401k Plan data: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN plan

W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 401k Plan overview

Plan Name	W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN
Plan identification number	001

W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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.
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.
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

W.R. HAMBRECHT CO., LLC has sponsored the creation of one or more 401k plans.

Company Name: W.R. HAMBRECHT CO., LLC

Employer identification number (EIN): 943289837

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 VERONICA BRYAN
001 2017-01-01 VERONICA BRYAN
001 2016-01-01 VERONICA BRYAN
001 2015-01-01 VERONICA BRYAN
001 2014-01-01 VERONICA BRYAN
001 2013-01-01 VERONICA BRYAN
001 2012-01-01 VERONICA BRYAN
001 2011-01-01 VERONICA BRYAN
001 2009-01-01 VERONICA BRYAN

Plan id#	Filing Submission Date	Name of Administrator
001	2018-01-01	VERONICA BRYAN
001	2017-01-01	VERONICA BRYAN
001	2016-01-01	VERONICA BRYAN
001	2015-01-01	VERONICA BRYAN
001	2014-01-01	VERONICA BRYAN
001	2013-01-01	VERONICA BRYAN
001	2012-01-01	VERONICA BRYAN
001	2011-01-01	VERONICA BRYAN
001	2009-01-01	VERONICA BRYAN

Plan Statistics for W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN

401k plan membership statisitcs for W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN

Measure Date Value
2018: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
2017: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 38
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 13
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 23
Total of all active and inactive participants 2017-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 36
Number of participants with account balances 2017-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 43
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 12
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 26
Total of all active and inactive participants 2016-01-01 38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 38
Number of participants with account balances 2016-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 49
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 16
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 27
Total of all active and inactive participants 2015-01-01 43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 43
Number of participants with account balances 2015-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 50
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 19
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 29
Total of all active and inactive participants 2014-01-01 49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 49
Number of participants with account balances 2014-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 72
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 15
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 35
Total of all active and inactive participants 2013-01-01 50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 50
Number of participants with account balances 2013-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 82
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 32
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 38
Total of all active and inactive participants 2012-01-01 72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 72
Number of participants with account balances 2012-01-01 57
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 37
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 45
Total of all active and inactive participants 2011-01-01 82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 82
Number of participants with account balances 2011-01-01 66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 174
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 34
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 102
Total of all active and inactive participants 2009-01-01 136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 136
Number of participants with account balances 2009-01-01 126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2018: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
2017: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	38
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	13
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	23
Total of all active and inactive participants	2017-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	36
Number of participants with account balances	2017-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	43
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	12
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	26
Total of all active and inactive participants	2016-01-01	38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	38
Number of participants with account balances	2016-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	49
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	16
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	27
Total of all active and inactive participants	2015-01-01	43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	43
Number of participants with account balances	2015-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	50
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	19
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	29
Total of all active and inactive participants	2014-01-01	49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	49
Number of participants with account balances	2014-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	72
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	15
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	35
Total of all active and inactive participants	2013-01-01	50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	50
Number of participants with account balances	2013-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	82
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	32
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	38
Total of all active and inactive participants	2012-01-01	72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	72
Number of participants with account balances	2012-01-01	57
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	37
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	45
Total of all active and inactive participants	2011-01-01	82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	82
Number of participants with account balances	2011-01-01	66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	174
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	34
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	102
Total of all active and inactive participants	2009-01-01	136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	136
Number of participants with account balances	2009-01-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN

Measure	Date	Value
2018 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-09-28	$-2,573,699
Total plan liabilities at end of year	2018-09-28	$0
Total plan liabilities at beginning of year	2018-09-28	$0
Total income from all sources	2018-09-28	$343,328
Expenses. Total of all expenses incurred	2018-09-28	$1,068,178
Benefits paid (including direct rollovers)	2018-09-28	$1,067,414
Total plan assets at end of year	2018-09-28	$0
Total plan assets at beginning of year	2018-09-28	$3,298,549
Value of fidelity bond covering the plan	2018-09-28	$1,000,000
Total contributions received or receivable from participants	2018-09-28	$51,264
Expenses. Other expenses not covered elsewhere	2018-09-28	$0
Contributions received from other sources (not participants or employers)	2018-09-28	$0
Other income received	2018-09-28	$292,064
Noncash contributions received	2018-09-28	$0
Net income (gross income less expenses)	2018-09-28	$-724,850
Net plan assets at end of year (total assets less liabilities)	2018-09-28	$0
Net plan assets at beginning of year (total assets less liabilities)	2018-09-28	$3,298,549
Assets. Value of participant loans	2018-09-28	$0
Total contributions received or receivable from employer(s)	2018-09-28	$0
Value of certain deemed distributions of participant loans	2018-09-28	$0
Value of corrective distributions	2018-09-28	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-09-28	$764
2017 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$786,134
Expenses. Total of all expenses incurred	2017-12-31	$790,988
Benefits paid (including direct rollovers)	2017-12-31	$788,539
Total plan assets at end of year	2017-12-31	$3,298,549
Total plan assets at beginning of year	2017-12-31	$3,303,403
Value of fidelity bond covering the plan	2017-12-31	$1,000,000
Total contributions received or receivable from participants	2017-12-31	$86,885
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$699,249
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$-4,854
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$3,298,549
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$3,303,403
Assets. Value of participant loans	2017-12-31	$19,855
Total contributions received or receivable from employer(s)	2017-12-31	$0
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$2,449
2016 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$306,101
Expenses. Total of all expenses incurred	2016-12-31	$116,305
Benefits paid (including direct rollovers)	2016-12-31	$62,598
Total plan assets at end of year	2016-12-31	$3,303,403
Total plan assets at beginning of year	2016-12-31	$3,113,607
Value of fidelity bond covering the plan	2016-12-31	$1,000,000
Total contributions received or receivable from participants	2016-12-31	$90,648
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$215,453
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$189,796
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$3,303,403
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$3,113,607
Assets. Value of participant loans	2016-12-31	$25,037
Total contributions received or receivable from employer(s)	2016-12-31	$0
Value of certain deemed distributions of participant loans	2016-12-31	$50,727
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$2,980
2015 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$183,900
Expenses. Total of all expenses incurred	2015-12-31	$621,131
Benefits paid (including direct rollovers)	2015-12-31	$616,135
Total plan assets at end of year	2015-12-31	$3,113,607
Total plan assets at beginning of year	2015-12-31	$3,550,838
Value of fidelity bond covering the plan	2015-12-31	$1,000,000
Total contributions received or receivable from participants	2015-12-31	$115,733
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$68,167
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$-437,231
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$3,113,607
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$3,550,838
Assets. Value of participant loans	2015-12-31	$30,005
Total contributions received or receivable from employer(s)	2015-12-31	$0
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$4,104
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$892
2014 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$319,209
Expenses. Total of all expenses incurred	2014-12-31	$508,157
Benefits paid (including direct rollovers)	2014-12-31	$507,014
Total plan assets at end of year	2014-12-31	$3,550,838
Total plan assets at beginning of year	2014-12-31	$3,739,786
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Total contributions received or receivable from participants	2014-12-31	$79,174
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$240,035
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$-188,948
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$3,550,838
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,739,786
Assets. Value of participant loans	2014-12-31	$34,744
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$1,143
2013 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$1,059,684
Expenses. Total of all expenses incurred	2013-12-31	$2,809,548
Benefits paid (including direct rollovers)	2013-12-31	$2,808,146
Total plan assets at end of year	2013-12-31	$3,739,786
Total plan assets at beginning of year	2013-12-31	$5,489,650
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Total contributions received or receivable from participants	2013-12-31	$21,420
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$1,038,264
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$-1,749,864
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,739,786
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$5,489,650
Assets. Value of participant loans	2013-12-31	$39,308
Total contributions received or receivable from employer(s)	2013-12-31	$0
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$1,402
2012 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$830,791
Expenses. Total of all expenses incurred	2012-12-31	$839,744
Benefits paid (including direct rollovers)	2012-12-31	$838,113
Total plan assets at end of year	2012-12-31	$5,489,650
Total plan assets at beginning of year	2012-12-31	$5,498,603
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Total contributions received or receivable from participants	2012-12-31	$187,584
Other income received	2012-12-31	$643,207
Net income (gross income less expenses)	2012-12-31	$-8,953
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$5,489,650
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$5,498,603
Assets. Value of participant loans	2012-12-31	$63,570
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$1,631
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2011 401k financial data
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	$146,509
Total of all expenses incurred	2011-12-31	$1,616,018
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,613,841
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$247,370
Value of total assets at end of year	2011-12-31	$5,498,603
Value of total assets at beginning of year	2011-12-31	$6,968,112
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,177
Total interest from all sources	2011-12-31	$5,354
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$132,303
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	$132,303
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
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	$194,769
Participant contributions at end of year	2011-12-31	$94,656
Participant contributions at beginning of year	2011-12-31	$68,071
Participant contributions at end of year	2011-12-31	$5,514
Participant contributions at beginning of year	2011-12-31	$5,678
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$52,601
Administrative expenses (other) incurred	2011-12-31	$2,177
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	$-1,469,509
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$5,498,603
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$6,968,112
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	$4,194,833
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$5,639,156
Interest on participant loans	2011-12-31	$5,229
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$1,203,600
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$1,255,207
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$1,255,207
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$125
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-238,518
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,613,841
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
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	MILLER, KAPLAN, ARASE
Accountancy firm EIN	2011-12-31	952036255
2010 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2010 401k financial data
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	$1,102,823
Total of all expenses incurred	2010-12-31	$1,378,103
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,372,785
Value of total corrective distributions	2010-12-31	$4,537
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$163,033
Value of total assets at end of year	2010-12-31	$6,968,112
Value of total assets at beginning of year	2010-12-31	$7,243,392
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$781
Total interest from all sources	2010-12-31	$3,401
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$66,887
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	$66,887
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
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	$163,033
Participant contributions at end of year	2010-12-31	$68,071
Participant contributions at beginning of year	2010-12-31	$58,862
Participant contributions at end of year	2010-12-31	$5,678
Participant contributions at beginning of year	2010-12-31	$4,270
Administrative expenses (other) incurred	2010-12-31	$781
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	$-275,280
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$6,968,112
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$7,243,392
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	$5,639,156
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$5,852,310
Interest on participant loans	2010-12-31	$3,163
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$1,255,207
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$1,327,950
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$1,327,950
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$238
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$869,502
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,372,785
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	No
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	MILLER, KAPLAN, ARASE & CO., LLP
Accountancy firm EIN	2010-12-31	952036255
2009 : W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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 W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN

2018: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 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: W.R. HAMBRECHT CO., LLC EMPLOYEE SAVINGS 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	W.R. HAMBRECHT CO., LLC
Employer identification number (EIN):	943289837
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing