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ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN
Plan identification number 001

ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • 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.
  • 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.
  • Plan covering Self-Employed individuals.
  • 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

ZUCKERMAN SPAEDER LLP has sponsored the creation of one or more 401k plans.

Company Name:ZUCKERMAN SPAEDER LLP
Employer identification number (EIN):521112263
NAIC Classification:541110
NAIC Description:Offices of Lawyers

Additional information about ZUCKERMAN SPAEDER LLP

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 3345319

More information about ZUCKERMAN SPAEDER LLP

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01SHARON BOVELLE
0012016-01-01SHARON BOVELLE
0012015-01-01
0012014-01-01ROBERT BELL
0012013-01-01ROBERT BELL
0012012-01-01JEFFREY MORSON
0012011-01-01JEFFREY MORSON
0012010-01-01JEFFREY MORSON
0012009-01-01JEFFREY MORSON
0012009-01-01JEFFREY MORSON

Plan Statistics for ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN

Measure Date Value
2022: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01193
Total number of active participants reported on line 7a of the Form 55002022-01-01124
Number of retired or separated participants receiving benefits2022-01-015
Number of other retired or separated participants entitled to future benefits2022-01-0161
Total of all active and inactive participants2022-01-01190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-011
Total participants2022-01-01191
Number of participants with account balances2022-01-01191
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-011
2021: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01185
Total number of active participants reported on line 7a of the Form 55002021-01-01129
Number of retired or separated participants receiving benefits2021-01-015
Number of other retired or separated participants entitled to future benefits2021-01-0153
Total of all active and inactive participants2021-01-01187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-011
Total participants2021-01-01188
Number of participants with account balances2021-01-01188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01189
Total number of active participants reported on line 7a of the Form 55002020-01-01133
Number of retired or separated participants receiving benefits2020-01-0148
Number of other retired or separated participants entitled to future benefits2020-01-011
Total of all active and inactive participants2020-01-01182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-01183
Number of participants with account balances2020-01-01182
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-011
2019: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01203
Total number of active participants reported on line 7a of the Form 55002019-01-01137
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-0147
Total of all active and inactive participants2019-01-01185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01186
Number of participants with account balances2019-01-01186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-012
2018: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01209
Total number of active participants reported on line 7a of the Form 55002018-01-01134
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-0163
Total of all active and inactive participants2018-01-01198
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01199
Number of participants with account balances2018-01-01198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01212
Total number of active participants reported on line 7a of the Form 55002017-01-01138
Number of retired or separated participants receiving benefits2017-01-011
Number of other retired or separated participants entitled to future benefits2017-01-0169
Total of all active and inactive participants2017-01-01208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-011
Total participants2017-01-01209
Number of participants with account balances2017-01-01209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-01206
2016: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01226
Total number of active participants reported on line 7a of the Form 55002016-01-01132
Number of retired or separated participants receiving benefits2016-01-013
Number of other retired or separated participants entitled to future benefits2016-01-0175
Total of all active and inactive participants2016-01-01210
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01211
Number of participants with account balances2016-01-01210
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-015
2015: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01229
Total number of active participants reported on line 7a of the Form 55002015-01-01142
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-0179
Total of all active and inactive participants2015-01-01222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01223
Number of participants with account balances2015-01-01218
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01234
Total number of active participants reported on line 7a of the Form 55002014-01-01153
Number of retired or separated participants receiving benefits2014-01-012
Number of other retired or separated participants entitled to future benefits2014-01-0173
Total of all active and inactive participants2014-01-01228
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01229
Number of participants with account balances2014-01-01228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-013
2013: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01246
Total number of active participants reported on line 7a of the Form 55002013-01-01155
Number of retired or separated participants receiving benefits2013-01-012
Number of other retired or separated participants entitled to future benefits2013-01-0168
Total of all active and inactive participants2013-01-01225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01226
Number of participants with account balances2013-01-01225
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-013
2012: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01232
Total number of active participants reported on line 7a of the Form 55002012-01-01151
Number of retired or separated participants receiving benefits2012-01-018
Number of other retired or separated participants entitled to future benefits2012-01-0177
Total of all active and inactive participants2012-01-01236
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01237
Number of participants with account balances2012-01-010
2011: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01229
Total number of active participants reported on line 7a of the Form 55002011-01-01143
Number of retired or separated participants receiving benefits2011-01-016
Number of other retired or separated participants entitled to future benefits2011-01-0173
Total of all active and inactive participants2011-01-01222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01223
Number of participants with account balances2011-01-01223
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2010: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01238
Total number of active participants reported on line 7a of the Form 55002010-01-01147
Number of retired or separated participants receiving benefits2010-01-014
Number of other retired or separated participants entitled to future benefits2010-01-0174
Total of all active and inactive participants2010-01-01225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-011
Total participants2010-01-01226
Number of participants with account balances2010-01-01226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-012
2009: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01257
Total number of active participants reported on line 7a of the Form 55002009-01-01159
Number of retired or separated participants receiving benefits2009-01-012
Number of other retired or separated participants entitled to future benefits2009-01-0175
Total of all active and inactive participants2009-01-01236
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01237
Number of participants with account balances2009-01-01237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-019

Financial Data on ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN

Measure Date Value
2022 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$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$0
Total income from all sources (including contributions)2022-12-31$-13,254,171
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$2,631,764
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$2,525,894
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$4,417,538
Value of total assets at end of year2022-12-31$81,094,033
Value of total assets at beginning of year2022-12-31$96,979,968
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$105,870
Total interest from all sources2022-12-31$106
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$3,518,334
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$3,518,334
Administrative expenses professional fees incurred2022-12-31$0
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$2,079,204
Participant contributions at end of year2022-12-31$34,674
Participant contributions at beginning of year2022-12-31$0
Participant contributions at end of year2022-12-31$0
Participant contributions at beginning of year2022-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$168,125
Administrative expenses (other) incurred2022-12-31$1,470
Liabilities. Value of operating payables at end of year2022-12-31$0
Liabilities. Value of operating payables at beginning of year2022-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-15,885,935
Value of net assets at end of year (total assets less liabilities)2022-12-31$81,094,033
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$96,979,968
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$100,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$78,889,150
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$94,999,496
Interest on participant loans2022-12-31$106
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-21,190,149
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$2,170,209
Employer contributions (assets) at end of year2022-12-31$2,170,209
Employer contributions (assets) at beginning of year2022-12-31$1,980,472
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$2,525,894
Contract administrator fees2022-12-31$4,400
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BAKER TILLY, US LLP
Accountancy firm EIN2022-12-31390859910
2021 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$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$16,044,005
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$2,403,487
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$2,277,489
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$3,930,546
Value of total assets at end of year2021-12-31$96,979,968
Value of total assets at beginning of year2021-12-31$83,339,450
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$125,998
Total interest from all sources2021-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$5,691,657
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$5,691,657
Administrative expenses professional fees incurred2021-12-31$125,998
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,898,854
Participant contributions at end of year2021-12-31$0
Participant contributions at beginning of year2021-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$51,220
Liabilities. Value of operating payables at end of year2021-12-31$0
Liabilities. Value of operating payables at beginning of year2021-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$13,640,518
Value of net assets at end of year (total assets less liabilities)2021-12-31$96,979,968
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$83,339,450
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$94,999,496
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$81,344,276
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$6,421,802
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$1,980,472
Employer contributions (assets) at end of year2021-12-31$1,980,472
Employer contributions (assets) at beginning of year2021-12-31$1,995,174
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$2,277,489
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31BAKER TILLY, US LLP
Accountancy firm EIN2021-12-31390859910
2020 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$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$17,050,121
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$8,847,805
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$8,736,738
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$3,830,682
Value of total assets at end of year2020-12-31$83,339,450
Value of total assets at beginning of year2020-12-31$75,137,134
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$111,067
Total interest from all sources2020-12-31$7
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$2,745,407
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$2,745,407
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,835,405
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$43,350
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$103
Liabilities. Value of operating payables at end of year2020-12-31$0
Liabilities. Value of operating payables at beginning of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$8,202,316
Value of net assets at end of year (total assets less liabilities)2020-12-31$83,339,450
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$75,137,134
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$111,067
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$81,344,276
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$73,003,294
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$7
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$10,474,025
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,995,174
Employer contributions (assets) at end of year2020-12-31$1,995,174
Employer contributions (assets) at beginning of year2020-12-31$2,090,490
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$8,736,738
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31BAKER TILLY, US LLP
Accountancy firm EIN2020-12-31390859910
2019 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$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$100
Total income from all sources (including contributions)2019-12-31$18,935,641
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$8,604,456
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$8,498,794
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$4,347,075
Value of total assets at end of year2019-12-31$75,137,134
Value of total assets at beginning of year2019-12-31$64,806,049
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$105,662
Total interest from all sources2019-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$3,670,395
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$3,670,395
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,859,539
Participant contributions at end of year2019-12-31$43,350
Participant contributions at beginning of year2019-12-31$40,574
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$397,046
Other income not declared elsewhere2019-12-31$0
Liabilities. Value of operating payables at end of year2019-12-31$0
Liabilities. Value of operating payables at beginning of year2019-12-31$100
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$10,331,185
Value of net assets at end of year (total assets less liabilities)2019-12-31$75,137,134
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$64,805,949
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$105,662
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$73,003,294
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$62,817,810
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$10,918,171
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$2,090,490
Employer contributions (assets) at end of year2019-12-31$2,090,490
Employer contributions (assets) at beginning of year2019-12-31$1,947,665
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$8,498,794
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2019-12-31390859910
2018 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$100
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$100
Total income from all sources (including contributions)2018-12-31$909,279
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$5,214,156
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$5,111,117
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$3,764,375
Value of total assets at end of year2018-12-31$64,806,049
Value of total assets at beginning of year2018-12-31$69,110,926
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$103,039
Total interest from all sources2018-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$4,450,996
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$4,450,996
Assets. Corporate prefeered stocks other than exployer securities at end of year2018-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2018-12-31$0
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,781,772
Participant contributions at end of year2018-12-31$40,574
Participant contributions at beginning of year2018-12-31$0
Assets. Other investments not covered elsewhere at end of year2018-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$34,938
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$10,110
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$0
Administrative expenses (other) incurred2018-12-31$250
Liabilities. Value of operating payables at end of year2018-12-31$100
Liabilities. Value of operating payables at beginning of year2018-12-31$100
Total non interest bearing cash at end of year2018-12-31$0
Total non interest bearing cash at beginning of year2018-12-31$38
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-4,304,877
Value of net assets at end of year (total assets less liabilities)2018-12-31$64,805,949
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$69,110,826
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$102,789
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$62,817,810
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$67,237,431
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$294
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$294
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$0
Asset value of US Government securities at end of year2018-12-31$0
Asset value of US Government securities at beginning of year2018-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-7,306,092
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,947,665
Employer contributions (assets) at end of year2018-12-31$1,947,665
Employer contributions (assets) at beginning of year2018-12-31$1,863,053
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$5,111,117
Asset. Corporate debt instrument debt (other) at end of year2018-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2018-12-31$0
Assets. Corporate common stocks other than exployer securities at end of year2018-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2018-12-31$0
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2018-12-31390859910
2017 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$100
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$16,496,231
Total loss/gain on sale of assets2017-12-31$729,120
Total of all expenses incurred2017-12-31$10,516,994
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$10,443,245
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$3,824,288
Value of total assets at end of year2017-12-31$69,110,926
Value of total assets at beginning of year2017-12-31$63,131,589
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$73,749
Total interest from all sources2017-12-31$26,838
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$3,565,571
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$3,468,891
Assets. Corporate prefeered stocks other than exployer securities at end of year2017-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2017-12-31$164,749
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,645,558
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$264,752
Assets. Other investments not covered elsewhere at end of year2017-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$307,388
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$315,677
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2017-12-31$6,494
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$10,110
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$15,252
Other income not declared elsewhere2017-12-31$14,848
Administrative expenses (other) incurred2017-12-31$339
Liabilities. Value of operating payables at end of year2017-12-31$100
Liabilities. Value of operating payables at beginning of year2017-12-31$0
Total non interest bearing cash at end of year2017-12-31$38
Total non interest bearing cash at beginning of year2017-12-31$2,252
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$5,979,237
Value of net assets at end of year (total assets less liabilities)2017-12-31$69,110,826
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$63,131,589
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$71,698
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$67,237,431
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$55,986,182
Interest earned on other investments2017-12-31$13,887
Income. Interest from US Government securities2017-12-31$232
Income. Interest from corporate debt instruments2017-12-31$12,370
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$294
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$117,279
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$117,279
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$349
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$309,627
Asset value of US Government securities at end of year2017-12-31$0
Asset value of US Government securities at beginning of year2017-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$8,335,566
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,863,053
Employer contributions (assets) at end of year2017-12-31$1,863,053
Employer contributions (assets) at beginning of year2017-12-31$1,664,677
Income. Dividends from preferred stock2017-12-31$5,736
Income. Dividends from common stock2017-12-31$90,944
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$10,436,751
Asset. Corporate debt instrument debt (other) at end of year2017-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2017-12-31$296,455
Contract administrator fees2017-12-31$1,712
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$4,002,976
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$9,623,950
Aggregate carrying amount (costs) on sale of assets2017-12-31$8,894,830
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2017-12-31390859910
2016 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$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$7,395,128
Total loss/gain on sale of assets2016-12-31$-3,975
Total of all expenses incurred2016-12-31$4,570,892
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$4,539,092
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$3,291,189
Value of total assets at end of year2016-12-31$63,131,589
Value of total assets at beginning of year2016-12-31$60,307,353
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$31,800
Total interest from all sources2016-12-31$30,306
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,286,058
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$2,190,436
Administrative expenses professional fees incurred2016-12-31$2,745
Assets. Corporate prefeered stocks other than exployer securities at end of year2016-12-31$164,749
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2016-12-31$151,253
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,576,262
Participant contributions at end of year2016-12-31$264,752
Participant contributions at beginning of year2016-12-31$294,552
Assets. Other investments not covered elsewhere at end of year2016-12-31$307,388
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$237,652
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$50,250
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$15,252
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$11,401
Other income not declared elsewhere2016-12-31$492,977
Administrative expenses (other) incurred2016-12-31$925
Total non interest bearing cash at end of year2016-12-31$2,252
Total non interest bearing cash at beginning of year2016-12-31$38
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$2,824,236
Value of net assets at end of year (total assets less liabilities)2016-12-31$63,131,589
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$60,307,353
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$28,130
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$55,986,182
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$53,554,645
Interest earned on other investments2016-12-31$8,399
Income. Interest from US Government securities2016-12-31$340
Income. Interest from corporate debt instruments2016-12-31$21,384
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$117,279
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$110,031
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$110,031
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$183
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$309,627
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$1,094,211
Asset value of US Government securities at end of year2016-12-31$0
Asset value of US Government securities at beginning of year2016-12-31$51,481
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,298,573
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$1,664,677
Employer contributions (assets) at end of year2016-12-31$1,664,677
Employer contributions (assets) at beginning of year2016-12-31$1,714,061
Income. Dividends from preferred stock2016-12-31$12,837
Income. Dividends from common stock2016-12-31$82,785
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$4,539,092
Asset. Corporate debt instrument debt (other) at end of year2016-12-31$296,455
Asset. Corporate debt instrument debt (other) at beginning of year2016-12-31$346,422
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$4,002,976
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$2,741,606
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$2,339,578
Aggregate carrying amount (costs) on sale of assets2016-12-31$2,343,553
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2016-12-31390859910
2015 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$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$301
Total income from all sources (including contributions)2015-12-31$4,113,649
Total loss/gain on sale of assets2015-12-31$-156,962
Total of all expenses incurred2015-12-31$2,995,456
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,962,992
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,432,135
Value of total assets at end of year2015-12-31$60,307,353
Value of total assets at beginning of year2015-12-31$59,189,461
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$32,464
Total interest from all sources2015-12-31$41,862
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$3,149,784
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$3,062,819
Administrative expenses professional fees incurred2015-12-31$820
Assets. Corporate prefeered stocks other than exployer securities at end of year2015-12-31$151,253
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2015-12-31$177,214
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,681,278
Participant contributions at end of year2015-12-31$294,552
Participant contributions at beginning of year2015-12-31$297,901
Assets. Other investments not covered elsewhere at end of year2015-12-31$237,652
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$166,387
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$36,796
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$11,401
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$5,199
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$0
Other income not declared elsewhere2015-12-31$-3,202
Liabilities. Value of operating payables at end of year2015-12-31$0
Liabilities. Value of operating payables at beginning of year2015-12-31$0
Total non interest bearing cash at end of year2015-12-31$38
Total non interest bearing cash at beginning of year2015-12-31$4,395
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$1,118,193
Value of net assets at end of year (total assets less liabilities)2015-12-31$60,307,353
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$59,189,160
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$31,644
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$53,554,645
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$52,157,244
Interest earned on other investments2015-12-31$7,529
Income. Interest from US Government securities2015-12-31$11,123
Income. Interest from corporate debt instruments2015-12-31$23,202
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$110,031
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$103,428
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$103,428
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$8
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$1,094,211
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$1,139,448
Asset value of US Government securities at end of year2015-12-31$51,481
Asset value of US Government securities at beginning of year2015-12-31$101,568
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-2,349,968
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$1,714,061
Employer contributions (assets) at end of year2015-12-31$1,714,061
Employer contributions (assets) at beginning of year2015-12-31$1,743,672
Income. Dividends from preferred stock2015-12-31$11,633
Income. Dividends from common stock2015-12-31$75,332
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,962,992
Asset. Corporate debt instrument debt (other) at end of year2015-12-31$346,422
Asset. Corporate debt instrument debt (other) at beginning of year2015-12-31$354,969
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$2,741,606
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$2,938,036
Liabilities. Value of benefit claims payable at end of year2015-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$301
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$1,875,500
Aggregate carrying amount (costs) on sale of assets2015-12-31$2,032,462
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2015-12-31390859910
2014 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$301
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$2,500
Total income from all sources (including contributions)2014-12-31$7,713,595
Total loss/gain on sale of assets2014-12-31$27,489
Total of all expenses incurred2014-12-31$8,275,297
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$8,226,071
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,974,481
Value of total assets at end of year2014-12-31$59,189,461
Value of total assets at beginning of year2014-12-31$59,753,362
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$49,226
Total interest from all sources2014-12-31$46,507
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$3,162,376
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$3,032,549
Assets. Corporate prefeered stocks other than exployer securities at end of year2014-12-31$177,214
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2014-12-31$95,525
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,733,341
Participant contributions at end of year2014-12-31$297,901
Participant contributions at beginning of year2014-12-31$298,019
Assets. Other investments not covered elsewhere at end of year2014-12-31$166,387
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$218,626
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$497,468
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$5,199
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$7,258
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$2,500
Other income not declared elsewhere2014-12-31$354,432
Liabilities. Value of operating payables at end of year2014-12-31$0
Liabilities. Value of operating payables at beginning of year2014-12-31$0
Total non interest bearing cash at end of year2014-12-31$4,395
Total non interest bearing cash at beginning of year2014-12-31$6,968
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-561,702
Value of net assets at end of year (total assets less liabilities)2014-12-31$59,189,160
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$59,750,862
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$49,226
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$52,157,244
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$47,032,972
Interest earned on other investments2014-12-31$12,287
Income. Interest from US Government securities2014-12-31$3,039
Income. Interest from corporate debt instruments2014-12-31$31,009
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$103,428
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$1,044,179
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$1,044,179
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$172
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$1,139,448
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$1,782,941
Asset value of US Government securities at end of year2014-12-31$101,568
Asset value of US Government securities at beginning of year2014-12-31$191,639
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$148,310
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$1,743,672
Employer contributions (assets) at end of year2014-12-31$1,743,672
Employer contributions (assets) at beginning of year2014-12-31$1,688,030
Income. Dividends from preferred stock2014-12-31$9,831
Income. Dividends from common stock2014-12-31$119,996
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$8,226,071
Asset. Corporate debt instrument debt (other) at end of year2014-12-31$354,969
Asset. Corporate debt instrument debt (other) at beginning of year2014-12-31$507,534
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$2,938,036
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$6,879,671
Liabilities. Value of benefit claims payable at end of year2014-12-31$301
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$0
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$3,077,565
Aggregate carrying amount (costs) on sale of assets2014-12-31$3,050,076
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2014-12-31390859910
2013 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$2,500
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$2,500
Total income from all sources (including contributions)2013-12-31$14,578,252
Total loss/gain on sale of assets2013-12-31$179,257
Total of all expenses incurred2013-12-31$5,236,483
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$5,159,782
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,466,688
Value of total assets at end of year2013-12-31$59,753,362
Value of total assets at beginning of year2013-12-31$50,411,593
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$76,701
Total interest from all sources2013-12-31$72,191
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$2,020,037
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$1,884,423
Administrative expenses professional fees incurred2013-12-31$1,761
Assets. Corporate prefeered stocks other than exployer securities at end of year2013-12-31$95,525
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2013-12-31$27,560
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,775,298
Participant contributions at end of year2013-12-31$298,019
Participant contributions at beginning of year2013-12-31$294,740
Assets. Other investments not covered elsewhere at end of year2013-12-31$218,626
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$428,372
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$3,360
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$7,258
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$4,657
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$2,500
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$2,500
Other income not declared elsewhere2013-12-31$1,566,056
Liabilities. Value of operating payables at end of year2013-12-31$0
Liabilities. Value of operating payables at beginning of year2013-12-31$0
Total non interest bearing cash at end of year2013-12-31$6,968
Total non interest bearing cash at beginning of year2013-12-31$6,058
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$9,341,769
Value of net assets at end of year (total assets less liabilities)2013-12-31$59,750,862
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$50,409,093
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$74,940
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$47,032,972
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$39,324,199
Interest earned on other investments2013-12-31$38,378
Income. Interest from US Government securities2013-12-31$4,126
Income. Interest from corporate debt instruments2013-12-31$29,595
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$1,044,179
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$887,652
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$887,652
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$92
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$1,782,941
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$1,492,549
Asset value of US Government securities at end of year2013-12-31$191,639
Asset value of US Government securities at beginning of year2013-12-31$199,866
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$7,274,023
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$1,688,030
Employer contributions (assets) at end of year2013-12-31$1,688,030
Employer contributions (assets) at beginning of year2013-12-31$1,783,415
Income. Dividends from preferred stock2013-12-31$3,526
Income. Dividends from common stock2013-12-31$132,088
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$5,159,782
Asset. Corporate debt instrument debt (other) at end of year2013-12-31$507,534
Asset. Corporate debt instrument debt (other) at beginning of year2013-12-31$414,420
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$6,879,671
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$5,548,105
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$2,219,452
Aggregate carrying amount (costs) on sale of assets2013-12-31$2,040,195
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2013-12-31390859910
2012 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$2,500
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$2,546
Total income from all sources (including contributions)2012-12-31$9,707,218
Total loss/gain on sale of assets2012-12-31$-14,433
Total of all expenses incurred2012-12-31$3,807,523
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$3,742,231
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$3,470,897
Value of total assets at end of year2012-12-31$50,411,593
Value of total assets at beginning of year2012-12-31$44,511,944
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$65,292
Total interest from all sources2012-12-31$37,162
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$836,251
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$736,469
Administrative expenses professional fees incurred2012-12-31$1,129
Assets. Corporate prefeered stocks other than exployer securities at end of year2012-12-31$27,560
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2012-12-31$254,559
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,640,979
Participant contributions at end of year2012-12-31$294,740
Participant contributions at beginning of year2012-12-31$301,735
Assets. Other investments not covered elsewhere at end of year2012-12-31$428,372
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$575,877
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$41,797
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$4,657
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$5,555
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$2,500
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$2,500
Other income not declared elsewhere2012-12-31$895,239
Liabilities. Value of operating payables at end of year2012-12-31$0
Liabilities. Value of operating payables at beginning of year2012-12-31$46
Total non interest bearing cash at end of year2012-12-31$6,058
Total non interest bearing cash at beginning of year2012-12-31$5,840
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$5,899,695
Value of net assets at end of year (total assets less liabilities)2012-12-31$50,409,093
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$44,509,398
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$64,163
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$39,324,199
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$35,058,965
Interest earned on other investments2012-12-31$3,689
Income. Interest from US Government securities2012-12-31$6,387
Income. Interest from corporate debt instruments2012-12-31$26,945
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$887,652
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$1,721,364
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$1,721,364
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$141
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$1,492,549
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,328,716
Asset value of US Government securities at end of year2012-12-31$199,866
Asset value of US Government securities at beginning of year2012-12-31$255,118
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$4,482,102
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$1,788,121
Employer contributions (assets) at end of year2012-12-31$1,783,415
Employer contributions (assets) at beginning of year2012-12-31$1,680,822
Income. Dividends from preferred stock2012-12-31$10,093
Income. Dividends from common stock2012-12-31$89,689
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$3,742,231
Asset. Corporate debt instrument debt (other) at end of year2012-12-31$414,420
Asset. Corporate debt instrument debt (other) at beginning of year2012-12-31$367,494
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$5,548,105
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$2,955,899
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$678,798
Aggregate carrying amount (costs) on sale of assets2012-12-31$693,231
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2012-12-31390859910
2011 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$2,546
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$2,500
Total income from all sources (including contributions)2011-12-31$2,551,207
Total loss/gain on sale of assets2011-12-31$-39,873
Total of all expenses incurred2011-12-31$3,329,271
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$3,268,486
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$3,440,162
Value of total assets at end of year2011-12-31$44,471,885
Value of total assets at beginning of year2011-12-31$45,249,903
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$60,785
Total interest from all sources2011-12-31$29,501
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$744,217
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$666,730
Assets. Corporate prefeered stocks other than exployer securities at end of year2011-12-31$254,559
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$217,180
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,636,505
Participant contributions at end of year2011-12-31$301,735
Participant contributions at beginning of year2011-12-31$301,004
Assets. Other investments not covered elsewhere at end of year2011-12-31$575,877
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$109,809
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$162,894
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$5,555
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$1,040
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$2,500
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$2,500
Other income not declared elsewhere2011-12-31$-152,280
Liabilities. Value of operating payables at end of year2011-12-31$46
Total non interest bearing cash at end of year2011-12-31$5,840
Total non interest bearing cash at beginning of year2011-12-31$3,332
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-778,064
Value of net assets at end of year (total assets less liabilities)2011-12-31$44,469,339
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$45,247,403
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$60,785
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$35,058,965
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$36,088,001
Interest earned on other investments2011-12-31$38
Income. Interest from US Government securities2011-12-31$6,252
Income. Interest from corporate debt instruments2011-12-31$22,913
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$1,721,364
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$1,969,354
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$1,969,354
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$298
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,328,716
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$1,450,892
Asset value of US Government securities at end of year2011-12-31$255,118
Asset value of US Government securities at beginning of year2011-12-31$235,431
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,470,520
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$1,640,763
Employer contributions (assets) at end of year2011-12-31$1,640,763
Employer contributions (assets) at beginning of year2011-12-31$1,746,401
Income. Dividends from preferred stock2011-12-31$21,812
Income. Dividends from common stock2011-12-31$55,675
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$3,268,486
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$367,494
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$335,000
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$2,955,899
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$2,792,459
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$545,161
Aggregate carrying amount (costs) on sale of assets2011-12-31$585,034
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2011-12-31390859910
2010 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$2,500
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$2,500
Total income from all sources (including contributions)2010-12-31$8,075,620
Total loss/gain on sale of assets2010-12-31$57,597
Total of all expenses incurred2010-12-31$1,485,850
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,438,265
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$3,630,922
Value of total assets at end of year2010-12-31$45,249,903
Value of total assets at beginning of year2010-12-31$38,660,133
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$47,585
Total interest from all sources2010-12-31$55,103
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$742,356
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$697,153
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$217,180
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2010-12-31$95,735
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$2,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,621,579
Participant contributions at end of year2010-12-31$301,004
Participant contributions at beginning of year2010-12-31$282,066
Assets. Other investments not covered elsewhere at end of year2010-12-31$109,809
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$152,061
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$262,359
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$1,040
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$1,715
Assets. Loans (other than to participants) at end of year2010-12-31$0
Assets. Loans (other than to participants) at beginning of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$2,500
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$2,500
Other income not declared elsewhere2010-12-31$519,370
Total non interest bearing cash at end of year2010-12-31$3,332
Total non interest bearing cash at beginning of year2010-12-31$4,122
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$6,589,770
Value of net assets at end of year (total assets less liabilities)2010-12-31$45,247,403
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$38,657,633
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$47,585
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$36,088,001
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$32,398,489
Income. Interest from loans (other than to participants)2010-12-31$24,438
Interest earned on other investments2010-12-31$1,703
Income. Interest from US Government securities2010-12-31$1,283
Income. Interest from corporate debt instruments2010-12-31$27,322
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$1,969,354
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$1,404,543
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$1,404,543
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$357
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$1,450,892
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$195,451
Asset value of US Government securities at end of year2010-12-31$235,431
Asset value of US Government securities at beginning of year2010-12-31$72,161
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$3,070,272
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$1,746,984
Employer contributions (assets) at end of year2010-12-31$1,746,401
Employer contributions (assets) at beginning of year2010-12-31$1,676,377
Income. Dividends from preferred stock2010-12-31$1,582
Income. Dividends from common stock2010-12-31$43,621
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,438,265
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$335,000
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$98,860
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$2,792,459
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$2,278,553
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$1,618,767
Aggregate carrying amount (costs) on sale of assets2010-12-31$1,561,170
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2010-12-31390859910
2009 : ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN

2022: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: ZUCKERMAN SPAEDER LLP 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number016023966
Policy instance 1
Insurance contract or identification number016023966
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?1
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number016023966
Policy instance 1
Insurance contract or identification number016023966
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number016023966
Policy instance 1
Insurance contract or identification number016023966
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number016023966
Policy instance 1
Insurance contract or identification number016023966
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number016023966
Policy instance 1
Insurance contract or identification number016023966
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number016023966
Policy instance 1
Insurance contract or identification number016023966
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number016023966
Policy instance 1
Insurance contract or identification number016023966
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $310
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No

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