401k Plan data: GREAT RIVER ASSET MANAGEMENT LLC 401K PROFIT SHARING PLAN plan

GREAT RIVER ASSET MANAGEMENT LLC 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	GREAT RIVER ASSET MANAGEMENT LLC 401K PROFIT SHARING PLAN
Plan identification number	001

GREAT RIVER ASSET MANAGEMENT LLC 401K PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

GREAT RIVER ASSET MANAGEMENT LLC has sponsored the creation of one or more 401k plans.

Company Name: GREAT RIVER ASSET MANAGEMENT LLC

Employer identification number (EIN): 421494483

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GREAT RIVER ASSET MANAGEMENT LLC 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 IAN HARING 2015-05-29
001 2013-01-01 IAN HARING 2014-05-16 IAN HARING 2014-05-16
001 2012-01-01 IAN HARING 2013-05-29 IAN HARING 2013-05-29
001 2011-01-01 IAN HARING 2012-06-04 IAN HARING 2012-06-04
001 2010-01-01 IAN HARING 2011-06-06 IAN HARING 2011-06-06

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	IAN HARING	2015-05-29
001	2013-01-01	IAN HARING	2014-05-16	IAN HARING	2014-05-16
001	2012-01-01	IAN HARING	2013-05-29	IAN HARING	2013-05-29
001	2011-01-01	IAN HARING	2012-06-04	IAN HARING	2012-06-04
001	2010-01-01	IAN HARING	2011-06-06	IAN HARING	2011-06-06

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Company Name:	GREAT RIVER ASSET MANAGEMENT LLC
Employer identification number (EIN):	421494483
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing