UBS FINANCIAL SERVICES INC. has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan UBS FIN SVCS INC MIT UNIT G SMALL CAP GROWTH
| Measure | Date | Value |
|---|
| 2015 : UBS FIN SVCS INC MIT UNIT G SMALL CAP GROWTH 2015 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2015-02-28 | $0 |
| Total transfer of assets to this plan | 2015-02-28 | $1,464,700 |
| Total transfer of assets from this plan | 2015-02-28 | $71,628,287 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-02-28 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-02-28 | $0 |
| Total income from all sources (including contributions) | 2015-02-28 | $-30,840 |
| Total loss/gain on sale of assets | 2015-02-28 | $0 |
| Total of all expenses incurred | 2015-02-28 | $165 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-02-28 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-02-28 | $0 |
| Value of total assets at end of year | 2015-02-28 | $0 |
| Value of total assets at beginning of year | 2015-02-28 | $70,194,592 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-02-28 | $165 |
| Total interest from all sources | 2015-02-28 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-02-28 | $-30,988 |
| Administrative expenses professional fees incurred | 2015-02-28 | $165 |
| Were there any nonexempt tranactions with any party-in-interest | 2015-02-28 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2015-02-28 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-02-28 | $29,667 |
| Value of net income/loss | 2015-02-28 | $-31,005 |
| Value of net assets at end of year (total assets less liabilities) | 2015-02-28 | $0 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-02-28 | $70,194,592 |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-02-28 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-02-28 | No |
| Value of interest in common/collective trusts at end of year | 2015-02-28 | $0 |
| Value of interest in common/collective trusts at beginning of year | 2015-02-28 | $1,665,787 |
| Net investment gain or loss from common/collective trusts | 2015-02-28 | $148 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-02-28 | No |
| Income. Dividends from common stock | 2015-02-28 | $-30,988 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2015-02-28 | $0 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2015-02-28 | $68,499,138 |
| Did the plan have assets held for investment | 2015-02-28 | No |
| 2014 : UBS FIN SVCS INC MIT UNIT G SMALL CAP GROWTH 2014 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2014-12-31 | $-1,399,855 |
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $-1,399,855 |
| Total transfer of assets to this plan | 2014-12-31 | $8,606,415 |
| Total transfer of assets from this plan | 2014-12-31 | $30,789,423 |
| 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 | $271,015 |
| Total income from all sources (including contributions) | 2014-12-31 | $-1,323,382 |
| Total loss/gain on sale of assets | 2014-12-31 | $-539,781 |
| Total of all expenses incurred | 2014-12-31 | $639,054 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $0 |
| Value of total assets at end of year | 2014-12-31 | $70,194,592 |
| Value of total assets at beginning of year | 2014-12-31 | $94,611,051 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $639,054 |
| Total interest from all sources | 2014-12-31 | $-56 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $614,947 |
| Administrative expenses professional fees incurred | 2014-12-31 | $1,198 |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-12-31 | $29,667 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2014-12-31 | $45,762 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2014-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2014-12-31 | $271,015 |
| Value of net income/loss | 2014-12-31 | $-1,962,436 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $70,194,592 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $94,340,036 |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
| Investment advisory and management fees | 2014-12-31 | $637,856 |
| Value of interest in common/collective trusts at end of year | 2014-12-31 | $1,665,787 |
| Value of interest in common/collective trusts at beginning of year | 2014-12-31 | $1,149,419 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2014-12-31 | $-56 |
| Net investment gain or loss from common/collective trusts | 2014-12-31 | $1,363 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | Yes |
| Income. Dividends from common stock | 2014-12-31 | $614,947 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2014-12-31 | $68,499,138 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2014-12-31 | $93,415,870 |
| Did the plan have assets held for investment | 2014-12-31 | Yes |
| Aggregate proceeds on sale of assets | 2014-12-31 | $42,716,410 |
| Aggregate carrying amount (costs) on sale of assets | 2014-12-31 | $43,256,191 |
| 2013 : UBS FIN SVCS INC MIT UNIT G SMALL CAP GROWTH 2013 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2013-12-31 | $23,653,451 |
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $23,653,451 |
| Total transfer of assets to this plan | 2013-12-31 | $16,487,012 |
| Total transfer of assets from this plan | 2013-12-31 | $19,343,853 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $271,015 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $204,766 |
| Total income from all sources (including contributions) | 2013-12-31 | $30,503,155 |
| Total loss/gain on sale of assets | 2013-12-31 | $6,498,092 |
| Total of all expenses incurred | 2013-12-31 | $730,001 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $0 |
| Value of total assets at end of year | 2013-12-31 | $94,611,051 |
| Value of total assets at beginning of year | 2013-12-31 | $67,628,489 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $730,001 |
| Total interest from all sources | 2013-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $350,026 |
| Administrative expenses professional fees incurred | 2013-12-31 | $1,436 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2013-12-31 | $45,762 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2013-12-31 | $14,325 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2013-12-31 | $271,015 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2013-12-31 | $204,766 |
| Value of net income/loss | 2013-12-31 | $29,773,154 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $94,340,036 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $67,423,723 |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Investment advisory and management fees | 2013-12-31 | $728,565 |
| Value of interest in common/collective trusts at end of year | 2013-12-31 | $1,149,419 |
| Value of interest in common/collective trusts at beginning of year | 2013-12-31 | $1,485,868 |
| Net investment gain or loss from common/collective trusts | 2013-12-31 | $1,586 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | Yes |
| Income. Dividends from common stock | 2013-12-31 | $350,026 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2013-12-31 | $93,415,870 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2013-12-31 | $66,128,296 |
| Did the plan have assets held for investment | 2013-12-31 | Yes |
| Aggregate proceeds on sale of assets | 2013-12-31 | $44,877,210 |
| Aggregate carrying amount (costs) on sale of assets | 2013-12-31 | $38,379,118 |
| 2012 : UBS FIN SVCS INC MIT UNIT G SMALL CAP GROWTH 2012 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2012-12-31 | $6,349,471 |
| Total unrealized appreciation/depreciation of assets | 2012-12-31 | $6,349,471 |
| Total transfer of assets to this plan | 2012-12-31 | $2,763,907 |
| Total transfer of assets from this plan | 2012-12-31 | $4,292,418 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $204,766 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $194,830 |
| Total income from all sources (including contributions) | 2012-12-31 | $9,639,069 |
| Total loss/gain on sale of assets | 2012-12-31 | $2,731,217 |
| Total of all expenses incurred | 2012-12-31 | $642,770 |
| 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 | $67,628,489 |
| Value of total assets at beginning of year | 2012-12-31 | $60,150,765 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $642,770 |
| Total interest from all sources | 2012-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $557,043 |
| Administrative expenses professional fees incurred | 2012-12-31 | $1,154 |
| Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-12-31 | $14,325 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-12-31 | $104,783 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2012-12-31 | $204,766 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2012-12-31 | $194,830 |
| Administrative expenses (other) incurred | 2012-12-31 | $20,183 |
| Value of net income/loss | 2012-12-31 | $8,996,299 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $67,423,723 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $59,955,935 |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
| Investment advisory and management fees | 2012-12-31 | $621,433 |
| Value of interest in common/collective trusts at end of year | 2012-12-31 | $1,485,868 |
| Value of interest in common/collective trusts at beginning of year | 2012-12-31 | $829,532 |
| Net investment gain or loss from common/collective trusts | 2012-12-31 | $1,338 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | Yes |
| Income. Dividends from common stock | 2012-12-31 | $557,043 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2012-12-31 | $66,128,296 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2012-12-31 | $59,216,450 |
| Did the plan have assets held for investment | 2012-12-31 | Yes |
| Aggregate proceeds on sale of assets | 2012-12-31 | $29,199,187 |
| Aggregate carrying amount (costs) on sale of assets | 2012-12-31 | $26,467,970 |
| 2011 : UBS FIN SVCS INC MIT UNIT G SMALL CAP GROWTH 2011 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2011-12-31 | $1,030,953 |
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $1,030,953 |
| Total transfer of assets to this plan | 2011-12-31 | $2,877,790 |
| Total transfer of assets from this plan | 2011-12-31 | $9,937,854 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $194,830 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $209,999 |
| Total income from all sources (including contributions) | 2011-12-31 | $2,173,457 |
| Total loss/gain on sale of assets | 2011-12-31 | $831,852 |
| Total of all expenses incurred | 2011-12-31 | $618,529 |
| 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 | $60,150,765 |
| Value of total assets at beginning of year | 2011-12-31 | $65,671,070 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $618,529 |
| Total interest from all sources | 2011-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $308,215 |
| Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-12-31 | $104,783 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-12-31 | $62,363 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2011-12-31 | $194,830 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2011-12-31 | $209,999 |
| Administrative expenses (other) incurred | 2011-12-31 | $-2,734 |
| Value of net income/loss | 2011-12-31 | $1,554,928 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $59,955,935 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $65,461,071 |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
| Investment advisory and management fees | 2011-12-31 | $621,263 |
| Value of interest in common/collective trusts at end of year | 2011-12-31 | $829,532 |
| Value of interest in common/collective trusts at beginning of year | 2011-12-31 | $2,353,735 |
| Net investment gain or loss from common/collective trusts | 2011-12-31 | $2,437 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | Yes |
| Income. Dividends from common stock | 2011-12-31 | $308,215 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2011-12-31 | $59,216,450 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2011-12-31 | $63,254,972 |
| Did the plan have assets held for investment | 2011-12-31 | Yes |
| Aggregate proceeds on sale of assets | 2011-12-31 | $29,403,305 |
| Aggregate carrying amount (costs) on sale of assets | 2011-12-31 | $28,571,453 |
| 2010 : UBS FIN SVCS INC MIT UNIT G SMALL CAP GROWTH 2010 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2010-12-31 | $12,688,798 |
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $12,688,798 |
| Total transfer of assets to this plan | 2010-12-31 | $53,293,291 |
| Total transfer of assets from this plan | 2010-12-31 | $3,832,080 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $209,999 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
| Total income from all sources (including contributions) | 2010-12-31 | $16,506,071 |
| Total loss/gain on sale of assets | 2010-12-31 | $3,566,991 |
| Total of all expenses incurred | 2010-12-31 | $506,211 |
| 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 | $65,671,070 |
| Value of total assets at beginning of year | 2010-12-31 | $0 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $506,211 |
| Total interest from all sources | 2010-12-31 | $-10 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $249,248 |
| Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $62,363 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2010-12-31 | $209,999 |
| Administrative expenses (other) incurred | 2010-12-31 | $149,858 |
| Value of net income/loss | 2010-12-31 | $15,999,860 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $65,461,071 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $0 |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
| Investment advisory and management fees | 2010-12-31 | $356,353 |
| Value of interest in common/collective trusts at end of year | 2010-12-31 | $2,353,735 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2010-12-31 | $-10 |
| Net investment gain or loss from common/collective trusts | 2010-12-31 | $1,044 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | Yes |
| Income. Dividends from common stock | 2010-12-31 | $249,248 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2010-12-31 | $63,254,972 |
| Did the plan have assets held for investment | 2010-12-31 | Yes |
| Aggregate proceeds on sale of assets | 2010-12-31 | $27,807,355 |
| Aggregate carrying amount (costs) on sale of assets | 2010-12-31 | $24,240,364 |
