CLSA AMERICAS, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan CLSA AMERICAS, LLC 401(K) SAVINGS PLAN
| Measure | Date | Value |
|---|
| 2023 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2023 401k financial data |
|---|
| Total income from all sources (including contributions) | 2023-12-31 | $6,881,882 |
| Total of all expenses incurred | 2023-12-31 | $3,127,646 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2023-12-31 | $3,108,061 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2023-12-31 | $1,733,013 |
| Value of total assets at end of year | 2023-12-31 | $31,905,467 |
| Value of total assets at beginning of year | 2023-12-31 | $28,151,231 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2023-12-31 | $19,585 |
| Total interest from all sources | 2023-12-31 | $16,918 |
| Total dividends received (eg from common stock, registered investment company shares) | 2023-12-31 | $603,610 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2023-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2023-12-31 | $603,610 |
| Was this plan covered by a fidelity bond | 2023-12-31 | Yes |
| Value of fidelity bond cover | 2023-12-31 | $800,000 |
| If this is an individual account plan, was there a blackout period | 2023-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2023-12-31 | No |
| Contributions received from participants | 2023-12-31 | $993,748 |
| Participant contributions at end of year | 2023-12-31 | $256,899 |
| Participant contributions at beginning of year | 2023-12-31 | $370,703 |
| Assets. Other investments not covered elsewhere at end of year | 2023-12-31 | $4,024,557 |
| Assets. Other investments not covered elsewhere at beginning of year | 2023-12-31 | $3,091,240 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2023-12-31 | $5,850 |
| Other income not declared elsewhere | 2023-12-31 | $689,379 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-12-31 | No |
| Value of net income/loss | 2023-12-31 | $3,754,236 |
| Value of net assets at end of year (total assets less liabilities) | 2023-12-31 | $31,905,467 |
| Value of net assets at beginning of year (total assets less liabilities) | 2023-12-31 | $28,151,231 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2023-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2023-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2023-12-31 | No |
| Investment advisory and management fees | 2023-12-31 | $524 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2023-12-31 | $19,100,712 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2023-12-31 | $16,901,257 |
| Interest on participant loans | 2023-12-31 | $16,918 |
| Value of interest in common/collective trusts at end of year | 2023-12-31 | $8,523,299 |
| Value of interest in common/collective trusts at beginning of year | 2023-12-31 | $7,788,031 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2023-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2023-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2023-12-31 | $2,551,346 |
| Net investment gain or loss from common/collective trusts | 2023-12-31 | $1,287,616 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2023-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2023-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2023-12-31 | No |
| Contributions received in cash from employer | 2023-12-31 | $733,415 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2023-12-31 | $3,108,061 |
| Did the plan have assets held for investment | 2023-12-31 | 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 | 2023-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2023-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2023-12-31 | Unqualified |
| Accountancy firm name | 2023-12-31 | CITRIN COOPERMAN&COMPANY LLP |
| Accountancy firm EIN | 2023-12-31 | 222428965 |
| Total income from all sources (including contributions) | 2023-01-01 | $6,881,882 |
| Total of all expenses incurred | 2023-01-01 | $3,127,646 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2023-01-01 | $3,108,061 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2023-01-01 | $1,733,013 |
| Value of total assets at end of year | 2023-01-01 | $31,905,467 |
| Value of total assets at beginning of year | 2023-01-01 | $28,151,231 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2023-01-01 | $19,585 |
| Total interest from all sources | 2023-01-01 | $16,918 |
| Total dividends received (eg from common stock, registered investment company shares) | 2023-01-01 | $603,610 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2023-01-01 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2023-01-01 | $603,610 |
| Was this plan covered by a fidelity bond | 2023-01-01 | Yes |
| Value of fidelity bond cover | 2023-01-01 | $800,000 |
| If this is an individual account plan, was there a blackout period | 2023-01-01 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2023-01-01 | No |
| Contributions received from participants | 2023-01-01 | $993,748 |
| Participant contributions at end of year | 2023-01-01 | $256,899 |
| Participant contributions at beginning of year | 2023-01-01 | $370,703 |
| Assets. Other investments not covered elsewhere at end of year | 2023-01-01 | $4,024,557 |
| Assets. Other investments not covered elsewhere at beginning of year | 2023-01-01 | $3,091,240 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2023-01-01 | $5,850 |
| Other income not declared elsewhere | 2023-01-01 | $689,379 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-01-01 | No |
| Value of net income/loss | 2023-01-01 | $3,754,236 |
| Value of net assets at end of year (total assets less liabilities) | 2023-01-01 | $31,905,467 |
| Value of net assets at beginning of year (total assets less liabilities) | 2023-01-01 | $28,151,231 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2023-01-01 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2023-01-01 | No |
| Were any leases to which the plan was party in default or uncollectible | 2023-01-01 | No |
| Investment advisory and management fees | 2023-01-01 | $524 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2023-01-01 | $19,100,712 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2023-01-01 | $16,901,257 |
| Interest on participant loans | 2023-01-01 | $16,918 |
| Value of interest in common/collective trusts at end of year | 2023-01-01 | $8,523,299 |
| Value of interest in common/collective trusts at beginning of year | 2023-01-01 | $7,788,031 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2023-01-01 | $2,551,346 |
| Net investment gain or loss from common/collective trusts | 2023-01-01 | $1,287,616 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2023-01-01 | No |
| Was there a failure to transmit to the plan any participant contributions | 2023-01-01 | No |
| Has the plan failed to provide any benefit when due under the plan | 2023-01-01 | No |
| Contributions received in cash from employer | 2023-01-01 | $733,415 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2023-01-01 | $3,108,061 |
| Did the plan have assets held for investment | 2023-01-01 | 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 | 2023-01-01 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2023-01-01 | No |
| Opinion of an independent qualified public accountant for this plan | 2023-01-01 | 1 |
| Accountancy firm name | 2023-01-01 | CITRIN COOPERMAN&COMPANY LLP |
| Accountancy firm EIN | 2023-01-01 | 222428965 |
| 2022 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2022 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2022-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
| Total income from all sources (including contributions) | 2022-12-31 | $-5,400,867 |
| Total loss/gain on sale of assets | 2022-12-31 | $0 |
| Total of all expenses incurred | 2022-12-31 | $3,252,767 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $3,187,150 |
| Expenses. Certain deemed distributions of participant loans | 2022-12-31 | $45,924 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $1,817,652 |
| Value of total assets at end of year | 2022-12-31 | $28,151,231 |
| Value of total assets at beginning of year | 2022-12-31 | $36,804,865 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $19,693 |
| Total interest from all sources | 2022-12-31 | $26,005 |
| Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $534,974 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2022-12-31 | $534,974 |
| Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
| Value of fidelity bond cover | 2022-12-31 | $800,000 |
| If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
| Contributions received from participants | 2022-12-31 | $1,061,987 |
| Participant contributions at end of year | 2022-12-31 | $370,703 |
| Participant contributions at beginning of year | 2022-12-31 | $429,555 |
| Assets. Other investments not covered elsewhere at end of year | 2022-12-31 | $3,091,240 |
| Assets. Other investments not covered elsewhere at beginning of year | 2022-12-31 | $5,836,910 |
| Other income not declared elsewhere | 2022-12-31 | $-1,298,811 |
| Administrative expenses (other) incurred | 2022-12-31 | $19,693 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
| Value of net income/loss | 2022-12-31 | $-8,653,634 |
| Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $28,151,231 |
| Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $36,804,865 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-12-31 | $16,901,257 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-12-31 | $22,447,756 |
| Interest on participant loans | 2022-12-31 | $17,913 |
| Value of interest in common/collective trusts at end of year | 2022-12-31 | $7,788,031 |
| Value of interest in common/collective trusts at beginning of year | 2022-12-31 | $6,517,344 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2022-12-31 | $0 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2022-12-31 | $1,573,300 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2022-12-31 | $1,573,300 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2022-12-31 | $8,092 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $-5,343,672 |
| Net investment gain or loss from common/collective trusts | 2022-12-31 | $-1,137,015 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
| Contributions received in cash from employer | 2022-12-31 | $755,665 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $3,187,150 |
| Did the plan have assets held for investment | 2022-12-31 | 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 | 2022-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Unqualified |
| Accountancy firm name | 2022-12-31 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2022-12-31 | 222428965 |
| Total unrealized appreciation/depreciation of assets | 2022-01-01 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-01-01 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-01-01 | $0 |
| Total income from all sources (including contributions) | 2022-01-01 | $-5,400,867 |
| Total loss/gain on sale of assets | 2022-01-01 | $0 |
| Total of all expenses incurred | 2022-01-01 | $3,252,767 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-01-01 | $3,187,150 |
| Expenses. Certain deemed distributions of participant loans | 2022-01-01 | $45,924 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-01-01 | $1,817,652 |
| Value of total assets at end of year | 2022-01-01 | $28,151,231 |
| Value of total assets at beginning of year | 2022-01-01 | $36,804,865 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-01-01 | $19,693 |
| Total interest from all sources | 2022-01-01 | $26,005 |
| Total dividends received (eg from common stock, registered investment company shares) | 2022-01-01 | $534,974 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-01-01 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2022-01-01 | $534,974 |
| Was this plan covered by a fidelity bond | 2022-01-01 | Yes |
| Value of fidelity bond cover | 2022-01-01 | $800,000 |
| If this is an individual account plan, was there a blackout period | 2022-01-01 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2022-01-01 | No |
| Contributions received from participants | 2022-01-01 | $1,061,987 |
| Participant contributions at end of year | 2022-01-01 | $370,703 |
| Participant contributions at beginning of year | 2022-01-01 | $429,555 |
| Assets. Other investments not covered elsewhere at end of year | 2022-01-01 | $3,091,240 |
| Assets. Other investments not covered elsewhere at beginning of year | 2022-01-01 | $5,836,910 |
| Other income not declared elsewhere | 2022-01-01 | $-1,298,811 |
| Administrative expenses (other) incurred | 2022-01-01 | $19,693 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-01-01 | No |
| Value of net income/loss | 2022-01-01 | $-8,653,634 |
| Value of net assets at end of year (total assets less liabilities) | 2022-01-01 | $28,151,231 |
| Value of net assets at beginning of year (total assets less liabilities) | 2022-01-01 | $36,804,865 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-01-01 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2022-01-01 | No |
| Were any leases to which the plan was party in default or uncollectible | 2022-01-01 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-01-01 | $16,901,257 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-01-01 | $22,447,756 |
| Interest on participant loans | 2022-01-01 | $17,913 |
| Value of interest in common/collective trusts at end of year | 2022-01-01 | $7,788,031 |
| Value of interest in common/collective trusts at beginning of year | 2022-01-01 | $6,517,344 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2022-01-01 | $0 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2022-01-01 | $8,092 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-01-01 | $-5,343,672 |
| Net investment gain or loss from common/collective trusts | 2022-01-01 | $-1,137,015 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-01-01 | No |
| Was there a failure to transmit to the plan any participant contributions | 2022-01-01 | No |
| Has the plan failed to provide any benefit when due under the plan | 2022-01-01 | No |
| Contributions received in cash from employer | 2022-01-01 | $755,665 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-01-01 | $3,187,150 |
| Did the plan have assets held for investment | 2022-01-01 | 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 | 2022-01-01 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-01-01 | No |
| Opinion of an independent qualified public accountant for this plan | 2022-01-01 | 1 |
| Accountancy firm name | 2022-01-01 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2022-01-01 | 222428965 |
| 2021 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2021 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2021-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
| Total income from all sources (including contributions) | 2021-12-31 | $5,986,314 |
| Total loss/gain on sale of assets | 2021-12-31 | $0 |
| Total of all expenses incurred | 2021-12-31 | $4,745,155 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $4,725,531 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $1,790,607 |
| Value of total assets at end of year | 2021-12-31 | $36,804,865 |
| Value of total assets at beginning of year | 2021-12-31 | $35,563,706 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $19,624 |
| Total interest from all sources | 2021-12-31 | $22,089 |
| Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $2,623,616 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2021-12-31 | $2,623,616 |
| Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
| Value of fidelity bond cover | 2021-12-31 | $800,000 |
| If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
| Contributions received from participants | 2021-12-31 | $1,035,985 |
| Participant contributions at end of year | 2021-12-31 | $429,555 |
| Participant contributions at beginning of year | 2021-12-31 | $533,551 |
| Assets. Other investments not covered elsewhere at end of year | 2021-12-31 | $5,836,910 |
| Assets. Other investments not covered elsewhere at beginning of year | 2021-12-31 | $5,067,041 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $10,312 |
| Other income not declared elsewhere | 2021-12-31 | $262,734 |
| Administrative expenses (other) incurred | 2021-12-31 | $19,624 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
| Value of net income/loss | 2021-12-31 | $1,241,159 |
| Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $36,804,865 |
| Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $35,563,706 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-12-31 | $22,447,756 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-31 | $21,604,223 |
| Interest on participant loans | 2021-12-31 | $21,742 |
| Value of interest in common/collective trusts at end of year | 2021-12-31 | $6,517,344 |
| Value of interest in common/collective trusts at beginning of year | 2021-12-31 | $5,657,849 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2021-12-31 | $1,573,300 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2021-12-31 | $2,701,042 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2021-12-31 | $2,701,042 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2021-12-31 | $347 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-31 | $82,708 |
| Net investment gain or loss from common/collective trusts | 2021-12-31 | $1,204,560 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
| Contributions received in cash from employer | 2021-12-31 | $744,310 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $4,725,531 |
| Did the plan have assets held for investment | 2021-12-31 | 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 | 2021-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Unqualified |
| Accountancy firm name | 2021-12-31 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2021-12-31 | 222428965 |
| 2020 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2020 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2020-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
| Total income from all sources (including contributions) | 2020-12-31 | $6,826,220 |
| Total loss/gain on sale of assets | 2020-12-31 | $0 |
| Total of all expenses incurred | 2020-12-31 | $5,410,378 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $5,389,649 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $1,692,575 |
| Value of total assets at end of year | 2020-12-31 | $35,563,706 |
| Value of total assets at beginning of year | 2020-12-31 | $34,147,864 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $20,729 |
| Total interest from all sources | 2020-12-31 | $38,739 |
| Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $674,787 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $674,787 |
| Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
| Value of fidelity bond cover | 2020-12-31 | $600,000 |
| If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2020-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
| Contributions received from participants | 2020-12-31 | $977,223 |
| Participant contributions at end of year | 2020-12-31 | $533,551 |
| Participant contributions at beginning of year | 2020-12-31 | $521,054 |
| Assets. Other investments not covered elsewhere at end of year | 2020-12-31 | $5,067,041 |
| Assets. Other investments not covered elsewhere at beginning of year | 2020-12-31 | $3,769,181 |
| Other income not declared elsewhere | 2020-12-31 | $890,418 |
| Administrative expenses (other) incurred | 2020-12-31 | $20,729 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
| Value of net income/loss | 2020-12-31 | $1,415,842 |
| Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $35,563,706 |
| Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $34,147,864 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-12-31 | $21,604,223 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $27,862,382 |
| Interest on participant loans | 2020-12-31 | $27,604 |
| Value of interest in common/collective trusts at end of year | 2020-12-31 | $5,657,849 |
| Value of interest in common/collective trusts at beginning of year | 2020-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2020-12-31 | $2,701,042 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2020-12-31 | $1,995,247 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2020-12-31 | $1,995,247 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2020-12-31 | $11,135 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $2,971,941 |
| Net investment gain or loss from common/collective trusts | 2020-12-31 | $557,760 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
| Contributions received in cash from employer | 2020-12-31 | $715,352 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $5,389,649 |
| Did the plan have assets held for investment | 2020-12-31 | 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 | 2020-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Unqualified |
| Accountancy firm name | 2020-12-31 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2020-12-31 | 222428965 |
| 2019 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2019 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2019-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total income from all sources (including contributions) | 2019-12-31 | $9,461,313 |
| Total loss/gain on sale of assets | 2019-12-31 | $0 |
| Total of all expenses incurred | 2019-12-31 | $3,874,302 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $3,847,899 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $3,023,319 |
| Value of total assets at end of year | 2019-12-31 | $34,147,864 |
| Value of total assets at beginning of year | 2019-12-31 | $28,560,853 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $26,403 |
| Total interest from all sources | 2019-12-31 | $52,904 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $1,123,417 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $1,123,417 |
| Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
| Value of fidelity bond cover | 2019-12-31 | $600,000 |
| If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2019-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
| Contributions received from participants | 2019-12-31 | $1,218,252 |
| Participant contributions at end of year | 2019-12-31 | $521,054 |
| Participant contributions at beginning of year | 2019-12-31 | $302,968 |
| Assets. Other investments not covered elsewhere at end of year | 2019-12-31 | $3,769,181 |
| Assets. Other investments not covered elsewhere at beginning of year | 2019-12-31 | $3,501,370 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $923,738 |
| Other income not declared elsewhere | 2019-12-31 | $548,921 |
| Administrative expenses (other) incurred | 2019-12-31 | $23,966 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Value of net income/loss | 2019-12-31 | $5,587,011 |
| Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $34,147,864 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $28,560,853 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
| Investment advisory and management fees | 2019-12-31 | $2,437 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $27,862,382 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $23,026,337 |
| Interest on participant loans | 2019-12-31 | $20,169 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2019-12-31 | $1,995,247 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2019-12-31 | $1,730,178 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2019-12-31 | $1,730,178 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2019-12-31 | $32,735 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $4,712,752 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
| Contributions received in cash from employer | 2019-12-31 | $881,329 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $3,847,899 |
| Did the plan have assets held for investment | 2019-12-31 | 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 | 2019-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
| Accountancy firm name | 2019-12-31 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2019-12-31 | 222428965 |
| 2018 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2018 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2018-12-31 | $0 |
| Total transfer of assets to this plan | 2018-12-31 | $597,293 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Total income from all sources (including contributions) | 2018-12-31 | $420,937 |
| Total loss/gain on sale of assets | 2018-12-31 | $0 |
| Total of all expenses incurred | 2018-12-31 | $4,234,593 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $4,206,587 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $2,172,520 |
| Value of total assets at end of year | 2018-12-31 | $28,560,853 |
| Value of total assets at beginning of year | 2018-12-31 | $31,777,216 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $28,006 |
| Total interest from all sources | 2018-12-31 | $33,060 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $1,221,808 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2018-12-31 | $1,221,808 |
| Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
| Value of fidelity bond cover | 2018-12-31 | $600,000 |
| If this is an individual account plan, was there a blackout period | 2018-12-31 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2018-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
| Contributions received from participants | 2018-12-31 | $1,212,828 |
| Participant contributions at end of year | 2018-12-31 | $302,968 |
| Participant contributions at beginning of year | 2018-12-31 | $398,909 |
| Assets. Other investments not covered elsewhere at end of year | 2018-12-31 | $3,501,370 |
| Assets. Other investments not covered elsewhere at beginning of year | 2018-12-31 | $3,594,846 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2018-12-31 | $32,253 |
| Other income not declared elsewhere | 2018-12-31 | $-296,691 |
| Administrative expenses (other) incurred | 2018-12-31 | $25,140 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
| Value of net income/loss | 2018-12-31 | $-3,813,656 |
| Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $28,560,853 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $31,777,216 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2018-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
| Investment advisory and management fees | 2018-12-31 | $2,866 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-12-31 | $23,026,337 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $27,358,524 |
| Interest on participant loans | 2018-12-31 | $15,563 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2018-12-31 | $1,730,178 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2018-12-31 | $424,937 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2018-12-31 | $424,937 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2018-12-31 | $17,497 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-2,709,760 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2018-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2018-12-31 | No |
| Contributions received in cash from employer | 2018-12-31 | $927,439 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $4,206,587 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2018-12-31 | Yes |
| Did the plan have assets held for investment | 2018-12-31 | 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 | 2018-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2018-12-31 | Disclaimer |
| Accountancy firm name | 2018-12-31 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2018-12-31 | 222428965 |
| 2017 : CLSA AMERICAS, LLC 401(K) SAVINGS 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 | $8,202,418 |
| Total loss/gain on sale of assets | 2017-12-31 | $0 |
| Total of all expenses incurred | 2017-12-31 | $7,893,730 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $7,872,244 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $3,030,352 |
| Value of total assets at end of year | 2017-12-31 | $31,777,216 |
| Value of total assets at beginning of year | 2017-12-31 | $31,468,528 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $21,486 |
| Total interest from all sources | 2017-12-31 | $20,538 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $986,118 |
| 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 | $986,118 |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $600,000 |
| If this is an individual account plan, was there a blackout period | 2017-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2017-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
| Contributions received from participants | 2017-12-31 | $1,697,350 |
| Participant contributions at end of year | 2017-12-31 | $398,909 |
| Participant contributions at beginning of year | 2017-12-31 | $430,025 |
| Assets. Other investments not covered elsewhere at end of year | 2017-12-31 | $3,594,846 |
| Assets. Other investments not covered elsewhere at beginning of year | 2017-12-31 | $3,348,030 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2017-12-31 | $56,061 |
| Other income not declared elsewhere | 2017-12-31 | $412,379 |
| Administrative expenses (other) incurred | 2017-12-31 | $19,259 |
| 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 | $308,688 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $31,777,216 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $31,468,528 |
| 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 |
| Investment advisory and management fees | 2017-12-31 | $2,227 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-12-31 | $27,358,524 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $27,373,702 |
| Interest on participant loans | 2017-12-31 | $16,629 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2017-12-31 | $424,937 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2017-12-31 | $316,771 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2017-12-31 | $316,771 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2017-12-31 | $3,909 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $3,753,031 |
| 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 | $1,276,941 |
| Employer contributions (assets) at end of year | 2017-12-31 | $0 |
| Employer contributions (assets) at beginning of year | 2017-12-31 | $0 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $7,872,244 |
| 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 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2017-12-31 | 222428965 |
| 2016 : CLSA AMERICAS, LLC 401(K) SAVINGS 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 | $6,883,334 |
| Total loss/gain on sale of assets | 2016-12-31 | $0 |
| Total of all expenses incurred | 2016-12-31 | $2,348,731 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $2,334,739 |
| Value of total corrective distributions | 2016-12-31 | $1,592 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $4,876,414 |
| Value of total assets at end of year | 2016-12-31 | $31,468,528 |
| Value of total assets at beginning of year | 2016-12-31 | $26,933,925 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $12,400 |
| Total interest from all sources | 2016-12-31 | $11,950 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $810,338 |
| 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 | $810,338 |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $600,000 |
| If this is an individual account plan, was there a blackout period | 2016-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
| Contributions received from participants | 2016-12-31 | $2,367,216 |
| Participant contributions at end of year | 2016-12-31 | $430,025 |
| Participant contributions at beginning of year | 2016-12-31 | $202,477 |
| Assets. Other investments not covered elsewhere at end of year | 2016-12-31 | $3,348,030 |
| Assets. Other investments not covered elsewhere at beginning of year | 2016-12-31 | $3,198,513 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-12-31 | $620,261 |
| Other income not declared elsewhere | 2016-12-31 | $-174,890 |
| Administrative expenses (other) incurred | 2016-12-31 | $10,825 |
| 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 | $4,534,603 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $31,468,528 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $26,933,925 |
| 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 |
| Investment advisory and management fees | 2016-12-31 | $1,575 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-12-31 | $27,373,702 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $23,101,502 |
| Interest on participant loans | 2016-12-31 | $11,281 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2016-12-31 | $316,771 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2016-12-31 | $263,569 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2016-12-31 | $263,569 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2016-12-31 | $669 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $1,359,522 |
| 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 | $1,888,937 |
| Employer contributions (assets) at end of year | 2016-12-31 | $0 |
| Employer contributions (assets) at beginning of year | 2016-12-31 | $167,864 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $2,334,739 |
| 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 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2016-12-31 | 222428965 |
| 2015 : CLSA AMERICAS, LLC 401(K) SAVINGS 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 | $5,019,244 |
| Total loss/gain on sale of assets | 2015-12-31 | $0 |
| Total of all expenses incurred | 2015-12-31 | $1,542,949 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $1,532,187 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $5,129,089 |
| Value of total assets at end of year | 2015-12-31 | $26,933,925 |
| Value of total assets at beginning of year | 2015-12-31 | $23,457,630 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $10,762 |
| Total interest from all sources | 2015-12-31 | $7,797 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $971,737 |
| 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 | $971,737 |
| 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 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
| Contributions received from participants | 2015-12-31 | $2,443,811 |
| Participant contributions at end of year | 2015-12-31 | $202,477 |
| Participant contributions at beginning of year | 2015-12-31 | $181,569 |
| Assets. Other investments not covered elsewhere at end of year | 2015-12-31 | $3,198,513 |
| Assets. Other investments not covered elsewhere at beginning of year | 2015-12-31 | $2,397,198 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2015-12-31 | $719,587 |
| Other income not declared elsewhere | 2015-12-31 | $76,079 |
| Administrative expenses (other) incurred | 2015-12-31 | $10,375 |
| 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 | $3,476,295 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $26,933,925 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $23,457,630 |
| 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 |
| Investment advisory and management fees | 2015-12-31 | $387 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-12-31 | $23,101,502 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $20,443,014 |
| Interest on participant loans | 2015-12-31 | $7,768 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2015-12-31 | $263,569 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2015-12-31 | $91,049 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2015-12-31 | $91,049 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2015-12-31 | $29 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-1,165,458 |
| 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 | $1,965,691 |
| Employer contributions (assets) at end of year | 2015-12-31 | $167,864 |
| Employer contributions (assets) at beginning of year | 2015-12-31 | $344,800 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $1,532,187 |
| 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 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2015-12-31 | 222428965 |
| 2014 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2014 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
| 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 | $5,827,838 |
| Total loss/gain on sale of assets | 2014-12-31 | $0 |
| Total of all expenses incurred | 2014-12-31 | $2,504,438 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $2,494,213 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $4,825,726 |
| Value of total assets at end of year | 2014-12-31 | $23,457,630 |
| Value of total assets at beginning of year | 2014-12-31 | $20,134,230 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $10,225 |
| Total interest from all sources | 2014-12-31 | $5,702 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $752,784 |
| 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 | $752,784 |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $600,000 |
| If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Contributions received from participants | 2014-12-31 | $2,229,706 |
| Participant contributions at end of year | 2014-12-31 | $181,569 |
| Participant contributions at beginning of year | 2014-12-31 | $148,219 |
| Assets. Other investments not covered elsewhere at end of year | 2014-12-31 | $2,397,198 |
| Assets. Other investments not covered elsewhere at beginning of year | 2014-12-31 | $1,957,563 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2014-12-31 | $761,234 |
| Other income not declared elsewhere | 2014-12-31 | $-3,054 |
| Administrative expenses (other) incurred | 2014-12-31 | $10,225 |
| 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 | $3,323,400 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $23,457,630 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $20,134,230 |
| 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 | $20,443,014 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $12,986,546 |
| Interest on participant loans | 2014-12-31 | $5,695 |
| Value of interest in common/collective trusts at end of year | 2014-12-31 | $0 |
| Value of interest in common/collective trusts at beginning of year | 2014-12-31 | $4,959,478 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2014-12-31 | $91,049 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2014-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2014-12-31 | $0 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2014-12-31 | $7 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $148,721 |
| Net investment gain or loss from common/collective trusts | 2014-12-31 | $97,959 |
| 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 | $1,834,786 |
| Employer contributions (assets) at end of year | 2014-12-31 | $344,800 |
| Employer contributions (assets) at beginning of year | 2014-12-31 | $82,424 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $2,494,213 |
| 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 | CITRIN COOPERMAN & COMPANY LLP |
| Accountancy firm EIN | 2014-12-31 | 222428965 |
| 2013 : CLSA AMERICAS, LLC 401(K) SAVINGS PLAN 2013 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
| Total transfer of assets to this plan | 2013-12-31 | $16,548,119 |
| 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 | $4,235,417 |
| Total loss/gain on sale of assets | 2013-12-31 | $0 |
| Total of all expenses incurred | 2013-12-31 | $649,306 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $645,673 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $2,250,521 |
| Value of total assets at end of year | 2013-12-31 | $20,134,230 |
| Value of total assets at beginning of year | 2013-12-31 | $0 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $3,633 |
| Total interest from all sources | 2013-12-31 | $2,467 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $411,866 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $411,866 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $5,000,000 |
| 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 | $965,454 |
| Participant contributions at end of year | 2013-12-31 | $148,219 |
| Participant contributions at beginning of year | 2013-12-31 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2013-12-31 | $1,957,563 |
| Assets. Other investments not covered elsewhere at beginning of year | 2013-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2013-12-31 | $357,232 |
| Other income not declared elsewhere | 2013-12-31 | $218,464 |
| Administrative expenses (other) incurred | 2013-12-31 | $3,633 |
| 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 | $3,586,111 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $20,134,230 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $0 |
| 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 | $12,986,546 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $0 |
| Interest on participant loans | 2013-12-31 | $2,467 |
| Value of interest in common/collective trusts at end of year | 2013-12-31 | $4,959,478 |
| Value of interest in common/collective trusts at beginning of year | 2013-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $1,004,364 |
| Net investment gain or loss from common/collective trusts | 2013-12-31 | $347,735 |
| 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 |
| Contributions received in cash from employer | 2013-12-31 | $927,835 |
| Employer contributions (assets) at end of year | 2013-12-31 | $82,424 |
| Employer contributions (assets) at beginning of year | 2013-12-31 | $0 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $645,673 |
| 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 |
