PIPER JAFFRAY & CO. has sponsored the creation of one or more 401k plans.
Additional information about PIPER JAFFRAY & CO.
Submission information for form 5500 for 401k plan SEATTLE-NORTHWEST SECURITIES CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST
| Measure | Date | Value |
|---|
| 2015 : SEATTLE-NORTHWEST SECURITIES CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST 2015 401k financial data |
|---|
| Total income from all sources | 2015-08-31 | $1,378,515 |
| Expenses. Total of all expenses incurred | 2015-08-31 | $3,495,784 |
| Benefits paid (including direct rollovers) | 2015-08-31 | $3,495,784 |
| Total plan assets at end of year | 2015-08-31 | $0 |
| Total plan assets at beginning of year | 2015-08-31 | $2,117,269 |
| Value of fidelity bond covering the plan | 2015-08-31 | $500,000 |
| Other income received | 2015-08-31 | $1,378,515 |
| Net income (gross income less expenses) | 2015-08-31 | $-2,117,269 |
| Net plan assets at end of year (total assets less liabilities) | 2015-08-31 | $0 |
| Net plan assets at beginning of year (total assets less liabilities) | 2015-08-31 | $2,117,269 |
| Assets. Value of participant loans | 2015-08-31 | $0 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-08-31 | $0 |
| 2014 : SEATTLE-NORTHWEST SECURITIES CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST 2014 401k financial data |
|---|
| Total income from all sources | 2014-12-31 | $28,945 |
| Expenses. Total of all expenses incurred | 2014-12-31 | $28,056 |
| Benefits paid (including direct rollovers) | 2014-12-31 | $27,834 |
| Total plan assets at end of year | 2014-12-31 | $2,117,269 |
| Total plan assets at beginning of year | 2014-12-31 | $2,116,380 |
| Value of fidelity bond covering the plan | 2014-12-31 | $500,000 |
| Expenses. Other expenses not covered elsewhere | 2014-12-31 | $222 |
| Contributions received from other sources (not participants or employers) | 2014-12-31 | $909 |
| Other income received | 2014-12-31 | $28,036 |
| Net income (gross income less expenses) | 2014-12-31 | $889 |
| Net plan assets at end of year (total assets less liabilities) | 2014-12-31 | $2,117,269 |
| Net plan assets at beginning of year (total assets less liabilities) | 2014-12-31 | $2,116,380 |
| Assets. Value of participant loans | 2014-12-31 | $37,073 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
| 2013 : SEATTLE-NORTHWEST SECURITIES CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST 2013 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $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 | $8,381,795 |
| Total loss/gain on sale of assets | 2013-12-31 | $0 |
| Total of all expenses incurred | 2013-12-31 | $28,081,058 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $28,052,532 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $878,987 |
| Value of total assets at end of year | 2013-12-31 | $2,116,380 |
| Value of total assets at beginning of year | 2013-12-31 | $21,815,643 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $28,526 |
| Total interest from all sources | 2013-12-31 | $4,816 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | Yes |
| Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2013-12-31 | $0 |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2013-12-31 | $0 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2013-12-31 | $12,985 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Contributions received from participants | 2013-12-31 | $618,135 |
| Participant contributions at end of year | 2013-12-31 | $76,073 |
| Participant contributions at beginning of year | 2013-12-31 | $168,662 |
| Participant contributions at end of year | 2013-12-31 | $0 |
| Participant contributions at beginning of year | 2013-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2013-12-31 | $260,852 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2013-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2013-12-31 | $0 |
| Other income not declared elsewhere | 2013-12-31 | $7,277,127 |
| Administrative expenses (other) incurred | 2013-12-31 | $28,526 |
| Total non interest bearing cash at end of year | 2013-12-31 | $665 |
| Total non interest bearing cash at beginning of year | 2013-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Value of net income/loss | 2013-12-31 | $-19,699,263 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $2,116,380 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $21,815,643 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| 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 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $2,252,571 |
| Interest on participant loans | 2013-12-31 | $4,816 |
| Value of interest in common/collective trusts at end of year | 2013-12-31 | $2,039,642 |
| Value of interest in common/collective trusts at beginning of year | 2013-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2013-12-31 | $0 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2013-12-31 | $7,817,099 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2013-12-31 | $7,817,099 |
| Asset value of US Government securities at end of year | 2013-12-31 | $0 |
| Asset value of US Government securities at beginning of year | 2013-12-31 | $355,218 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $202,034 |
| Net investment gain or loss from common/collective trusts | 2013-12-31 | $18,831 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Assets. Invements in employer securities at end of year | 2013-12-31 | $0 |
| Assets. Invements in employer securities at beginning of year | 2013-12-31 | $8,716,543 |
| Contributions received in cash from employer | 2013-12-31 | $0 |
| Employer contributions (assets) at end of year | 2013-12-31 | $0 |
| Employer contributions (assets) at beginning of year | 2013-12-31 | $166,250 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $28,052,532 |
| Asset. Corporate debt instrument debt (other) at end of year | 2013-12-31 | $0 |
| Asset. Corporate debt instrument debt (other) at beginning of year | 2013-12-31 | $891,668 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2013-12-31 | $0 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2013-12-31 | $1,434,647 |
| Did the plan have assets held for investment | 2013-12-31 | 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 | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Unqualified |
| Accountancy firm name | 2013-12-31 | MOSS ADAMS |
| Accountancy firm EIN | 2013-12-31 | 910189318 |
