 |
| Income. Interest from US Government securities | 2012-12-31 | $237 |
| Value of interest in common/collective trusts at end of year | 2012-12-31 | $1,096,134 |
| Value of interest in common/collective trusts at beginning of year | 2012-12-31 | $1,312,500 |
| Asset value of US Government securities at end of year | 2012-12-31 | $119,972 |
| Asset value of US Government securities at beginning of year | 2012-12-31 | $274,977 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $12,844 |
| Net investment gain or loss from common/collective trusts | 2012-12-31 | $2,443 |
| Income. Dividends from preferred stock | 2012-12-31 | $720 |
| Income. Dividends from common stock | 2012-12-31 | $500,059 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2012-12-31 | $26,580,533 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2012-12-31 | $26,696,585 |
| Aggregate proceeds on sale of assets | 2012-12-31 | $10,115,497 |
| Aggregate carrying amount (costs) on sale of assets | 2012-12-31 | $8,617,346 |
| 2011 : NTGI-QM COMMON DAILY STRUCTURED SMALL CAP EQUITY FUND - NON LENDING 2011 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2011-12-31 | $-602,126 |
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $-602,126 |
| Total transfer of assets to this plan | 2011-12-31 | $584,112 |
| Total transfer of assets from this plan | 2011-12-31 | $7,226,968 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $23,820 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $163,159 |
| Total income from all sources (including contributions) | 2011-12-31 | $148,575 |
| Total loss/gain on sale of assets | 2011-12-31 | $426,604 |
| Total of all expenses incurred | 2011-12-31 | $29,512 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $0 |
| Value of total assets at end of year | 2011-12-31 | $28,433,214 |
| Value of total assets at beginning of year | 2011-12-31 | $35,096,346 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $29,512 |
| Total interest from all sources | 2011-12-31 | $101 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $356,162 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $8,364 |
| Administrative expenses professional fees incurred | 2011-12-31 | $17,731 |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2011-12-31 | $12,600 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2011-12-31 | $14,940 |
| Assets. Other investments not covered elsewhere at beginning of year | 2011-12-31 | $17 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-12-31 | $58,178 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-12-31 | $35,141 |
| Assets. Loans (other than to participants) at beginning of year | 2011-12-31 | $17 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2011-12-31 | $23,820 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2011-12-31 | $163,159 |
| Administrative expenses (other) incurred | 2011-12-31 | $11,781 |
| Value of net income/loss | 2011-12-31 | $119,063 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $28,409,394 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $34,933,187 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $78,374 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $123,209 |
| Income. Interest from loans (other than to participants) | 2011-12-31 | $15 |
| Income. Interest from US Government securities | 2011-12-31 | $86 |
| Value of interest in common/collective trusts at end of year | 2011-12-31 | $1,312,500 |
| Value of interest in common/collective trusts at beginning of year | 2011-12-31 | $786,738 |
| Asset value of US Government securities at end of year | 2011-12-31 | $274,977 |
| Asset value of US Government securities at beginning of year | 2011-12-31 | $74,963 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-34,388 |
| Net investment gain or loss from common/collective trusts | 2011-12-31 | $2,222 |
| Income. Dividends from preferred stock | 2011-12-31 | $180 |
| Income. Dividends from common stock | 2011-12-31 | $347,618 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2011-12-31 | $26,696,585 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2011-12-31 | $34,061,321 |
| Aggregate proceeds on sale of assets | 2011-12-31 | $8,551,507 |
| Aggregate carrying amount (costs) on sale of assets | 2011-12-31 | $8,124,903 |
| 2010 : NTGI-QM COMMON DAILY STRUCTURED SMALL CAP EQUITY FUND - NON LENDING 2010 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2010-12-31 | $7,541,039 |
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $7,541,039 |
| Total transfer of assets to this plan | 2010-12-31 | $168,304 |
| Total transfer of assets from this plan | 2010-12-31 | $3,076,954 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $163,159 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $4,895,773 |
| Total income from all sources (including contributions) | 2010-12-31 | $8,027,112 |
| Total loss/gain on sale of assets | 2010-12-31 | $-14,385 |
| Total of all expenses incurred | 2010-12-31 | $24,675 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $0 |
| Value of total assets at end of year | 2010-12-31 | $35,096,346 |
| Value of total assets at beginning of year | 2010-12-31 | $34,735,173 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $24,675 |
| Total interest from all sources | 2010-12-31 | $21,020 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $447,938 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $6,894 |
| Administrative expenses professional fees incurred | 2010-12-31 | $18,351 |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2010-12-31 | $14,940 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2010-12-31 | $15,950 |
| Assets. Other investments not covered elsewhere at end of year | 2010-12-31 | $17 |
| Assets. Other investments not covered elsewhere at beginning of year | 2010-12-31 | $4,515,700 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $35,141 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2010-12-31 | $147,965 |
| Assets. Loans (other than to participants) at end of year | 2010-12-31 | $17 |
| Assets. Loans (other than to participants) at beginning of year | 2010-12-31 | $4,349,710 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2010-12-31 | $163,159 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2010-12-31 | $4,895,773 |
| Administrative expenses (other) incurred | 2010-12-31 | $6,324 |
| Total non interest bearing cash at beginning of year | 2010-12-31 | $0 |
| Value of net income/loss | 2010-12-31 | $8,002,437 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $34,933,187 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $29,839,400 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $123,209 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $88,552 |
| Income. Interest from loans (other than to participants) | 2010-12-31 | $20,862 |
| Income. Interest from US Government securities | 2010-12-31 | $158 |
| Value of interest in common/collective trusts at end of year | 2010-12-31 | $786,738 |
| Value of interest in common/collective trusts at beginning of year | 2010-12-31 | $1,465,452 |
| Asset value of US Government securities at end of year | 2010-12-31 | $74,963 |
| Asset value of US Government securities at beginning of year | 2010-12-31 | $114,956 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $27,349 |
| Net investment gain or loss from common/collective trusts | 2010-12-31 | $4,151 |
| Income. Dividends from preferred stock | 2010-12-31 | $180 |
| Income. Dividends from common stock | 2010-12-31 | $440,864 |
| Asset. Corporate debt instrument debt (other) at beginning of year | 2010-12-31 | $243 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2010-12-31 | $34,061,321 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2010-12-31 | $24,036,645 |
| Aggregate proceeds on sale of assets | 2010-12-31 | $3,747,237 |
| Aggregate carrying amount (costs) on sale of assets | 2010-12-31 | $3,761,622 |
