401k Plan data: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN plan

AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 401k Plan overview

Plan Name	AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN
Plan identification number	002

AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

AMERICAN CAPITAL, LTD. has sponsored the creation of one or more 401k plans.

Company Name: AMERICAN CAPITAL, LTD.

Employer identification number (EIN): 521451377

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 MELISSA REPERT
002 2016-01-01 MELISSA REPERT
002 2015-01-01 ROB SWATLAND
002 2014-01-01 ROB SWATLAND
002 2013-01-01 DANA SMITH
002 2012-01-01 DOUG LWIN
002 2011-01-01 DOUG LWIN
002 2009-01-01 DOUG LWIN
002 2009-01-01 DOUG LWIN

Plan id#	Filing Submission Date	Name of Administrator
002	2017-01-01	MELISSA REPERT
002	2016-01-01	MELISSA REPERT
002	2015-01-01	ROB SWATLAND
002	2014-01-01	ROB SWATLAND
002	2013-01-01	DANA SMITH
002	2012-01-01	DOUG LWIN
002	2011-01-01	DOUG LWIN
002	2009-01-01	DOUG LWIN
002	2009-01-01	DOUG LWIN

Plan Statistics for AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN

401k plan membership statisitcs for AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN

Measure Date Value
2017: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 966
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
2016: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1,110
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 779
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 187
Total of all active and inactive participants 2016-01-01 966
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 966
Number of participants with account balances 2016-01-01 376
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 490
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 927
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 183
Total of all active and inactive participants 2015-01-01 1,110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 1,110
Number of participants with account balances 2015-01-01 496
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 475
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 346
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 144
Total of all active and inactive participants 2014-01-01 490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 490
Number of participants with account balances 2014-01-01 482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 457
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 336
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 139
Total of all active and inactive participants 2013-01-01 475
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 475
Number of participants with account balances 2013-01-01 466
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 519
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 291
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 165
Total of all active and inactive participants 2012-01-01 456
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 457
Number of participants with account balances 2012-01-01 451
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 620
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 271
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 248
Total of all active and inactive participants 2011-01-01 519
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 519
Number of participants with account balances 2011-01-01 516
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 627
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 313
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 232
Total of all active and inactive participants 2009-01-01 545
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 545
Number of participants with account balances 2009-01-01 503
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 150

Measure	Date	Value
2017: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	966
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
2016: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1,110
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	779
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	187
Total of all active and inactive participants	2016-01-01	966
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	966
Number of participants with account balances	2016-01-01	376
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	490
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	927
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	183
Total of all active and inactive participants	2015-01-01	1,110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	1,110
Number of participants with account balances	2015-01-01	496
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	475
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	346
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	144
Total of all active and inactive participants	2014-01-01	490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	490
Number of participants with account balances	2014-01-01	482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	457
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	336
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	139
Total of all active and inactive participants	2013-01-01	475
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	475
Number of participants with account balances	2013-01-01	466
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	519
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	291
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	165
Total of all active and inactive participants	2012-01-01	456
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	457
Number of participants with account balances	2012-01-01	451
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	620
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	271
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	248
Total of all active and inactive participants	2011-01-01	519
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	519
Number of participants with account balances	2011-01-01	516
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	627
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	313
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	232
Total of all active and inactive participants	2009-01-01	545
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	545
Number of participants with account balances	2009-01-01	503
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	150

Financial Data on AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN

Measure	Date	Value
2017 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-06-26	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-06-26	$0
Total unrealized appreciation/depreciation of assets	2017-06-26	$0
Total transfer of assets to this plan	2017-06-26	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-26	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-26	$0
Expenses. Interest paid	2017-06-26	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-06-26	$0
Total income from all sources (including contributions)	2017-06-26	$2,138,675
Total loss/gain on sale of assets	2017-06-26	$139,750
Total of all expenses incurred	2017-06-26	$59,048,909
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-06-26	$59,048,403
Expenses. Certain deemed distributions of participant loans	2017-06-26	$0
Value of total corrective distributions	2017-06-26	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-06-26	$208,593
Value of total assets at end of year	2017-06-26	$0
Value of total assets at beginning of year	2017-06-26	$56,910,234
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-06-26	$506
Total income from rents	2017-06-26	$0
Total interest from all sources	2017-06-26	$1,121
Total dividends received (eg from common stock, registered investment company shares)	2017-06-26	$46,482
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-06-26	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-06-26	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-06-26	$35,991
Assets. Real estate other than employer real property at end of year	2017-06-26	$0
Assets. Real estate other than employer real property at beginning of year	2017-06-26	$0
Administrative expenses professional fees incurred	2017-06-26	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2017-06-26	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2017-06-26	$228,087
Was this plan covered by a fidelity bond	2017-06-26	Yes
Value of fidelity bond cover	2017-06-26	$3,000,000
If this is an individual account plan, was there a blackout period	2017-06-26	No
Were there any nonexempt tranactions with any party-in-interest	2017-06-26	No
Contributions received from participants	2017-06-26	$105,434
Participant contributions at end of year	2017-06-26	$0
Participant contributions at beginning of year	2017-06-26	$241,597
Participant contributions at end of year	2017-06-26	$0
Participant contributions at beginning of year	2017-06-26	$0
Assets. Other investments not covered elsewhere at end of year	2017-06-26	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-06-26	$29,325
Income. Received or receivable in cash from other sources (including rollovers)	2017-06-26	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-06-26	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-06-26	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-06-26	$13,299
Assets. Loans (other than to participants) at end of year	2017-06-26	$0
Assets. Loans (other than to participants) at beginning of year	2017-06-26	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-06-26	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-06-26	$0
Other income not declared elsewhere	2017-06-26	$0
Administrative expenses (other) incurred	2017-06-26	$506
Liabilities. Value of operating payables at end of year	2017-06-26	$0
Liabilities. Value of operating payables at beginning of year	2017-06-26	$0
Total non interest bearing cash at end of year	2017-06-26	$0
Total non interest bearing cash at beginning of year	2017-06-26	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-26	No
Income. Non cash contributions	2017-06-26	$0
Value of net income/loss	2017-06-26	$-56,910,234
Value of net assets at end of year (total assets less liabilities)	2017-06-26	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-06-26	$56,910,234
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-06-26	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-06-26	No
Were any leases to which the plan was party in default or uncollectible	2017-06-26	No
Assets. partnership/joint venture interests at end of year	2017-06-26	$0
Assets. partnership/joint venture interests at beginning of year	2017-06-26	$0
Investment advisory and management fees	2017-06-26	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-06-26	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-06-26	$43,662,352
Value of interest in pooled separate accounts at end of year	2017-06-26	$0
Value of interest in pooled separate accounts at beginning of year	2017-06-26	$0
Interest on participant loans	2017-06-26	$808
Income. Interest from loans (other than to participants)	2017-06-26	$0
Interest earned on other investments	2017-06-26	$0
Income. Interest from US Government securities	2017-06-26	$0
Income. Interest from corporate debt instruments	2017-06-26	$202
Value of interest in master investment trust accounts at end of year	2017-06-26	$0
Value of interest in master investment trust accounts at beginning of year	2017-06-26	$0
Value of interest in common/collective trusts at end of year	2017-06-26	$0
Value of interest in common/collective trusts at beginning of year	2017-06-26	$2,940,013
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-06-26	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-06-26	$398,832
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-06-26	$398,832
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-06-26	$111
Assets. Value of investments in 103.12 investment entities at end of year	2017-06-26	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2017-06-26	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2017-06-26	$0
Asset value of US Government securities at end of year	2017-06-26	$0
Asset value of US Government securities at beginning of year	2017-06-26	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-06-26	$1,750,275
Net investment gain/loss from pooled separate accounts	2017-06-26	$0
Net investment gain or loss from common/collective trusts	2017-06-26	$-7,546
Net gain/loss from 103.12 investment entities	2017-06-26	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-06-26	No
Was there a failure to transmit to the plan any participant contributions	2017-06-26	No
Has the plan failed to provide any benefit when due under the plan	2017-06-26	No
Assets. Invements in employer securities at end of year	2017-06-26	$0
Assets. Invements in employer securities at beginning of year	2017-06-26	$7,725,976
Assets. Value of employer real property at end of year	2017-06-26	$0
Assets. Value of employer real property at beginning of year	2017-06-26	$0
Contributions received in cash from employer	2017-06-26	$103,159
Employer contributions (assets) at end of year	2017-06-26	$0
Employer contributions (assets) at beginning of year	2017-06-26	$0
Income. Dividends from preferred stock	2017-06-26	$3,119
Income. Dividends from common stock	2017-06-26	$7,372
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-06-26	$59,048,403
Asset. Corporate debt instrument preferred debt at end of year	2017-06-26	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2017-06-26	$0
Asset. Corporate debt instrument debt (other) at end of year	2017-06-26	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2017-06-26	$114,268
Contract administrator fees	2017-06-26	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-06-26	No
Assets. Corporate common stocks other than exployer securities at end of year	2017-06-26	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-06-26	$1,556,485
Liabilities. Value of benefit claims payable at end of year	2017-06-26	$0
Liabilities. Value of benefit claims payable at beginning of year	2017-06-26	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2017-06-26	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2017-06-26	$0
Did the plan have assets held for investment	2017-06-26	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-26	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-06-26	Yes
Aggregate proceeds on sale of assets	2017-06-26	$13,250,152
Aggregate carrying amount (costs) on sale of assets	2017-06-26	$13,110,402
Liabilities. Value of acquisition indebtedness at end of year	2017-06-26	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-06-26	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-06-26	No
Opinion of an independent qualified public accountant for this plan	2017-06-26	Unqualified
Accountancy firm name	2017-06-26	NOVAK FRANCELLA LLC
Accountancy firm EIN	2017-06-26	611436956
2016 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$1,924,535
Total unrealized appreciation/depreciation of assets	2016-12-31	$1,924,535
Total transfer of assets to this plan	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$7,780,043
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
Expenses. Interest paid	2016-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$12,186,344
Total loss/gain on sale of assets	2016-12-31	$157,033
Total of all expenses incurred	2016-12-31	$6,485,540
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$6,458,308
Expenses. Certain deemed distributions of participant loans	2016-12-31	$0
Value of total corrective distributions	2016-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$5,366,877
Value of total assets at end of year	2016-12-31	$56,910,234
Value of total assets at beginning of year	2016-12-31	$58,989,473
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$27,232
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$21,207
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,564,302
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,475,613
Assets. Real estate other than employer real property at end of year	2016-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2016-12-31	$0
Administrative expenses professional fees incurred	2016-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2016-12-31	$228,087
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2016-12-31	$133,224
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$3,646,382
Participant contributions at end of year	2016-12-31	$241,597
Participant contributions at beginning of year	2016-12-31	$626,901
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$45,773
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$29,325
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$29,700
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$262,964
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$13,299
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Assets. Loans (other than to participants) at end of year	2016-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$27,232
Liabilities. Value of operating payables at end of year	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
Total non interest bearing cash at end of year	2016-12-31	$0
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Income. Non cash contributions	2016-12-31	$0
Value of net income/loss	2016-12-31	$5,700,804
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$56,910,234
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$58,989,473
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Assets. partnership/joint venture interests at end of year	2016-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$43,662,352
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$46,221,692
Value of interest in pooled separate accounts at end of year	2016-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$0
Interest on participant loans	2016-12-31	$15,084
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$0
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$5,882
Value of interest in master investment trust accounts at end of year	2016-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$0
Value of interest in common/collective trusts at end of year	2016-12-31	$2,940,013
Value of interest in common/collective trusts at beginning of year	2016-12-31	$2,653,066
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$398,832
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$343,832
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$343,832
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$241
Assets. Value of investments in 103.12 investment entities at end of year	2016-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2016-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Asset value of US Government securities at end of year	2016-12-31	$0
Asset value of US Government securities at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$3,130,718
Net investment gain/loss from pooled separate accounts	2016-12-31	$0
Net investment gain or loss from common/collective trusts	2016-12-31	$21,672
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$7,725,976
Assets. Invements in employer securities at beginning of year	2016-12-31	$7,266,334
Assets. Value of employer real property at end of year	2016-12-31	$0
Assets. Value of employer real property at beginning of year	2016-12-31	$0
Contributions received in cash from employer	2016-12-31	$1,457,531
Employer contributions (assets) at end of year	2016-12-31	$0
Employer contributions (assets) at beginning of year	2016-12-31	$87,098
Income. Dividends from preferred stock	2016-12-31	$18,297
Income. Dividends from common stock	2016-12-31	$70,392
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$6,458,308
Asset. Corporate debt instrument preferred debt at end of year	2016-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2016-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2016-12-31	$114,268
Asset. Corporate debt instrument debt (other) at beginning of year	2016-12-31	$116,167
Contract administrator fees	2016-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2016-12-31	$1,556,485
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$1,465,686
Liabilities. Value of benefit claims payable at end of year	2016-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$3,349,892
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$3,192,859
Liabilities. Value of acquisition indebtedness at end of year	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	NOVAK FRANCELLA LLC
Accountancy firm EIN	2016-12-31	611436956
2015 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-464,977
Total unrealized appreciation/depreciation of assets	2015-12-31	$-464,977
Total transfer of assets to this plan	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Expenses. Interest paid	2015-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$5,342,656
Total loss/gain on sale of assets	2015-12-31	$-57,374
Total of all expenses incurred	2015-12-31	$8,061,190
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$8,055,481
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$6,851,336
Value of total assets at end of year	2015-12-31	$58,989,473
Value of total assets at beginning of year	2015-12-31	$61,708,007
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$5,709
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$28,441
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$2,002,681
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,938,902
Assets. Real estate other than employer real property at end of year	2015-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2015-12-31	$0
Administrative expenses professional fees incurred	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$133,224
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$102,789
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$4,265,767
Participant contributions at end of year	2015-12-31	$626,901
Participant contributions at beginning of year	2015-12-31	$787,946
Participant contributions at end of year	2015-12-31	$45,773
Participant contributions at beginning of year	2015-12-31	$49,926
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$29,700
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$30,775
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$773,019
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Assets. Loans (other than to participants) at end of year	2015-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$5,709
Liabilities. Value of operating payables at end of year	2015-12-31	$0
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Income. Non cash contributions	2015-12-31	$132,871
Value of net income/loss	2015-12-31	$-2,718,534
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$58,989,473
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$61,708,007
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Assets. partnership/joint venture interests at end of year	2015-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$46,221,692
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$46,352,859
Value of interest in pooled separate accounts at end of year	2015-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$22,337
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$0
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$6,054
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$2,653,066
Value of interest in common/collective trusts at beginning of year	2015-12-31	$2,587,313
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$343,832
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$271,894
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$271,894
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$50
Assets. Value of investments in 103.12 investment entities at end of year	2015-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Asset value of US Government securities at end of year	2015-12-31	$0
Asset value of US Government securities at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-3,029,673
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Net investment gain or loss from common/collective trusts	2015-12-31	$12,222
Net gain/loss from 103.12 investment entities	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$7,266,334
Assets. Invements in employer securities at beginning of year	2015-12-31	$9,288,532
Assets. Value of employer real property at end of year	2015-12-31	$0
Assets. Value of employer real property at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$1,679,679
Employer contributions (assets) at end of year	2015-12-31	$87,098
Employer contributions (assets) at beginning of year	2015-12-31	$98,918
Income. Dividends from preferred stock	2015-12-31	$10,104
Income. Dividends from common stock	2015-12-31	$53,675
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$8,055,481
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$116,167
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$86,596
Contract administrator fees	2015-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$1,465,686
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$2,050,459
Liabilities. Value of benefit claims payable at end of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$3,408,945
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$3,466,319
Liabilities. Value of acquisition indebtedness at end of year	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	NOVAK FRANCELLA LLC
Accountancy firm EIN	2015-12-31	611436956
2014 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$-629,376
Total unrealized appreciation/depreciation of assets	2014-12-31	$-629,376
Total transfer of assets to this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$9,334,893
Total loss/gain on sale of assets	2014-12-31	$-31,747
Total of all expenses incurred	2014-12-31	$3,160,010
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$3,147,473
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$7,198,772
Value of total assets at end of year	2014-12-31	$61,708,007
Value of total assets at beginning of year	2014-12-31	$55,533,124
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$12,537
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$19,831
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$3,085,314
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$3,008,845
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$102,789
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$42,801
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$4,331,219
Participant contributions at end of year	2014-12-31	$787,946
Participant contributions at beginning of year	2014-12-31	$451,425
Participant contributions at end of year	2014-12-31	$49,926
Participant contributions at beginning of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$30,775
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$25,313
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$949,698
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$12,537
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$232
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$148,844
Value of net income/loss	2014-12-31	$6,174,883
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$61,708,007
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$55,533,124
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$46,352,859
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$39,297,415
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$14,755
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$5,042
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$2,587,313
Value of interest in common/collective trusts at beginning of year	2014-12-31	$2,322,061
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$271,894
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$410,573
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$410,573
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$34
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-337,036
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$29,135
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$9,288,532
Assets. Invements in employer securities at beginning of year	2014-12-31	$10,870,516
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$1,769,011
Employer contributions (assets) at end of year	2014-12-31	$98,918
Employer contributions (assets) at beginning of year	2014-12-31	$272,191
Income. Dividends from preferred stock	2014-12-31	$5,681
Income. Dividends from common stock	2014-12-31	$70,788
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$3,147,473
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$86,596
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$70,015
Contract administrator fees	2014-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$2,050,459
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$1,770,582
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$1,367,450
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$1,399,197
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	NOVAK FRANCELLA LLC
Accountancy firm EIN	2014-12-31	611436956
2013 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$2,801,947
Total unrealized appreciation/depreciation of assets	2013-12-31	$2,801,947
Total transfer of assets to this plan	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$15,005,168
Total loss/gain on sale of assets	2013-12-31	$215,343
Total of all expenses incurred	2013-12-31	$3,240,731
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$3,226,519
Expenses. Certain deemed distributions of participant loans	2013-12-31	$2,283
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$6,150,840
Value of total assets at end of year	2013-12-31	$55,533,124
Value of total assets at beginning of year	2013-12-31	$43,768,687
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$11,929
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$17,809
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$2,306,570
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$2,255,560
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$42,801
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$28,062
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$3,732,768
Participant contributions at end of year	2013-12-31	$451,425
Participant contributions at beginning of year	2013-12-31	$421,434
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$25,313
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$15,180
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$832,406
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$11,929
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$232
Total non interest bearing cash at beginning of year	2013-12-31	$876
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$11,764,437
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$55,533,124
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$43,768,687
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$39,297,415
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$29,635,321
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$14,536
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$3,229
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$2,322,061
Value of interest in common/collective trusts at beginning of year	2013-12-31	$1,931,391
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$410,573
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$757,976
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$757,976
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$44
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$3,512,408
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$251
Net gain/loss from 103.12 investment entities	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$10,870,516
Assets. Invements in employer securities at beginning of year	2013-12-31	$9,669,131
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$1,585,666
Employer contributions (assets) at end of year	2013-12-31	$272,191
Employer contributions (assets) at beginning of year	2013-12-31	$267,510
Income. Dividends from preferred stock	2013-12-31	$2,913
Income. Dividends from common stock	2013-12-31	$48,097
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$3,226,519
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$70,015
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$56,351
Contract administrator fees	2013-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$1,770,582
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$985,455
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$1,735,307
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$1,519,964
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	NOVAK FRANCELLA LLC
Accountancy firm EIN	2013-12-31	611436956
2012 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$4,296,830
Total unrealized appreciation/depreciation of assets	2012-12-31	$4,296,830
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$13,600,662
Total loss/gain on sale of assets	2012-12-31	$754,274
Total of all expenses incurred	2012-12-31	$5,917,929
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$5,898,744
Value of total corrective distributions	2012-12-31	$12,145
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$5,128,453
Value of total assets at end of year	2012-12-31	$43,768,687
Value of total assets at beginning of year	2012-12-31	$36,085,954
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$7,040
Total interest from all sources	2012-12-31	$19,724
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$1,015,258
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$988,303
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-12-31	$28,062
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-12-31	$19,144
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$3,384,790
Participant contributions at end of year	2012-12-31	$421,434
Participant contributions at beginning of year	2012-12-31	$395,323
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$36,998
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$15,180
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$1,378
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$275,681
Administrative expenses (other) incurred	2012-12-31	$7,040
Total non interest bearing cash at end of year	2012-12-31	$876
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$7,682,733
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$43,768,687
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$36,085,954
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$29,635,321
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$25,430,005
Interest on participant loans	2012-12-31	$15,105
Income. Interest from corporate debt instruments	2012-12-31	$4,590
Value of interest in common/collective trusts at end of year	2012-12-31	$1,931,391
Value of interest in common/collective trusts at beginning of year	2012-12-31	$2,061,132
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$757,976
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$43,959
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$43,959
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$29
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,362,608
Net investment gain or loss from common/collective trusts	2012-12-31	$23,515
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$9,669,131
Assets. Invements in employer securities at beginning of year	2012-12-31	$6,957,357
Contributions received in cash from employer	2012-12-31	$1,467,982
Employer contributions (assets) at end of year	2012-12-31	$267,510
Employer contributions (assets) at beginning of year	2012-12-31	$260,388
Income. Dividends from preferred stock	2012-12-31	$1,852
Income. Dividends from common stock	2012-12-31	$25,103
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$5,898,744
Asset. Corporate debt instrument debt (other) at end of year	2012-12-31	$56,351
Asset. Corporate debt instrument debt (other) at beginning of year	2012-12-31	$69,718
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$985,455
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$810,552
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$2,831,380
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$2,077,106
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	NOVAK FRANCELLA LLC
Accountancy firm EIN	2012-12-31	611436956
2011 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-886,824
Total unrealized appreciation/depreciation of assets	2011-12-31	$-886,824
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$3,273,189
Total loss/gain on sale of assets	2011-12-31	$297,460
Total of all expenses incurred	2011-12-31	$3,830,374
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$3,818,256
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$4,541,172
Value of total assets at end of year	2011-12-31	$36,085,954
Value of total assets at beginning of year	2011-12-31	$36,643,139
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$12,118
Total interest from all sources	2011-12-31	$10,487
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$856,557
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$843,880
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$19,144
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$3,112,395
Participant contributions at end of year	2011-12-31	$395,323
Participant contributions at beginning of year	2011-12-31	$0
Participant contributions at end of year	2011-12-31	$36,998
Participant contributions at beginning of year	2011-12-31	$34,565
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$1,378
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$77,761
Administrative expenses (other) incurred	2011-12-31	$12,118
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-557,185
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$36,085,954
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$36,643,139
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$25,430,005
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$23,761,678
Interest on participant loans	2011-12-31	$6,848
Income. Interest from corporate debt instruments	2011-12-31	$3,629
Value of interest in common/collective trusts at end of year	2011-12-31	$2,061,132
Value of interest in common/collective trusts at beginning of year	2011-12-31	$2,122,356
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$43,959
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$75,156
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$75,156
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$10
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,596,904
Net investment gain or loss from common/collective trusts	2011-12-31	$51,241
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$6,957,357
Assets. Invements in employer securities at beginning of year	2011-12-31	$10,140,162
Contributions received in cash from employer	2011-12-31	$1,351,016
Employer contributions (assets) at end of year	2011-12-31	$260,388
Employer contributions (assets) at beginning of year	2011-12-31	$238,474
Income. Dividends from preferred stock	2011-12-31	$74
Income. Dividends from common stock	2011-12-31	$12,603
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$3,818,256
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$69,718
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$24,024
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$810,552
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$246,724
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$2,879,971
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$2,582,511
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	KAISER SCHERER AND SCHLEGAL PLLC
Accountancy firm EIN	2011-12-31	521220482
2010 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$-478,694
Total unrealized appreciation/depreciation of assets	2010-12-31	$-478,694
Total transfer of assets to this plan	2010-12-31	$10,787,326
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$7,643,632
Total of all expenses incurred	2010-12-31	$2,630,092
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,623,046
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$4,525,045
Value of total assets at end of year	2010-12-31	$36,643,139
Value of total assets at beginning of year	2010-12-31	$20,842,273
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$7,046
Total interest from all sources	2010-12-31	$49,020
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$413,049
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$407,831
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$3,123,486
Participant contributions at end of year	2010-12-31	$34,565
Participant contributions at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$96,310
Other income not declared elsewhere	2010-12-31	$75,241
Administrative expenses (other) incurred	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$5,013,540
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$36,643,139
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$20,842,273
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$23,761,678
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$18,617,508
Value of interest in common/collective trusts at end of year	2010-12-31	$2,122,356
Value of interest in common/collective trusts at beginning of year	2010-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$75,156
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$65,112
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$65,112
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$49,020
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,944,550
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,020,283
Net investment gain or loss from common/collective trusts	2010-12-31	$39,688
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$10,140,162
Assets. Invements in employer securities at beginning of year	2010-12-31	$52,165
Contributions received in cash from employer	2010-12-31	$1,305,249
Employer contributions (assets) at end of year	2010-12-31	$238,474
Employer contributions (assets) at beginning of year	2010-12-31	$0
Income. Dividends from common stock	2010-12-31	$5,218
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,623,046
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$24,024
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$20,634
Contract administrator fees	2010-12-31	$7,046
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$246,724
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$142,304
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	KAISER SCHERER AND SCHLEGAL PLLC
Accountancy firm EIN	2010-12-31	521220482
2009 : AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN

2017: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: AMERICAN CAPITAL STRATEGIES, LTD. 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	AMERICAN CAPITAL, LTD.
Employer identification number (EIN):	521451377
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing