401k Plan data: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST plan

PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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

ONE RIVER ASSET MANAGEMENT LLC has sponsored the creation of one or more 401k plans.

Company Name: ONE RIVER ASSET MANAGEMENT LLC

Employer identification number (EIN): 462311563

NAIC Classification: 561110
NAIC Description: Office Administrative Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01
001 2021-01-01 ARTHUR GLEESON
001 2020-01-01
001 2019-01-01
001 2018-01-01 WILL WALLIN
001 2017-01-01 STEVE LISENBY
001 2016-01-01 ERIC PETERS
001 2015-01-01 STEVE LISENBY

Financial Data on PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2021 : PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$425,472
Expenses. Total of all expenses incurred	2021-12-31	$1,383
Benefits paid (including direct rollovers)	2021-12-31	$0
Total plan assets at end of year	2021-12-31	$1,086,571
Total plan assets at beginning of year	2021-12-31	$662,482
Value of fidelity bond covering the plan	2021-12-31	$3,528,028
Total contributions received or receivable from participants	2021-12-31	$273,786
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$17,767
Other income received	2021-12-31	$120,173
Net income (gross income less expenses)	2021-12-31	$424,089
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$1,086,571
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$662,482
Assets. Value of participant loans	2021-12-31	$29,469
Total contributions received or receivable from employer(s)	2021-12-31	$13,746
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$1,383
2020 : PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$205,798
Expenses. Total of all expenses incurred	2020-12-31	$117,725
Benefits paid (including direct rollovers)	2020-12-31	$117,087
Total plan assets at end of year	2020-12-31	$662,482
Total plan assets at beginning of year	2020-12-31	$574,409
Value of fidelity bond covering the plan	2020-12-31	$57,441
Total contributions received or receivable from participants	2020-12-31	$116,498
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$0
Other income received	2020-12-31	$77,725
Net income (gross income less expenses)	2020-12-31	$88,073
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$662,482
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$574,409
Total contributions received or receivable from employer(s)	2020-12-31	$11,575
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$638
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2020-12-31	$0
Minimum employer required contribution for this plan year	2020-12-31	$0
Amount contributed by the employer to the plan for this plan year	2020-12-31	$0
2019 : PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$160,920
Expenses. Total of all expenses incurred	2019-12-31	$66,170
Benefits paid (including direct rollovers)	2019-12-31	$65,555
Total plan assets at end of year	2019-12-31	$574,409
Total plan assets at beginning of year	2019-12-31	$479,659
Value of fidelity bond covering the plan	2019-12-31	$50,000
Total contributions received or receivable from participants	2019-12-31	$73,357
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$76,401
Net income (gross income less expenses)	2019-12-31	$94,750
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$574,409
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$479,659
Assets. Value of participant loans	2019-12-31	$16,710
Total contributions received or receivable from employer(s)	2019-12-31	$11,162
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$615
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2019-12-31	$0
Minimum employer required contribution for this plan year	2019-12-31	$0
Amount contributed by the employer to the plan for this plan year	2019-12-31	$0
2018 : PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$119,854
Expenses. Total of all expenses incurred	2018-12-31	$77,190
Benefits paid (including direct rollovers)	2018-12-31	$76,822
Total plan assets at end of year	2018-12-31	$479,659
Total plan assets at beginning of year	2018-12-31	$436,995
Value of fidelity bond covering the plan	2018-12-31	$50,000
Total contributions received or receivable from participants	2018-12-31	$131,601
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-30,689
Net income (gross income less expenses)	2018-12-31	$42,664
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$479,659
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$436,995
Total contributions received or receivable from employer(s)	2018-12-31	$18,942
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$368
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2018-12-31	$0
Minimum employer required contribution for this plan year	2018-12-31	$0
Amount contributed by the employer to the plan for this plan year	2018-12-31	$0
2017 : PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$282,525
Expenses. Total of all expenses incurred	2017-12-31	$256,071
Benefits paid (including direct rollovers)	2017-12-31	$255,450
Total plan assets at end of year	2017-12-31	$436,995
Total plan assets at beginning of year	2017-12-31	$410,541
Value of fidelity bond covering the plan	2017-12-31	$41,054
Total contributions received or receivable from participants	2017-12-31	$176,448
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$74,249
Net income (gross income less expenses)	2017-12-31	$26,454
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$436,995
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$410,541
Total contributions received or receivable from employer(s)	2017-12-31	$31,828
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$621
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2017-12-31	$0
Minimum employer required contribution for this plan year	2017-12-31	$0
Amount contributed by the employer to the plan for this plan year	2017-12-31	$0
2016 : PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$261,900
Expenses. Total of all expenses incurred	2016-12-31	$50
Benefits paid (including direct rollovers)	2016-12-31	$0
Total plan assets at end of year	2016-12-31	$410,541
Total plan assets at beginning of year	2016-12-31	$148,691
Value of fidelity bond covering the plan	2016-12-31	$30,000
Total contributions received or receivable from participants	2016-12-31	$226,358
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$29,084
Net income (gross income less expenses)	2016-12-31	$261,850
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$410,541
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$148,691
Total contributions received or receivable from employer(s)	2016-12-31	$6,458
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$50
2015 : PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$148,691
Expenses. Total of all expenses incurred	2015-12-31	$0
Benefits paid (including direct rollovers)	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$148,691
Total plan assets at beginning of year	2015-12-31	$0
Value of fidelity bond covering the plan	2015-12-31	$30,000
Total contributions received or receivable from participants	2015-12-31	$132,884
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$13,888
Other income received	2015-12-31	$-1,381
Net income (gross income less expenses)	2015-12-31	$148,691
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$148,691
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$0
Total contributions received or receivable from employer(s)	2015-12-31	$3,300
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$0

Form 5500 Responses for PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST

2021: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: PETERS CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN & TRUST 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	First time form 5500 has been submitted	Yes
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ONE RIVER ASSET MANAGEMENT LLC
Employer identification number (EIN):	462311563
NAIC Classification:	561110
NAIC Description:	Office Administrative Services

Plan id#	Filing Submission Date	Name of Administrator
001	2021-01-01
001	2021-01-01	ARTHUR GLEESON
001	2020-01-01
001	2019-01-01
001	2018-01-01	WILL WALLIN
001	2017-01-01	STEVE LISENBY
001	2016-01-01	ERIC PETERS
001	2015-01-01	STEVE LISENBY