401k Plan data: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN plan

KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	002

KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

KCG HOLDINGS, INC. has sponsored the creation of one or more 401k plans.

Company Name: KCG HOLDINGS, INC.

Employer identification number (EIN): 383898306

NAIC Classification: 523140
NAIC Description: Commodity Contracts Brokerage

Additional information about KCG HOLDINGS, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3301199

More information about KCG HOLDINGS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01 THOMAS MERRITT
002 2017-01-01 THOMAS MERRITT
002 2016-01-01 JOEL QUALL
002 2015-01-01 2016-10-03
002 2015-01-01 JOAN FADER
002 2015-01-01
002 2014-01-01 JOAN FADER

Plan Statistics for KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2018: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 1,497
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 1,726
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 449
Number of retired or separated participants receiving benefits 2017-01-01 6
Number of other retired or separated participants entitled to future benefits 2017-01-01 974
Total of all active and inactive participants 2017-01-01 1,429
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 4
Total participants 2017-01-01 1,433
Number of participants with account balances 2017-01-01 1,454
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 28
2016: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1,722
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 837
Number of retired or separated participants receiving benefits 2016-01-01 6
Number of other retired or separated participants entitled to future benefits 2016-01-01 879
Total of all active and inactive participants 2016-01-01 1,722
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 4
Total participants 2016-01-01 1,726
Number of participants with account balances 2016-01-01 1,621
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 5
2015: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 1,856
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 885
Number of retired or separated participants receiving benefits 2015-01-01 4
Number of other retired or separated participants entitled to future benefits 2015-01-01 829
Total of all active and inactive participants 2015-01-01 1,718
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 4
Total participants 2015-01-01 1,722
Number of participants with account balances 2015-01-01 1,668
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 1,707
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 979
Number of retired or separated participants receiving benefits 2014-01-01 4
Number of other retired or separated participants entitled to future benefits 2014-01-01 871
Total of all active and inactive participants 2014-01-01 1,854
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 2
Total participants 2014-01-01 1,856
Number of participants with account balances 2014-01-01 1,802
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2018: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	1,497
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	1,726
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	449
Number of retired or separated participants receiving benefits	2017-01-01	6
Number of other retired or separated participants entitled to future benefits	2017-01-01	974
Total of all active and inactive participants	2017-01-01	1,429
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	4
Total participants	2017-01-01	1,433
Number of participants with account balances	2017-01-01	1,454
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	28
2016: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1,722
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	837
Number of retired or separated participants receiving benefits	2016-01-01	6
Number of other retired or separated participants entitled to future benefits	2016-01-01	879
Total of all active and inactive participants	2016-01-01	1,722
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	4
Total participants	2016-01-01	1,726
Number of participants with account balances	2016-01-01	1,621
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	5
2015: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	1,856
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	885
Number of retired or separated participants receiving benefits	2015-01-01	4
Number of other retired or separated participants entitled to future benefits	2015-01-01	829
Total of all active and inactive participants	2015-01-01	1,718
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	4
Total participants	2015-01-01	1,722
Number of participants with account balances	2015-01-01	1,668
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	1,707
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	979
Number of retired or separated participants receiving benefits	2014-01-01	4
Number of other retired or separated participants entitled to future benefits	2014-01-01	871
Total of all active and inactive participants	2014-01-01	1,854
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	2
Total participants	2014-01-01	1,856
Number of participants with account balances	2014-01-01	1,802
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2018 : KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-02-14	$0
Total transfer of assets from this plan	2018-02-14	$259,721,240
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-02-14	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-02-14	$0
Total income from all sources (including contributions)	2018-02-14	$6,852,799
Total loss/gain on sale of assets	2018-02-14	$0
Total of all expenses incurred	2018-02-14	$26,088,041
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-02-14	$26,073,637
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-02-14	$4,261,320
Value of total assets at end of year	2018-02-14	$0
Value of total assets at beginning of year	2018-02-14	$278,956,482
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-02-14	$14,404
Total interest from all sources	2018-02-14	$3,828
Total dividends received (eg from common stock, registered investment company shares)	2018-02-14	$70,541
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-02-14	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-02-14	$0
Total dividends received from registered investment company shares (eg mutual funds)	2018-02-14	$70,541
Was this plan covered by a fidelity bond	2018-02-14	Yes
Value of fidelity bond cover	2018-02-14	$20,000,000
If this is an individual account plan, was there a blackout period	2018-02-14	No
Were there any nonexempt tranactions with any party-in-interest	2018-02-14	No
Contributions received from participants	2018-02-14	$3,188,451
Participant contributions at end of year	2018-02-14	$0
Participant contributions at beginning of year	2018-02-14	$1,055,282
Income. Received or receivable in cash from other sources (including rollovers)	2018-02-14	$298,941
Administrative expenses (other) incurred	2018-02-14	$14,404
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-02-14	No
Value of net income/loss	2018-02-14	$-19,235,242
Value of net assets at end of year (total assets less liabilities)	2018-02-14	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-02-14	$278,956,482
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-02-14	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-02-14	No
Were any leases to which the plan was party in default or uncollectible	2018-02-14	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-02-14	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-02-14	$268,902,201
Interest on participant loans	2018-02-14	$3,828
Value of interest in common/collective trusts at end of year	2018-02-14	$0
Value of interest in common/collective trusts at beginning of year	2018-02-14	$8,998,999
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-02-14	$2,496,763
Net investment gain or loss from common/collective trusts	2018-02-14	$20,347
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-02-14	No
Was there a failure to transmit to the plan any participant contributions	2018-02-14	No
Has the plan failed to provide any benefit when due under the plan	2018-02-14	No
Contributions received in cash from employer	2018-02-14	$773,928
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-02-14	$26,073,637
Did the plan have assets held for investment	2018-02-14	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-02-14	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-02-14	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-02-14	Yes
Opinion of an independent qualified public accountant for this plan	2018-02-14	Disclaimer
Accountancy firm name	2018-02-14	EISNERAMPER LLP
Accountancy firm EIN	2018-02-14	131639826
2017 : KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
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	$62,453,821
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$37,093,212
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$36,962,269
Expenses. Certain deemed distributions of participant loans	2017-12-31	$-1,000
Value of total corrective distributions	2017-12-31	$6,328
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$17,125,476
Value of total assets at end of year	2017-12-31	$278,956,482
Value of total assets at beginning of year	2017-12-31	$253,595,873
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$125,615
Total interest from all sources	2017-12-31	$54,899
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$6,747,326
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$6,747,326
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$9,993,887
Participant contributions at end of year	2017-12-31	$1,055,282
Participant contributions at beginning of year	2017-12-31	$1,523,629
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$185,942
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$2,269,099
Other income not declared elsewhere	2017-12-31	$47,079
Administrative expenses (other) incurred	2017-12-31	$125,615
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$25,360,609
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$278,956,482
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$253,595,873
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$268,902,201
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$241,186,908
Interest on participant loans	2017-12-31	$54,899
Value of interest in common/collective trusts at end of year	2017-12-31	$8,998,999
Value of interest in common/collective trusts at beginning of year	2017-12-31	$10,298,430
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$38,292,908
Net investment gain or loss from common/collective trusts	2017-12-31	$186,133
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$4,862,490
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$400,964
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$36,962,269
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	EISNERAMPER LLP
Accountancy firm EIN	2017-12-31	131639826
2016 : KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
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	$38,982,962
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$17,655,975
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$17,513,877
Value of total corrective distributions	2016-12-31	$7,956
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$19,924,392
Value of total assets at end of year	2016-12-31	$253,595,873
Value of total assets at beginning of year	2016-12-31	$232,268,886
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$134,142
Total interest from all sources	2016-12-31	$69,290
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$5,792,164
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$5,792,164
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$11,811,337
Participant contributions at end of year	2016-12-31	$1,523,629
Participant contributions at beginning of year	2016-12-31	$1,952,028
Participant contributions at end of year	2016-12-31	$185,942
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$2,189,272
Other income not declared elsewhere	2016-12-31	$396
Administrative expenses (other) incurred	2016-12-31	$134,142
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$21,326,987
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$253,595,873
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$232,268,886
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$241,186,908
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$222,862,903
Interest on participant loans	2016-12-31	$69,290
Value of interest in common/collective trusts at end of year	2016-12-31	$10,298,430
Value of interest in common/collective trusts at beginning of year	2016-12-31	$7,450,842
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$13,016,889
Net investment gain or loss from common/collective trusts	2016-12-31	$179,831
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$5,923,783
Employer contributions (assets) at end of year	2016-12-31	$400,964
Employer contributions (assets) at beginning of year	2016-12-31	$3,113
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$17,513,877
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	EISNERAMPERLLP
Accountancy firm EIN	2016-12-31	131639826
2015 : KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
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	$21,358,324
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$21,025,877
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$20,834,502
Expenses. Certain deemed distributions of participant loans	2015-12-31	$24,683
Value of total corrective distributions	2015-12-31	$238
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$21,745,577
Value of total assets at end of year	2015-12-31	$232,268,886
Value of total assets at beginning of year	2015-12-31	$231,936,439
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$166,454
Total interest from all sources	2015-12-31	$76,926
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$5,515,090
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$5,515,090
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$12,396,389
Participant contributions at end of year	2015-12-31	$1,952,028
Participant contributions at beginning of year	2015-12-31	$1,984,564
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$3,135,038
Other income not declared elsewhere	2015-12-31	$18,598
Administrative expenses (other) incurred	2015-12-31	$166,454
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$332,447
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$232,268,886
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$231,936,439
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$222,862,903
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$221,893,303
Interest on participant loans	2015-12-31	$76,926
Value of interest in common/collective trusts at end of year	2015-12-31	$7,450,842
Value of interest in common/collective trusts at beginning of year	2015-12-31	$8,051,575
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-9,549,323
Net investment gain or loss from common/collective trusts	2015-12-31	$3,551,456
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$6,214,150
Employer contributions (assets) at end of year	2015-12-31	$3,113
Employer contributions (assets) at beginning of year	2015-12-31	$6,997
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$20,834,502
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	EISNERAMPER LLP
Accountancy firm EIN	2015-12-31	131639826
2014 : KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$202,512
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	$39,493,648
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$33,333,589
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$33,326,440
Value of total corrective distributions	2014-12-31	$4,772
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$23,087,829
Value of total assets at end of year	2014-12-31	$231,936,439
Value of total assets at beginning of year	2014-12-31	$225,978,892
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$2,377
Total interest from all sources	2014-12-31	$98,923
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$6,466,184
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$6,466,184
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$13,833,401
Participant contributions at end of year	2014-12-31	$1,984,564
Participant contributions at beginning of year	2014-12-31	$2,456,965
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$190,590
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$2,269,377
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$1,260
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$27,617,632
Other income not declared elsewhere	2014-12-31	$19,921
Administrative expenses (other) incurred	2014-12-31	$2,377
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$6,160,059
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$231,936,439
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$225,978,892
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$221,893,303
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$188,200,564
Interest on participant loans	2014-12-31	$98,923
Value of interest in common/collective trusts at end of year	2014-12-31	$8,051,575
Value of interest in common/collective trusts at beginning of year	2014-12-31	$7,433,029
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$9,659,259
Net investment gain or loss from common/collective trusts	2014-12-31	$161,532
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$6,985,051
Employer contributions (assets) at end of year	2014-12-31	$6,997
Employer contributions (assets) at beginning of year	2014-12-31	$80,112
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$33,325,180
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	EISNER AMPER
Accountancy firm EIN	2014-12-31	131639826

Form 5500 Responses for KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN

2018: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: KCG HOLDINGS, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	KCG HOLDINGS, INC.
Employer identification number (EIN):	383898306
NAIC Classification:	523140
NAIC Description:	Commodity Contracts Brokerage

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3301199

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2018-01-01	THOMAS MERRITT
002	2017-01-01	THOMAS MERRITT
002	2016-01-01	JOEL QUALL
002	2015-01-01		2016-10-03
002	2015-01-01	JOAN FADER
002	2015-01-01
002	2014-01-01	JOAN FADER