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DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 401k Plan overview

Plan NameDZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN
Plan identification number 002

DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN Benefits

401k Plan TypeDefined 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

DZ BANK AG, NEW YORK BRANCH has sponsored the creation of one or more 401k plans.

Company Name:DZ BANK AG, NEW YORK BRANCH
Employer identification number (EIN):132847358
NAIC Classification:522110
NAIC Description:Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022024-01-01LINDA BORRA
0022023-01-01
0022023-01-01LINDA BORRA
0022022-01-01
0022022-01-01LINDA BORRA
0022021-01-01
0022021-01-01LINDA BORRA
0022020-01-01
0022019-01-01
0022018-01-01THERESA POWELL2019-10-08
0022017-01-01GORDON COOK
0022016-01-01GORDON COOK
0022015-01-01GORDON COOK
0022014-01-01GORDON COOK
0022013-01-01GORDON COOK
0022012-01-01GORDON COOK
0022011-01-01GORDON COOK

Plan Statistics for DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN

401k plan membership statisitcs for DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN

Measure Date Value
2023: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01140
Total number of active participants reported on line 7a of the Form 55002023-01-0170
Number of retired or separated participants receiving benefits2023-01-012
Number of other retired or separated participants entitled to future benefits2023-01-0165
Total of all active and inactive participants2023-01-01137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-011
Total participants2023-01-01138
Number of participants with account balances2023-01-01135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-014
2022: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01142
Total number of active participants reported on line 7a of the Form 55002022-01-0165
Number of retired or separated participants receiving benefits2022-01-012
Number of other retired or separated participants entitled to future benefits2022-01-0172
Total of all active and inactive participants2022-01-01139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-011
Total participants2022-01-01140
Number of participants with account balances2022-01-01140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-011
2021: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01143
Total number of active participants reported on line 7a of the Form 55002021-01-0168
Number of retired or separated participants receiving benefits2021-01-012
Number of other retired or separated participants entitled to future benefits2021-01-0169
Total of all active and inactive participants2021-01-01139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-011
Total participants2021-01-01140
Number of participants with account balances2021-01-01140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-011
2020: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01153
Total number of active participants reported on line 7a of the Form 55002020-01-0170
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0172
Total of all active and inactive participants2020-01-01142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-01143
Number of participants with account balances2020-01-01143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01166
Total number of active participants reported on line 7a of the Form 55002019-01-0173
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0176
Total of all active and inactive participants2019-01-01149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01150
Number of participants with account balances2019-01-01150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01179
Total number of active participants reported on line 7a of the Form 55002018-01-0189
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0176
Total of all active and inactive participants2018-01-01165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01166
Number of participants with account balances2018-01-01165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-015
2017: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01179
Total number of active participants reported on line 7a of the Form 55002017-01-01108
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0171
Total of all active and inactive participants2017-01-01179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01179
Number of participants with account balances2017-01-01177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-013
2016: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01180
Total number of active participants reported on line 7a of the Form 55002016-01-01115
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0163
Total of all active and inactive participants2016-01-01178
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01178
Number of participants with account balances2016-01-01174
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-014
2015: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01185
Total number of active participants reported on line 7a of the Form 55002015-01-01115
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0164
Total of all active and inactive participants2015-01-01179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01179
Number of participants with account balances2015-01-01175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-012
2014: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01185
Total number of active participants reported on line 7a of the Form 55002014-01-01117
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0167
Total of all active and inactive participants2014-01-01184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01184
Number of participants with account balances2014-01-01175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-012
2013: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01192
Total number of active participants reported on line 7a of the Form 55002013-01-01119
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0166
Total of all active and inactive participants2013-01-01185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01185
Number of participants with account balances2013-01-01175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-012
2012: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01197
Total number of active participants reported on line 7a of the Form 55002012-01-01111
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0175
Total of all active and inactive participants2012-01-01186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01186
Number of participants with account balances2012-01-01179
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-011
2011: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01201
Total number of active participants reported on line 7a of the Form 55002011-01-01112
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0183
Total of all active and inactive participants2011-01-01195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01195
Number of participants with account balances2011-01-01183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-016

Financial Data on DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN

Measure Date Value
2023 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$11,981,736
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$11,880,429
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$11,813,117
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$2,223,531
Value of total assets at end of year2023-12-31$62,450,418
Value of total assets at beginning of year2023-12-31$62,349,111
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$67,312
Total interest from all sources2023-12-31$15,147
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$2,246,727
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$2,246,727
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$10,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$1,396,394
Participant contributions at end of year2023-12-31$292,778
Participant contributions at beginning of year2023-12-31$284,325
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$201,988
Value of other receiveables (less allowance for doubtful accounts) at end of year2023-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2023-12-31$305
Administrative expenses (other) incurred2023-12-31$125
Total non interest bearing cash at end of year2023-12-31$179
Total non interest bearing cash at beginning of year2023-12-31$28,432
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$101,307
Value of net assets at end of year (total assets less liabilities)2023-12-31$62,450,418
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$62,349,111
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$42,626
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$46,359,937
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$42,983,683
Interest on participant loans2023-12-31$15,147
Value of interest in common/collective trusts at end of year2023-12-31$15,797,524
Value of interest in common/collective trusts at beginning of year2023-12-31$19,052,366
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$5,761,204
Net investment gain or loss from common/collective trusts2023-12-31$1,735,127
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$625,149
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$11,813,117
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31WIPFLI LLP
Accountancy firm EIN2023-12-31390758449
Total unrealized appreciation/depreciation of assets2023-01-01$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-01-01$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-01-01$0
Total income from all sources (including contributions)2023-01-01$11,981,736
Total loss/gain on sale of assets2023-01-01$0
Total of all expenses incurred2023-01-01$11,880,429
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-01-01$11,813,117
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-01-01$2,223,531
Value of total assets at end of year2023-01-01$62,450,418
Value of total assets at beginning of year2023-01-01$62,349,111
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-01-01$67,312
Total interest from all sources2023-01-01$15,147
Total dividends received (eg from common stock, registered investment company shares)2023-01-01$2,246,727
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-01-01No
Total dividends received from registered investment company shares (eg mutual funds)2023-01-01$2,246,727
Was this plan covered by a fidelity bond2023-01-01Yes
Value of fidelity bond cover2023-01-01$10,000,000
If this is an individual account plan, was there a blackout period2023-01-01No
Were there any nonexempt tranactions with any party-in-interest2023-01-01No
Contributions received from participants2023-01-01$1,396,394
Participant contributions at end of year2023-01-01$292,778
Participant contributions at beginning of year2023-01-01$284,325
Income. Received or receivable in cash from other sources (including rollovers)2023-01-01$201,988
Value of other receiveables (less allowance for doubtful accounts) at end of year2023-01-01$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2023-01-01$305
Administrative expenses (other) incurred2023-01-01$125
Total non interest bearing cash at end of year2023-01-01$179
Total non interest bearing cash at beginning of year2023-01-01$28,432
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-01-01No
Value of net income/loss2023-01-01$101,307
Value of net assets at end of year (total assets less liabilities)2023-01-01$62,450,418
Value of net assets at beginning of year (total assets less liabilities)2023-01-01$62,349,111
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-01-01No
Were any loans by the plan or fixed income obligations due to the plan in default2023-01-01No
Were any leases to which the plan was party in default or uncollectible2023-01-01No
Investment advisory and management fees2023-01-01$42,626
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-01-01$46,359,937
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-01-01$42,983,683
Interest on participant loans2023-01-01$15,147
Value of interest in common/collective trusts at end of year2023-01-01$15,797,524
Value of interest in common/collective trusts at beginning of year2023-01-01$19,052,366
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-01-01$5,761,204
Net investment gain or loss from common/collective trusts2023-01-01$1,735,127
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-01-01No
Was there a failure to transmit to the plan any participant contributions2023-01-01No
Has the plan failed to provide any benefit when due under the plan2023-01-01No
Contributions received in cash from employer2023-01-01$625,149
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-01-01$11,813,117
Did the plan have assets held for investment2023-01-01Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-01-01No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-01-01No
Opinion of an independent qualified public accountant for this plan2023-01-011
Accountancy firm name2023-01-01WIPFLI LLP
Accountancy firm EIN2023-01-01390758449
2022 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-10,883,349
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$3,713,342
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$3,647,098
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,925,833
Value of total assets at end of year2022-12-31$62,349,111
Value of total assets at beginning of year2022-12-31$76,945,802
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$66,244
Total interest from all sources2022-12-31$13,656
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$2,433,677
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$2,433,677
Administrative expenses professional fees incurred2022-12-31$1,700
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$10,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$1,307,781
Participant contributions at end of year2022-12-31$284,325
Participant contributions at beginning of year2022-12-31$292,921
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$19,349
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$305
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$0
Total non interest bearing cash at end of year2022-12-31$28,432
Total non interest bearing cash at beginning of year2022-12-31$179
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-14,596,691
Value of net assets at end of year (total assets less liabilities)2022-12-31$62,349,111
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$76,945,802
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$64,544
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$42,983,683
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$57,152,866
Interest on participant loans2022-12-31$13,656
Value of interest in common/collective trusts at end of year2022-12-31$19,052,366
Value of interest in common/collective trusts at beginning of year2022-12-31$19,499,836
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-13,792,147
Net investment gain or loss from common/collective trusts2022-12-31$-1,464,368
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$598,703
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$3,647,098
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31WIPFLI LLP
Accountancy firm EIN2022-12-31390758449
Total unrealized appreciation/depreciation of assets2022-01-01$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-01-01$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-01-01$0
Total income from all sources (including contributions)2022-01-01$-10,883,349
Total loss/gain on sale of assets2022-01-01$0
Total of all expenses incurred2022-01-01$3,713,342
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-01-01$3,647,098
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-01-01$1,925,833
Value of total assets at end of year2022-01-01$62,349,111
Value of total assets at beginning of year2022-01-01$76,945,802
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-01-01$66,244
Total interest from all sources2022-01-01$13,656
Total dividends received (eg from common stock, registered investment company shares)2022-01-01$2,433,677
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-01-01No
Total dividends received from registered investment company shares (eg mutual funds)2022-01-01$2,433,677
Administrative expenses professional fees incurred2022-01-01$1,700
Was this plan covered by a fidelity bond2022-01-01Yes
Value of fidelity bond cover2022-01-01$10,000,000
If this is an individual account plan, was there a blackout period2022-01-01No
Were there any nonexempt tranactions with any party-in-interest2022-01-01No
Contributions received from participants2022-01-01$1,307,781
Participant contributions at end of year2022-01-01$284,325
Participant contributions at beginning of year2022-01-01$292,921
Income. Received or receivable in cash from other sources (including rollovers)2022-01-01$19,349
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-01-01$305
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-01-01$0
Total non interest bearing cash at end of year2022-01-01$28,432
Total non interest bearing cash at beginning of year2022-01-01$179
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-01-01No
Value of net income/loss2022-01-01$-14,596,691
Value of net assets at end of year (total assets less liabilities)2022-01-01$62,349,111
Value of net assets at beginning of year (total assets less liabilities)2022-01-01$76,945,802
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-01-01No
Were any loans by the plan or fixed income obligations due to the plan in default2022-01-01No
Were any leases to which the plan was party in default or uncollectible2022-01-01No
Investment advisory and management fees2022-01-01$64,544
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-01-01$42,983,683
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-01-01$57,152,866
Interest on participant loans2022-01-01$13,656
Value of interest in common/collective trusts at end of year2022-01-01$19,052,366
Value of interest in common/collective trusts at beginning of year2022-01-01$19,499,836
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-01-01$-13,792,147
Net investment gain or loss from common/collective trusts2022-01-01$-1,464,368
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-01-01No
Was there a failure to transmit to the plan any participant contributions2022-01-01No
Has the plan failed to provide any benefit when due under the plan2022-01-01No
Contributions received in cash from employer2022-01-01$598,703
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-01-01$3,647,098
Did the plan have assets held for investment2022-01-01Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-01-01No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-01-01No
Opinion of an independent qualified public accountant for this plan2022-01-011
Accountancy firm name2022-01-01WIPFLI LLP
Accountancy firm EIN2022-01-01390758449
2021 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$13,203,308
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$3,883,354
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$3,806,379
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,831,968
Value of total assets at end of year2021-12-31$76,945,802
Value of total assets at beginning of year2021-12-31$67,625,848
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$76,975
Total interest from all sources2021-12-31$18,281
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$4,604,520
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$4,604,520
Administrative expenses professional fees incurred2021-12-31$1,775
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,344,196
Participant contributions at end of year2021-12-31$292,921
Participant contributions at beginning of year2021-12-31$372,859
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$869,683
Total non interest bearing cash at end of year2021-12-31$179
Total non interest bearing cash at beginning of year2021-12-31$179
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$9,319,954
Value of net assets at end of year (total assets less liabilities)2021-12-31$76,945,802
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$67,625,848
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$75,200
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$57,152,866
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$48,906,084
Interest on participant loans2021-12-31$18,281
Value of interest in common/collective trusts at end of year2021-12-31$19,499,836
Value of interest in common/collective trusts at beginning of year2021-12-31$18,343,503
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$4,048,770
Net investment gain or loss from common/collective trusts2021-12-31$1,699,769
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$618,089
Employer contributions (assets) at end of year2021-12-31$0
Employer contributions (assets) at beginning of year2021-12-31$3,223
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$3,806,379
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31WIPFLI LLP
Accountancy firm EIN2021-12-31390758449
2020 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$9,847,415
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$3,405,676
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$3,329,514
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,967,715
Value of total assets at end of year2020-12-31$67,625,848
Value of total assets at beginning of year2020-12-31$61,184,109
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$76,162
Total interest from all sources2020-12-31$20,863
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$1,797,531
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$1,797,531
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$1,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,331,503
Participant contributions at end of year2020-12-31$372,859
Participant contributions at beginning of year2020-12-31$387,344
Total non interest bearing cash at end of year2020-12-31$179
Total non interest bearing cash at beginning of year2020-12-31$624
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$6,441,739
Value of net assets at end of year (total assets less liabilities)2020-12-31$67,625,848
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$61,184,109
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$73,437
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$48,906,084
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$47,005,941
Interest on participant loans2020-12-31$20,863
Value of interest in common/collective trusts at end of year2020-12-31$18,343,503
Value of interest in common/collective trusts at beginning of year2020-12-31$13,789,800
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$4,957,292
Net investment gain or loss from common/collective trusts2020-12-31$1,104,014
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$636,212
Employer contributions (assets) at end of year2020-12-31$3,223
Employer contributions (assets) at beginning of year2020-12-31$400
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$3,329,514
Contract administrator fees2020-12-31$2,725
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31WIPFLI LLP
Accountancy firm EIN2020-12-31390758449
2019 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$13,913,323
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$5,405,477
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$5,312,794
Expenses. Certain deemed distributions of participant loans2019-12-31$4,026
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,335,429
Value of total assets at end of year2019-12-31$61,184,109
Value of total assets at beginning of year2019-12-31$52,676,263
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$88,657
Total interest from all sources2019-12-31$19,987
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$1,993,688
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$1,993,688
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,528,578
Participant contributions at end of year2019-12-31$387,344
Participant contributions at beginning of year2019-12-31$511,365
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$42,563
Total non interest bearing cash at end of year2019-12-31$624
Total non interest bearing cash at beginning of year2019-12-31$2,476
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$8,507,846
Value of net assets at end of year (total assets less liabilities)2019-12-31$61,184,109
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$52,676,263
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$74,021
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$47,005,941
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$40,999,771
Interest on participant loans2019-12-31$19,987
Value of interest in common/collective trusts at end of year2019-12-31$13,789,800
Value of interest in common/collective trusts at beginning of year2019-12-31$11,162,215
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$8,196,933
Net investment gain or loss from common/collective trusts2019-12-31$1,367,286
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$764,288
Employer contributions (assets) at end of year2019-12-31$400
Employer contributions (assets) at beginning of year2019-12-31$436
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$5,312,794
Contract administrator fees2019-12-31$14,636
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31ELKO & ASSOCIATES
Accountancy firm EIN2019-12-31233063393
2018 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$792
Total income from all sources (including contributions)2018-12-31$470,454
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$2,256,926
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,137,817
Expenses. Certain deemed distributions of participant loans2018-12-31$41,689
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,585,434
Value of total assets at end of year2018-12-31$52,676,263
Value of total assets at beginning of year2018-12-31$54,463,527
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$77,420
Total interest from all sources2018-12-31$20,723
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$2,728,703
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$2,728,703
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,622,322
Participant contributions at end of year2018-12-31$511,365
Participant contributions at beginning of year2018-12-31$476,809
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$28
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$69,724
Other income not declared elsewhere2018-12-31$466
Total non interest bearing cash at end of year2018-12-31$2,476
Total non interest bearing cash at beginning of year2018-12-31$3,634
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-1,786,472
Value of net assets at end of year (total assets less liabilities)2018-12-31$52,676,263
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$54,462,735
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$74,703
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$40,999,771
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$43,584,504
Interest on participant loans2018-12-31$20,723
Value of interest in common/collective trusts at end of year2018-12-31$11,162,215
Value of interest in common/collective trusts at beginning of year2018-12-31$10,398,518
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-4,620,397
Net investment gain or loss from common/collective trusts2018-12-31$-244,475
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$893,388
Employer contributions (assets) at end of year2018-12-31$436
Employer contributions (assets) at beginning of year2018-12-31$34
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,137,817
Contract administrator fees2018-12-31$2,717
Liabilities. Value of benefit claims payable at end of year2018-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$792
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31ELKO & ASSOCIATES
Accountancy firm EIN2018-12-31233063393
2017 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$792
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$10,380,819
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$712,024
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$612,400
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,919,947
Value of total assets at end of year2017-12-31$54,463,527
Value of total assets at beginning of year2017-12-31$44,793,940
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$99,624
Total interest from all sources2017-12-31$20,544
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$2,442,049
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$2,442,049
Administrative expenses professional fees incurred2017-12-31$26,622
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,747,943
Participant contributions at end of year2017-12-31$476,809
Participant contributions at beginning of year2017-12-31$456,621
Participant contributions at end of year2017-12-31$28
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$285,884
Other income not declared elsewhere2017-12-31$18,391
Total non interest bearing cash at end of year2017-12-31$3,634
Total non interest bearing cash at beginning of year2017-12-31$9,344
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$9,668,795
Value of net assets at end of year (total assets less liabilities)2017-12-31$54,462,735
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$44,793,940
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$43,584,504
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$38,179,067
Interest on participant loans2017-12-31$20,544
Value of interest in common/collective trusts at end of year2017-12-31$10,398,518
Value of interest in common/collective trusts at beginning of year2017-12-31$6,148,908
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$4,471,707
Net investment gain or loss from common/collective trusts2017-12-31$508,181
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$886,120
Employer contributions (assets) at end of year2017-12-31$34
Employer contributions (assets) at beginning of year2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$612,400
Contract administrator fees2017-12-31$73,002
Liabilities. Value of benefit claims payable at end of year2017-12-31$792
Liabilities. Value of benefit claims payable at beginning of year2017-12-31$0
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31ELKO & ASSOCIATES
Accountancy firm EIN2017-12-31233063393
2016 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$500
Total income from all sources (including contributions)2016-12-31$5,997,644
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$989,070
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$889,486
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,824,308
Value of total assets at end of year2016-12-31$44,793,940
Value of total assets at beginning of year2016-12-31$39,785,866
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$99,584
Total interest from all sources2016-12-31$21,404
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,003,289
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$2,003,289
Administrative expenses professional fees incurred2016-12-31$37,706
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,697,322
Participant contributions at end of year2016-12-31$456,621
Participant contributions at beginning of year2016-12-31$499,270
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$212,701
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$500
Other income not declared elsewhere2016-12-31$33,425
Total non interest bearing cash at end of year2016-12-31$9,344
Total non interest bearing cash at beginning of year2016-12-31$62,525
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$5,008,574
Value of net assets at end of year (total assets less liabilities)2016-12-31$44,793,940
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$39,785,366
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$61,878
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$38,179,067
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$36,104,791
Interest on participant loans2016-12-31$21,404
Value of interest in common/collective trusts at end of year2016-12-31$6,148,908
Value of interest in common/collective trusts at beginning of year2016-12-31$3,119,280
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,052,353
Net investment gain or loss from common/collective trusts2016-12-31$62,865
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$914,285
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$889,486
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31ELKO & ASSOCIATES
Accountancy firm EIN2016-12-31233063393
2015 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$500
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$300
Total income from all sources (including contributions)2015-12-31$3,099,853
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,502,056
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,403,609
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,596,421
Value of total assets at end of year2015-12-31$39,785,866
Value of total assets at beginning of year2015-12-31$38,187,869
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$98,447
Total interest from all sources2015-12-31$19,696
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$2,309,165
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$2,309,165
Administrative expenses professional fees incurred2015-12-31$39,672
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,670,700
Participant contributions at end of year2015-12-31$499,270
Participant contributions at beginning of year2015-12-31$428,790
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$6,297
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$500
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$300
Other income not declared elsewhere2015-12-31$37,407
Total non interest bearing cash at end of year2015-12-31$62,525
Total non interest bearing cash at beginning of year2015-12-31$12,150
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$1,597,797
Value of net assets at end of year (total assets less liabilities)2015-12-31$39,785,366
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$38,187,569
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$58,775
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$36,104,791
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$34,866,965
Interest on participant loans2015-12-31$19,696
Value of interest in common/collective trusts at end of year2015-12-31$3,119,280
Value of interest in common/collective trusts at beginning of year2015-12-31$2,879,964
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,900,748
Net investment gain or loss from common/collective trusts2015-12-31$37,912
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$919,424
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,403,609
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31ELKO & ASSOCIATES
Accountancy firm EIN2015-12-31233063393
2014 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$300
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$5,398,063
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$1,227,276
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,163,482
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,620,199
Value of total assets at end of year2014-12-31$38,187,869
Value of total assets at beginning of year2014-12-31$34,016,782
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$63,794
Total interest from all sources2014-12-31$16,694
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,167,552
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$2,167,552
Administrative expenses professional fees incurred2014-12-31$10,394
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,612,397
Participant contributions at end of year2014-12-31$428,790
Participant contributions at beginning of year2014-12-31$455,252
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$183,529
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$300
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Administrative expenses (other) incurred2014-12-31$4
Total non interest bearing cash at end of year2014-12-31$12,150
Total non interest bearing cash at beginning of year2014-12-31$34,238
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$4,170,787
Value of net assets at end of year (total assets less liabilities)2014-12-31$38,187,569
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$34,016,782
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$53,396
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$34,866,965
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$30,346,675
Interest on participant loans2014-12-31$16,694
Value of interest in common/collective trusts at end of year2014-12-31$2,879,964
Value of interest in common/collective trusts at beginning of year2014-12-31$3,180,617
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$567,446
Net investment gain or loss from common/collective trusts2014-12-31$26,172
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$824,273
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,163,482
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31ELKO & ASSOCIATES
Accountancy firm EIN2014-12-31233063393
2013 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
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$3,643
Total income from all sources (including contributions)2013-12-31$7,978,397
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$1,087,729
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,004,967
Expenses. Certain deemed distributions of participant loans2013-12-31$37,789
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,421,505
Value of total assets at end of year2013-12-31$34,016,782
Value of total assets at beginning of year2013-12-31$27,129,757
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$44,973
Total interest from all sources2013-12-31$20,445
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$1,189,078
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$1,189,078
Administrative expenses professional fees incurred2013-12-31$600
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,608,343
Participant contributions at end of year2013-12-31$455,252
Participant contributions at beginning of year2013-12-31$495,216
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$24,307
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$100
Administrative expenses (other) incurred2013-12-31$0
Total non interest bearing cash at end of year2013-12-31$34,238
Total non interest bearing cash at beginning of year2013-12-31$12,536
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$6,890,668
Value of net assets at end of year (total assets less liabilities)2013-12-31$34,016,782
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$27,126,114
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$44,373
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$30,346,675
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$23,075,980
Interest on participant loans2013-12-31$20,445
Value of interest in common/collective trusts at end of year2013-12-31$3,180,617
Value of interest in common/collective trusts at beginning of year2013-12-31$3,232,432
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$313,593
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$313,593
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$4,322,221
Net investment gain or loss from common/collective trusts2013-12-31$25,148
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$788,855
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,004,967
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$3,543
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31ELKO & ASSOCIATES LTD.
Accountancy firm EIN2013-12-31233063393
2012 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$3,643
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$300
Total income from all sources (including contributions)2012-12-31$4,958,921
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,689,116
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,650,475
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$2,218,930
Value of total assets at end of year2012-12-31$27,129,757
Value of total assets at beginning of year2012-12-31$23,856,609
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$38,641
Total interest from all sources2012-12-31$18,693
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$924,869
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$924,869
Administrative expenses professional fees incurred2012-12-31$600
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,497,759
Participant contributions at end of year2012-12-31$495,216
Participant contributions at beginning of year2012-12-31$398,836
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$2,526
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$100
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$300
Total non interest bearing cash at end of year2012-12-31$12,536
Total non interest bearing cash at beginning of year2012-12-31$2,536
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$3,269,805
Value of net assets at end of year (total assets less liabilities)2012-12-31$27,126,114
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$23,856,309
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$38,041
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$23,075,980
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$20,265,809
Interest on participant loans2012-12-31$18,664
Value of interest in common/collective trusts at end of year2012-12-31$3,232,432
Value of interest in common/collective trusts at beginning of year2012-12-31$2,927,172
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$313,593
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$261,015
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$261,015
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$29
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,780,553
Net investment gain or loss from common/collective trusts2012-12-31$15,876
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$718,645
Employer contributions (assets) at beginning of year2012-12-31$1,241
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,650,475
Liabilities. Value of benefit claims payable at end of year2012-12-31$3,543
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31ELKO & ASSOCIATES LTD.
Accountancy firm EIN2012-12-31233063393
2011 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$300
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$2,422,149
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,085,818
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,049,305
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$2,491,409
Value of total assets at end of year2011-12-31$23,856,609
Value of total assets at beginning of year2011-12-31$23,519,978
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$36,513
Total interest from all sources2011-12-31$16,491
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$783,733
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$783,733
Administrative expenses professional fees incurred2011-12-31$400
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,554,988
Participant contributions at end of year2011-12-31$398,836
Participant contributions at beginning of year2011-12-31$382,508
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$216,820
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$300
Total non interest bearing cash at end of year2011-12-31$2,536
Total non interest bearing cash at beginning of year2011-12-31$182,904
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$336,331
Value of net assets at end of year (total assets less liabilities)2011-12-31$23,856,309
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$23,519,978
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$36,113
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$20,265,809
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$20,140,386
Interest on participant loans2011-12-31$16,471
Value of interest in common/collective trusts at end of year2011-12-31$2,927,172
Value of interest in common/collective trusts at beginning of year2011-12-31$2,814,180
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$261,015
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$20
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-982,836
Net investment gain or loss from common/collective trusts2011-12-31$113,352
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$719,601
Employer contributions (assets) at end of year2011-12-31$1,241
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,049,305
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31CHODOR CPA, PC
Accountancy firm EIN2011-12-31270312364
2010 : DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$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$5,457,392
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$854,597
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$822,755
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$2,594,211
Value of total assets at end of year2010-12-31$23,519,978
Value of total assets at beginning of year2010-12-31$18,917,183
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$31,842
Total interest from all sources2010-12-31$15,635
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Administrative expenses professional fees incurred2010-12-31$31,842
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,606,414
Participant contributions at end of year2010-12-31$382,508
Participant contributions at beginning of year2010-12-31$268,527
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$28,626
Total non interest bearing cash at end of year2010-12-31$182,904
Total non interest bearing cash at beginning of year2010-12-31$17,700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$4,602,795
Value of net assets at end of year (total assets less liabilities)2010-12-31$23,519,978
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$18,917,183
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$20,140,386
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$15,957,199
Income. Interest from loans (other than to participants)2010-12-31$15,635
Value of interest in common/collective trusts at end of year2010-12-31$2,814,180
Value of interest in common/collective trusts at beginning of year2010-12-31$2,673,757
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$2,784,020
Net investment gain or loss from common/collective trusts2010-12-31$63,526
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$959,171
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$822,755
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31CHODOR CPA, P.C.
Accountancy firm EIN2010-12-31270312364

Form 5500 Responses for DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN

2023: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: DZ BANK AG, NEW YORK BRANCH 401K SAVINGS AND INVESTMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes

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