401k Plan data: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN plan

MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 401k Plan overview

Plan Name	MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN
Plan identification number	001

MAST CAPITAL MANAGEMENT, LLC 401(K) 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

MAST CAPITAL MANGEMENT, LLC has sponsored the creation of one or more 401k plans.

Company Name: MAST CAPITAL MANGEMENT, LLC

Employer identification number (EIN): 431962446

NAIC Classification: 812990
NAIC Description: All Other Personal Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01

Plan Statistics for MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN

401k plan membership statisitcs for MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN

Measure Date Value
2017: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 2
Total of all active and inactive participants 2017-01-01 2
Total participants 2017-01-01 2
2016: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 13
Number of retired or separated participants receiving benefits 2016-01-01 7
Total of all active and inactive participants 2016-01-01 20
Total participants 2016-01-01 20
Number of participants with account balances 2016-01-01 20
2015: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 26
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 19
Number of retired or separated participants receiving benefits 2015-01-01 3
Total of all active and inactive participants 2015-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 22
Number of participants with account balances 2015-01-01 22
2014: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 24
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 18
Number of retired or separated participants receiving benefits 2014-01-01 5
Number of other retired or separated participants entitled to future benefits 2014-01-01 3
Total of all active and inactive participants 2014-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 26
Number of participants with account balances 2014-01-01 26

Measure	Date	Value
2017: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	2
Total of all active and inactive participants	2017-01-01	2
Total participants	2017-01-01	2
2016: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	13
Number of retired or separated participants receiving benefits	2016-01-01	7
Total of all active and inactive participants	2016-01-01	20
Total participants	2016-01-01	20
Number of participants with account balances	2016-01-01	20
2015: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	26
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	19
Number of retired or separated participants receiving benefits	2015-01-01	3
Total of all active and inactive participants	2015-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	22
Number of participants with account balances	2015-01-01	22
2014: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	24
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	18
Number of retired or separated participants receiving benefits	2014-01-01	5
Number of other retired or separated participants entitled to future benefits	2014-01-01	3
Total of all active and inactive participants	2014-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	26
Number of participants with account balances	2014-01-01	26

Financial Data on MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN

Measure	Date	Value
2017 : MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$54,483
Expenses. Total of all expenses incurred	2017-12-31	$2,156,689
Benefits paid (including direct rollovers)	2017-12-31	$2,156,689
Total plan assets at end of year	2017-12-31	$0
Total plan assets at beginning of year	2017-12-31	$2,102,206
Value of fidelity bond covering the plan	2017-12-31	$7,584,299
Other income received	2017-12-31	$37,883
Net income (gross income less expenses)	2017-12-31	$-2,102,206
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,102,206
Total contributions received or receivable from employer(s)	2017-12-31	$16,600
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$489,266
Expenses. Total of all expenses incurred	2016-12-31	$310,728
Benefits paid (including direct rollovers)	2016-12-31	$308,354
Total plan assets at end of year	2016-12-31	$2,102,206
Total plan assets at beginning of year	2016-12-31	$1,923,668
Value of fidelity bond covering the plan	2016-12-31	$7,976,348
Total contributions received or receivable from participants	2016-12-31	$222,000
Other income received	2016-12-31	$158,498
Net income (gross income less expenses)	2016-12-31	$178,538
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,102,206
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$1,923,668
Total contributions received or receivable from employer(s)	2016-12-31	$108,768
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$2,374
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$566,601
Expenses. Total of all expenses incurred	2015-12-31	$249,739
Benefits paid (including direct rollovers)	2015-12-31	$230,944
Total plan assets at end of year	2015-12-31	$1,923,668
Total plan assets at beginning of year	2015-12-31	$1,606,806
Value of fidelity bond covering the plan	2015-12-31	$10,000,000
Total contributions received or receivable from participants	2015-12-31	$276,429
Expenses. Other expenses not covered elsewhere	2015-12-31	$17,914
Contributions received from other sources (not participants or employers)	2015-12-31	$168,140
Other income received	2015-12-31	$5,299
Net income (gross income less expenses)	2015-12-31	$316,862
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,923,668
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,606,806
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$116,599
Total contributions received or receivable from employer(s)	2015-12-31	$116,733
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$881
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$69,866
Expenses. Total of all expenses incurred	2014-12-31	$100,612
Benefits paid (including direct rollovers)	2014-12-31	$98,177
Total plan assets at end of year	2014-12-31	$1,606,806
Total plan assets at beginning of year	2014-12-31	$1,637,552
Value of fidelity bond covering the plan	2014-12-31	$7,500,000
Total contributions received or receivable from participants	2014-12-31	$242,242
Other income received	2014-12-31	$-282,536
Net income (gross income less expenses)	2014-12-31	$-30,746
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,606,806
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,637,552
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$116,599
Total contributions received or receivable from employer(s)	2014-12-31	$110,160
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$2,435

Form 5500 Responses for MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN

2017: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: MAST CAPITAL MANAGEMENT, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MAST CAPITAL MANGEMENT, LLC
Employer identification number (EIN):	431962446
NAIC Classification:	812990
NAIC Description:	All Other Personal Services