401k Plan data: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	003

INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Stock bonus
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.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

INVESTMENT TECHNOLOGY GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: INVESTMENT TECHNOLOGY GROUP, INC.

Employer identification number (EIN): 952848406

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2014-01-01 PETER GOLDSTEIN
003 2013-01-01 PETER GOLDSTEIN
003 2012-01-01 PETER GOLDSTEIN
003 2011-01-01 PETER GOLDSTEIN

Plan id#	Filing Submission Date	Name of Administrator
003	2014-01-01	PETER GOLDSTEIN
003	2013-01-01	PETER GOLDSTEIN
003	2012-01-01	PETER GOLDSTEIN
003	2011-01-01	PETER GOLDSTEIN

Plan Statistics for INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2014: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 80
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 18
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 62
Total of all active and inactive participants 2013-01-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 80
Number of participants with account balances 2013-01-01 80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 161
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 33
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 120
Total of all active and inactive participants 2012-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 154
Number of participants with account balances 2012-01-01 154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 167
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 35
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 125
Total of all active and inactive participants 2011-01-01 161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 161
Number of participants with account balances 2011-01-01 161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2014: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	80
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	18
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	62
Total of all active and inactive participants	2013-01-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	80
Number of participants with account balances	2013-01-01	80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	161
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	33
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	120
Total of all active and inactive participants	2012-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	154
Number of participants with account balances	2012-01-01	154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	167
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	35
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	125
Total of all active and inactive participants	2011-01-01	161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	161
Number of participants with account balances	2011-01-01	161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2014 : INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-09-15	$-14,490
Total unrealized appreciation/depreciation of assets	2014-09-15	$-14,490
Total transfer of assets from this plan	2014-09-15	$5,318
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-15	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-15	$0
Total income from all sources (including contributions)	2014-09-15	$-3,703
Total loss/gain on sale of assets	2014-09-15	$10,787
Total of all expenses incurred	2014-09-15	$707,539
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-09-15	$707,323
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-09-15	$0
Value of total assets at end of year	2014-09-15	$0
Value of total assets at beginning of year	2014-09-15	$716,560
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-09-15	$216
Total interest from all sources	2014-09-15	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-09-15	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-09-15	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-09-15	$0
Was this plan covered by a fidelity bond	2014-09-15	Yes
Value of fidelity bond cover	2014-09-15	$5,000,000
If this is an individual account plan, was there a blackout period	2014-09-15	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-09-15	$556,387
Were there any nonexempt tranactions with any party-in-interest	2014-09-15	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-09-15	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-09-15	$0
Administrative expenses (other) incurred	2014-09-15	$216
Total non interest bearing cash at end of year	2014-09-15	$0
Total non interest bearing cash at beginning of year	2014-09-15	$19
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-09-15	No
Value of net income/loss	2014-09-15	$-711,242
Value of net assets at end of year (total assets less liabilities)	2014-09-15	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-09-15	$716,560
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-09-15	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-09-15	No
Were any leases to which the plan was party in default or uncollectible	2014-09-15	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-09-15	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-09-15	$21,348
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-09-15	$21,348
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-09-15	No
Was there a failure to transmit to the plan any participant contributions	2014-09-15	No
Has the plan failed to provide any benefit when due under the plan	2014-09-15	No
Assets. Invements in employer securities at end of year	2014-09-15	$0
Assets. Invements in employer securities at beginning of year	2014-09-15	$585,857
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-09-15	$707,323
Assets. Corporate common stocks other than exployer securities at end of year	2014-09-15	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-09-15	$109,336
Did the plan have assets held for investment	2014-09-15	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-09-15	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-09-15	Yes
Aggregate proceeds on sale of assets	2014-09-15	$291,122
Aggregate carrying amount (costs) on sale of assets	2014-09-15	$280,335
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-09-15	Yes
Opinion of an independent qualified public accountant for this plan	2014-09-15	Disclaimer
Accountancy firm name	2014-09-15	MARKS PANETH LLP
Accountancy firm EIN	2014-09-15	113518842
2013 : INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$687,918
Total unrealized appreciation/depreciation of assets	2013-12-31	$687,918
Total transfer of assets from this plan	2013-12-31	$208,712
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$798,579
Total loss/gain on sale of assets	2013-12-31	$108,447
Total of all expenses incurred	2013-12-31	$1,055,280
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,053,748
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$0
Value of total assets at end of year	2013-12-31	$716,560
Value of total assets at beginning of year	2013-12-31	$1,181,973
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,532
Total interest from all sources	2013-12-31	$9
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$2,205
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$447,620
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$1,532
Total non interest bearing cash at end of year	2013-12-31	$19
Total non interest bearing cash at beginning of year	2013-12-31	$11
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	$-256,701
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$716,560
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$1,181,973
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
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$21,348
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$43,241
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$43,241
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$9
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$585,857
Assets. Invements in employer securities at beginning of year	2013-12-31	$871,146
Income. Dividends from common stock	2013-12-31	$2,205
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,053,748
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$109,336
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$267,575
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$1,552,849
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$1,444,402
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	MARKS PANETH LLP
Accountancy firm EIN	2013-12-31	113518842
2012 : INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$-99,139
Total unrealized appreciation/depreciation of assets	2012-12-31	$-99,139
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$-84,253
Total loss/gain on sale of assets	2012-12-31	$9,347
Total of all expenses incurred	2012-12-31	$195,845
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$195,323
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$0
Value of total assets at end of year	2012-12-31	$1,181,973
Value of total assets at beginning of year	2012-12-31	$1,462,071
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$522
Total interest from all sources	2012-12-31	$11
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$5,528
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Total non interest bearing cash at end of year	2012-12-31	$11
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-280,098
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,181,973
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,462,071
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	$522
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$43,241
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$39,989
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$39,989
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$11
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$871,146
Assets. Invements in employer securities at beginning of year	2012-12-31	$1,212,504
Income. Dividends from common stock	2012-12-31	$5,528
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$195,323
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$267,575
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$209,578
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$193,567
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$184,220
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	MARKS, PANETH, & SHRON, LLP
Accountancy firm EIN	2012-12-31	113518842
2011 : INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-919,019
Total unrealized appreciation/depreciation of assets	2011-12-31	$-919,019
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	$-934,121
Total loss/gain on sale of assets	2011-12-31	$-19,753
Total of all expenses incurred	2011-12-31	$404,435
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$404,282
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$0
Value of total assets at end of year	2011-12-31	$1,462,071
Value of total assets at beginning of year	2011-12-31	$2,800,627
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$153
Total interest from all sources	2011-12-31	$3
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$4,648
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$5,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-1,338,556
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,462,071
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,800,627
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	$153
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$39,989
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$35,375
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$35,375
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$3
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$1,212,504
Assets. Invements in employer securities at beginning of year	2011-12-31	$2,345,936
Income. Dividends from common stock	2011-12-31	$4,648
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$404,282
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$209,578
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$419,316
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$0
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$404,398
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$424,151
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	MARKS, PANETH, & SHRON
Accountancy firm EIN	2011-12-31	113518842

Form 5500 Responses for INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2014: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP 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	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP 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: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: INVESTMENT TECHNOLOGY GROUP, INC. EMPLOYEE STOCK OWNERSHIP 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

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Company Name:	INVESTMENT TECHNOLOGY GROUP, INC.
Employer identification number (EIN):	952848406
NAIC Classification:	523120
NAIC Description:	Securities Brokerage