THOMAS WEISEL PARTNERS LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan THOMAS WEISEL PARTNERS LLC 401(K) PLAN
| Measure | Date | Value |
|---|
| 2010: THOMAS WEISEL PARTNERS LLC 401(K) PLAN 2010 401k membership |
|---|
| Total participants, beginning-of-year | 2010-01-01 | 676 |
| Total number of active participants reported on line 7a of the Form 5500 | 2010-01-01 | 0 |
| Number of retired or separated participants receiving benefits | 2010-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2010-01-01 | 0 |
| Total of all active and inactive participants | 2010-01-01 | 0 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2010-01-01 | 0 |
| Total participants | 2010-01-01 | 0 |
| Number of participants with account balances | 2010-01-01 | 0 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2010-01-01 | 0 |
| 2009: THOMAS WEISEL PARTNERS LLC 401(K) PLAN 2009 401k membership |
|---|
| Total participants, beginning-of-year | 2009-01-01 | 783 |
| Total number of active participants reported on line 7a of the Form 5500 | 2009-01-01 | 368 |
| 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 | 308 |
| Total of all active and inactive participants | 2009-01-01 | 676 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-01-01 | 0 |
| Total participants | 2009-01-01 | 676 |
| Number of participants with account balances | 2009-01-01 | 578 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-01-01 | 0 |
| Measure | Date | Value |
|---|
| 2010 : THOMAS WEISEL PARTNERS LLC 401(K) PLAN 2010 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
| Total transfer of assets from this plan | 2010-12-31 | $26,522,435 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $26,307,346 |
| 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 | $6,788,189 |
| Total loss/gain on sale of assets | 2010-12-31 | $0 |
| Total of all expenses incurred | 2010-12-31 | $10,777,061 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $10,770,546 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $2,959,711 |
| Value of total assets at end of year | 2010-12-31 | $26,307,346 |
| Value of total assets at beginning of year | 2010-12-31 | $30,511,307 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $6,515 |
| Total interest from all sources | 2010-12-31 | $20,050 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $244,393 |
| 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 | $244,393 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $5,000,000 |
| 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 | $2,748,760 |
| Participant contributions at end of year | 2010-12-31 | $98,103 |
| Participant contributions at beginning of year | 2010-12-31 | $480,570 |
| Participant contributions at end of year | 2010-12-31 | $9,065 |
| Participant contributions at beginning of year | 2010-12-31 | $59,471 |
| Assets. Other investments not covered elsewhere at end of year | 2010-12-31 | $2,967,833 |
| Assets. Other investments not covered elsewhere at beginning of year | 2010-12-31 | $4,086,152 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2010-12-31 | $160,500 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $12,861 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2010-12-31 | $13,668 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2010-12-31 | $26,307,346 |
| Other income not declared elsewhere | 2010-12-31 | $588,883 |
| Administrative expenses (other) incurred | 2010-12-31 | $6,515 |
| 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 | $-3,988,872 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $0 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $30,511,307 |
| 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 |
| Assets. partnership/joint venture interests at end of year | 2010-12-31 | $6,168 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $16,724,639 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $18,893,502 |
| Interest on participant loans | 2010-12-31 | $17,083 |
| Value of interest in common/collective trusts at end of year | 2010-12-31 | $3,460,205 |
| Value of interest in common/collective trusts at beginning of year | 2010-12-31 | $3,473,464 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2010-12-31 | $3,028,472 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2010-12-31 | $3,504,480 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2010-12-31 | $3,504,480 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2010-12-31 | $2,967 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $2,525,790 |
| Net investment gain or loss from common/collective trusts | 2010-12-31 | $449,362 |
| 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 | Yes |
| 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 | $50,451 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $10,770,546 |
| 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 | Yes |
| 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 | BDO USA, LLP |
| Accountancy firm EIN | 2010-12-31 | 135381590 |
| 2009 : THOMAS WEISEL PARTNERS LLC 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 |
