401k Plan data: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN plan

ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 401k Plan overview

Plan Name	ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN
Plan identification number	003

ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

ICAP SERVICES NORTH AMERICA LLC has sponsored the creation of one or more 401k plans.

Company Name: ICAP SERVICES NORTH AMERICA LLC

Employer identification number (EIN): 522067168

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about ICAP SERVICES NORTH AMERICA LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2828113

More information about ICAP SERVICES NORTH AMERICA LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 LYNN LAX
003 2015-01-01 LYNN LAX
003 2014-01-01 LYNN LAX
003 2013-01-01 LYNN LAX
003 2012-01-01 LYNN LAX LYNN LAX 2013-07-30
003 2011-01-01 LYNN LAX
003 2009-01-01 PHIL CURRY
003 2009-01-01 PHIL CURRY

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2016-01-01	LYNN LAX
003	2015-01-01	LYNN LAX
003	2014-01-01	LYNN LAX
003	2013-01-01	LYNN LAX
003	2012-01-01	LYNN LAX	LYNN LAX	2013-07-30
003	2011-01-01	LYNN LAX
003	2009-01-01	PHIL CURRY
003	2009-01-01	PHIL CURRY

Plan Statistics for ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN

401k plan membership statisitcs for ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN

Measure Date Value
2016: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1,646
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 1,200
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 470
Total of all active and inactive participants 2016-01-01 1,670
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 6
Total participants 2016-01-01 1,676
Number of participants with account balances 2016-01-01 1,465
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 1,699
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 1,197
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 444
Total of all active and inactive participants 2015-01-01 1,641
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 5
Total participants 2015-01-01 1,646
Number of participants with account balances 2015-01-01 1,394
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 19
2014: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 1,788
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1,213
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 479
Total of all active and inactive participants 2014-01-01 1,692
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 7
Total participants 2014-01-01 1,699
Number of participants with account balances 2014-01-01 1,402
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 11
2013: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,895
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1,349
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 431
Total of all active and inactive participants 2013-01-01 1,780
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 8
Total participants 2013-01-01 1,788
Number of participants with account balances 2013-01-01 1,458
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 15
2012: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,958
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,457
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 435
Total of all active and inactive participants 2012-01-01 1,892
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 3
Total participants 2012-01-01 1,895
Number of participants with account balances 2012-01-01 1,483
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 27
2011: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,892
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1,513
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 441
Total of all active and inactive participants 2011-01-01 1,954
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 4
Total participants 2011-01-01 1,958
Number of participants with account balances 2011-01-01 1,533
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 35
2009: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,956
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1,496
Number of retired or separated participants receiving benefits 2009-01-01 8
Number of other retired or separated participants entitled to future benefits 2009-01-01 450
Total of all active and inactive participants 2009-01-01 1,954
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 18
Total participants 2009-01-01 1,972
Number of participants with account balances 2009-01-01 1,572
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 56

Measure	Date	Value
2016: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1,646
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	1,200
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	470
Total of all active and inactive participants	2016-01-01	1,670
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	6
Total participants	2016-01-01	1,676
Number of participants with account balances	2016-01-01	1,465
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	1,699
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	1,197
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	444
Total of all active and inactive participants	2015-01-01	1,641
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	5
Total participants	2015-01-01	1,646
Number of participants with account balances	2015-01-01	1,394
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	19
2014: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	1,788
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1,213
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	479
Total of all active and inactive participants	2014-01-01	1,692
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	7
Total participants	2014-01-01	1,699
Number of participants with account balances	2014-01-01	1,402
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	11
2013: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,895
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1,349
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	431
Total of all active and inactive participants	2013-01-01	1,780
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	8
Total participants	2013-01-01	1,788
Number of participants with account balances	2013-01-01	1,458
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	15
2012: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,958
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,457
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	435
Total of all active and inactive participants	2012-01-01	1,892
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	3
Total participants	2012-01-01	1,895
Number of participants with account balances	2012-01-01	1,483
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	27
2011: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,892
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1,513
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	441
Total of all active and inactive participants	2011-01-01	1,954
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	4
Total participants	2011-01-01	1,958
Number of participants with account balances	2011-01-01	1,533
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	35
2009: ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,956
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1,496
Number of retired or separated participants receiving benefits	2009-01-01	8
Number of other retired or separated participants entitled to future benefits	2009-01-01	450
Total of all active and inactive participants	2009-01-01	1,954
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	18
Total participants	2009-01-01	1,972
Number of participants with account balances	2009-01-01	1,572
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	56

Financial Data on ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN

Measure	Date	Value
2016 : ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$23,222
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$19,175
Total income from all sources (including contributions)	2016-12-31	$37,913,914
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$14,983,155
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$14,888,508
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$17,885,935
Value of total assets at end of year	2016-12-31	$252,450,298
Value of total assets at beginning of year	2016-12-31	$229,515,492
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$94,647
Total interest from all sources	2016-12-31	$106,523
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$5,461,779
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$5,461,779
Administrative expenses professional fees incurred	2016-12-31	$4,047
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$13,089,203
Participant contributions at end of year	2016-12-31	$2,810,839
Participant contributions at beginning of year	2016-12-31	$2,482,673
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$7,929,826
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$5,559,034
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$638,245
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$32,541
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$21,734
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$23,222
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$19,175
Other income not declared elsewhere	2016-12-31	$467,851
Administrative expenses (other) incurred	2016-12-31	$7,284
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$22,930,759
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$252,427,076
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$229,496,317
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	$12,483
Assets. partnership/joint venture interests at beginning of year	2016-12-31	$16,543
Investment advisory and management fees	2016-12-31	$83,316
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$179,163,023
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$170,485,873
Value of interest in pooled separate accounts at end of year	2016-12-31	$11,993,462
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$9,704,323
Interest on participant loans	2016-12-31	$106,419
Value of interest in common/collective trusts at end of year	2016-12-31	$49,085,332
Value of interest in common/collective trusts at beginning of year	2016-12-31	$39,733,710
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$1,422,792
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$1,511,602
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$1,511,602
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$104
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$10,921,310
Net investment gain or loss from common/collective trusts	2016-12-31	$3,070,516
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$4,158,487
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$14,888,508
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	BDO USA, LLP
Accountancy firm EIN	2016-12-31	135381590
2015 : ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$15,191,824
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$19,175
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$23,450
Total income from all sources (including contributions)	2015-12-31	$17,810,341
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$29,496,657
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$29,315,893
Value of total corrective distributions	2015-12-31	$8,778
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$17,584,806
Value of total assets at end of year	2015-12-31	$229,515,492
Value of total assets at beginning of year	2015-12-31	$256,397,907
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$171,986
Total interest from all sources	2015-12-31	$96,714
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$7,648,946
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	$7,648,946
Administrative expenses professional fees incurred	2015-12-31	$79,539
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$12,908,593
Participant contributions at end of year	2015-12-31	$2,482,673
Participant contributions at beginning of year	2015-12-31	$2,793,709
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$5,559,034
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$6,292,186
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$685,885
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$21,734
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$24,946
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$19,175
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$23,450
Other income not declared elsewhere	2015-12-31	$-423,170
Administrative expenses (other) incurred	2015-12-31	$12,349
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-11,686,316
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$229,496,317
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$256,374,457
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	$16,543
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$15,712
Investment advisory and management fees	2015-12-31	$80,098
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$170,485,873
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$186,369,014
Value of interest in pooled separate accounts at end of year	2015-12-31	$9,704,323
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$11,593,626
Interest on participant loans	2015-12-31	$96,714
Value of interest in common/collective trusts at end of year	2015-12-31	$39,733,710
Value of interest in common/collective trusts at beginning of year	2015-12-31	$46,147,943
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$1,511,602
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$3,160,771
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$3,160,771
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-7,492,926
Net investment gain or loss from common/collective trusts	2015-12-31	$395,971
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$3,990,328
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$29,315,893
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BDO USA, LLP
Accountancy firm EIN	2015-12-31	135381590
2014 : ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$23,450
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$25,730
Total income from all sources (including contributions)	2014-12-31	$28,212,781
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$28,738,677
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$28,578,279
Value of total corrective distributions	2014-12-31	$2,307
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$13,823,754
Value of total assets at end of year	2014-12-31	$256,397,907
Value of total assets at beginning of year	2014-12-31	$256,926,083
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$158,091
Total interest from all sources	2014-12-31	$119,453
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$10,472,939
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	$10,472,939
Administrative expenses professional fees incurred	2014-12-31	$98,862
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$13,067,914
Participant contributions at end of year	2014-12-31	$2,793,709
Participant contributions at beginning of year	2014-12-31	$3,156,229
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$6,292,186
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$1,965,561
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$463,287
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$24,946
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$29,771
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$23,450
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$25,730
Other income not declared elsewhere	2014-12-31	$-151,079
Administrative expenses (other) incurred	2014-12-31	$11,930
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-525,896
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$256,374,457
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$256,900,353
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	$15,712
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$19,161
Investment advisory and management fees	2014-12-31	$47,299
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$186,369,014
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$186,440,599
Value of interest in pooled separate accounts at end of year	2014-12-31	$11,593,626
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$12,831,602
Interest on participant loans	2014-12-31	$119,452
Value of interest in common/collective trusts at end of year	2014-12-31	$46,147,943
Value of interest in common/collective trusts at beginning of year	2014-12-31	$48,479,415
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$3,160,771
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$4,003,745
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$4,003,745
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$1
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$2,160,099
Net investment gain or loss from common/collective trusts	2014-12-31	$1,787,615
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$292,553
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$28,578,279
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BDO USA, LLP
Accountancy firm EIN	2014-12-31	135381590
2013 : ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$1,511,846
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$25,730
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$23,914
Total income from all sources (including contributions)	2013-12-31	$51,860,455
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$16,760,901
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$16,558,721
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$13,965,599
Value of total assets at end of year	2013-12-31	$256,926,083
Value of total assets at beginning of year	2013-12-31	$220,312,867
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$202,180
Total interest from all sources	2013-12-31	$119,174
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$6,539,994
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	$6,539,994
Administrative expenses professional fees incurred	2013-12-31	$125,507
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$13,123,424
Participant contributions at end of year	2013-12-31	$3,156,229
Participant contributions at beginning of year	2013-12-31	$2,802,074
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$1,965,561
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$397,244
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$29,771
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$37,044
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$25,730
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$23,914
Other income not declared elsewhere	2013-12-31	$125,210
Administrative expenses (other) incurred	2013-12-31	$17,239
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$35,099,554
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$256,900,353
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$220,288,953
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	$19,161
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$59,434
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$186,440,599
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$140,076,683
Value of interest in pooled separate accounts at end of year	2013-12-31	$12,831,602
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$12,050,016
Interest on participant loans	2013-12-31	$118,853
Value of interest in common/collective trusts at end of year	2013-12-31	$48,479,415
Value of interest in common/collective trusts at beginning of year	2013-12-31	$60,586,492
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$4,003,745
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$4,760,558
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$4,760,558
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$321
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$26,693,062
Net investment gain or loss from common/collective trusts	2013-12-31	$4,417,416
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$444,931
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$16,558,721
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	Yes
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	ROTHSTEIN KASS & COMPANY PC
Accountancy firm EIN	2013-12-31	222131009
2012 : ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$23,914
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	$36,938,776
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$18,052,649
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$17,951,720
Value of total corrective distributions	2012-12-31	$333
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$14,470,676
Value of total assets at end of year	2012-12-31	$220,312,867
Value of total assets at beginning of year	2012-12-31	$201,402,826
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$100,596
Total interest from all sources	2012-12-31	$117,559
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$3,830,889
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	$3,830,889
Administrative expenses professional fees incurred	2012-12-31	$77,319
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
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	$13,271,826
Participant contributions at end of year	2012-12-31	$2,802,074
Participant contributions at beginning of year	2012-12-31	$2,914,675
Participant contributions at beginning of year	2012-12-31	$225,301
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$847,986
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$37,044
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$91,042
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$23,914
Administrative expenses (other) incurred	2012-12-31	$9,425
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	$18,886,127
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$220,288,953
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$201,402,826
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
Investment advisory and management fees	2012-12-31	$13,852
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$140,076,683
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$123,529,071
Value of interest in pooled separate accounts at end of year	2012-12-31	$12,050,016
Interest on participant loans	2012-12-31	$113,648
Value of interest in common/collective trusts at end of year	2012-12-31	$60,586,492
Value of interest in common/collective trusts at beginning of year	2012-12-31	$67,745,213
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$4,760,558
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$6,886,895
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$6,886,895
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$3,911
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$14,293,240
Net investment gain or loss from common/collective trusts	2012-12-31	$4,226,412
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
Contributions received in cash from employer	2012-12-31	$350,864
Employer contributions (assets) at beginning of year	2012-12-31	$10,629
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$17,951,720
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	ROTHSTEIN KASS & COMPANY PC
Accountancy firm EIN	2012-12-31	222131009
2011 : ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$1,325,765
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	$14,554,612
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$12,144,028
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$12,102,720
Expenses. Certain deemed distributions of participant loans	2011-12-31	$5,020
Value of total corrective distributions	2011-12-31	$764
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$15,174,590
Value of total assets at end of year	2011-12-31	$201,402,826
Value of total assets at beginning of year	2011-12-31	$197,666,477
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$35,524
Total interest from all sources	2011-12-31	$158,645
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,904,057
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	$1,904,057
Administrative expenses professional fees incurred	2011-12-31	$8,000
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
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	$13,756,534
Participant contributions at end of year	2011-12-31	$2,914,675
Participant contributions at beginning of year	2011-12-31	$3,055,995
Participant contributions at end of year	2011-12-31	$225,301
Participant contributions at beginning of year	2011-12-31	$179,390
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$969,508
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$91,042
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$113,175
Administrative expenses (other) incurred	2011-12-31	$12,475
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	$2,410,584
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$201,402,826
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$197,666,477
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
Investment advisory and management fees	2011-12-31	$15,049
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$123,529,071
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$121,744,929
Interest on participant loans	2011-12-31	$157,991
Value of interest in common/collective trusts at end of year	2011-12-31	$67,745,213
Value of interest in common/collective trusts at beginning of year	2011-12-31	$67,078,150
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$6,886,895
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$5,483,613
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$5,483,613
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$654
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-3,921,674
Net investment gain or loss from common/collective trusts	2011-12-31	$1,238,994
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
Contributions received in cash from employer	2011-12-31	$448,548
Employer contributions (assets) at end of year	2011-12-31	$10,629
Employer contributions (assets) at beginning of year	2011-12-31	$11,225
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$12,102,720
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	Yes
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	ROTHSTEIN KASS & COMPANY PC
Accountancy firm EIN	2011-12-31	222131009
2010 : ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
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	$36,572,038
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$17,495,138
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$17,418,687
Expenses. Certain deemed distributions of participant loans	2010-12-31	$51,960
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$14,090,437
Value of total assets at end of year	2010-12-31	$197,666,477
Value of total assets at beginning of year	2010-12-31	$178,589,577
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$24,491
Total interest from all sources	2010-12-31	$180,406
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$3,340,124
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	$3,340,124
Administrative expenses professional fees incurred	2010-12-31	$23,441
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$10,000,000
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
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$13,192,359
Participant contributions at end of year	2010-12-31	$3,055,995
Participant contributions at beginning of year	2010-12-31	$2,880,872
Participant contributions at end of year	2010-12-31	$179,390
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$2,290
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$381,478
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$113,175
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$47,414
Administrative expenses (other) incurred	2010-12-31	$1,050
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	$19,076,900
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$197,666,477
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$178,589,577
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	$121,744,929
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$100,319,497
Interest on participant loans	2010-12-31	$160,767
Value of interest in common/collective trusts at end of year	2010-12-31	$67,078,150
Value of interest in common/collective trusts at beginning of year	2010-12-31	$75,339,504
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$5,483,613
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$19,639
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$9,520,423
Net investment gain or loss from common/collective trusts	2010-12-31	$9,440,648
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
Contributions received in cash from employer	2010-12-31	$516,600
Employer contributions (assets) at end of year	2010-12-31	$11,225
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$17,418,687
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
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	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	ROTHSTEIN KASS & COMPANY PC
Accountancy firm EIN	2010-12-31	222131009

Form 5500 Responses for ICAP SERVICES NORTH AMERICA LLC SAVINGS PLAN

2016: ICAP SERVICES NORTH AMERICA LLC SAVINGS 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 – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ICAP SERVICES NORTH AMERICA LLC SAVINGS 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ICAP SERVICES NORTH AMERICA LLC SAVINGS 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ICAP SERVICES NORTH AMERICA LLC SAVINGS 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ICAP SERVICES NORTH AMERICA LLC SAVINGS 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 is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ICAP SERVICES NORTH AMERICA LLC SAVINGS 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 is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ICAP SERVICES NORTH AMERICA LLC SAVINGS 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	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31532

Policy instance

Insurance contract or identification number	GA31532
Number of Individuals Covered	564
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31532

Policy instance

Insurance contract or identification number	GA31532
Number of Individuals Covered	677
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31532

Policy instance

Insurance contract or identification number	GA31532
Number of Individuals Covered	749
Insurance policy start date	2013-03-19
Insurance policy end date	2013-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31532

Policy instance

Insurance contract or identification number	GA31532
Number of Individuals Covered	792
Insurance policy start date	2012-03-19
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

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Company Name:	ICAP SERVICES NORTH AMERICA LLC
Employer identification number (EIN):	522067168
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2828113