401k Plan data: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN plan

DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 401k Plan overview

Plan Name	DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN
Plan identification number	001

DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC has sponsored the creation of one or more 401k plans.

Company Name: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC

Employer identification number (EIN): 134021240

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 TIMOTHY LEVART
001 2012-01-01 TIMOTHY LEVART
001 2011-01-01 TIMOTHY LEVART
001 2009-01-01 TIMOTHY LEVART

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	TIMOTHY LEVART
001	2012-01-01	TIMOTHY LEVART
001	2011-01-01	TIMOTHY LEVART
001	2009-01-01	TIMOTHY LEVART

Plan Statistics for DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN

401k plan membership statisitcs for DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN

Measure Date Value
2013: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 201
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 172
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 47
Total of all active and inactive participants 2013-01-01 219
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 219
Number of participants with account balances 2013-01-01 200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 202
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 161
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 40
Total of all active and inactive participants 2012-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 201
Number of participants with account balances 2012-01-01 193
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 186
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 152
Number of other retired or separated participants entitled to future benefits 2011-01-01 50
Total of all active and inactive participants 2011-01-01 202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 202
Number of participants with account balances 2011-01-01 198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 163
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 128
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 45
Total of all active and inactive participants 2009-01-01 173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 173
Number of participants with account balances 2009-01-01 173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	201
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	172
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	47
Total of all active and inactive participants	2013-01-01	219
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	219
Number of participants with account balances	2013-01-01	200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	202
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	161
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	40
Total of all active and inactive participants	2012-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	201
Number of participants with account balances	2012-01-01	193
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	186
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	152
Number of other retired or separated participants entitled to future benefits	2011-01-01	50
Total of all active and inactive participants	2011-01-01	202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	202
Number of participants with account balances	2011-01-01	198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	163
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	128
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	45
Total of all active and inactive participants	2009-01-01	173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	173
Number of participants with account balances	2009-01-01	173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN

Measure	Date	Value
2013 : DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$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	$0
Total income from all sources (including contributions)	2013-12-31	$11,925,516
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,898,198
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,842,453
Value of total corrective distributions	2013-12-31	$54,995
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$5,479,313
Value of total assets at end of year	2013-12-31	$52,436,033
Value of total assets at beginning of year	2013-12-31	$42,408,715
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$750
Total interest from all sources	2013-12-31	$7,394
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$434,195
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$434,195
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,978,460
Participant contributions at end of year	2013-12-31	$243,616
Participant contributions at beginning of year	2013-12-31	$113,692
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$32,009,650
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$26,573,212
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$283,349
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$37,046
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$3,535,135
Administrative expenses (other) incurred	2013-12-31	$750
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$10,027,318
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$52,436,033
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$42,408,715
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$14,048,200
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$9,010,639
Interest on participant loans	2013-12-31	$7,007
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$3,157,440
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$3,832,817
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$3,832,817
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$387
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,469,479
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$3,217,504
Employer contributions (assets) at end of year	2013-12-31	$2,940,081
Employer contributions (assets) at beginning of year	2013-12-31	$2,878,355
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,842,453
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	KPMG, LLP
Accountancy firm EIN	2013-12-31	135565207
2012 : DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$9,516,001
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,361,576
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,361,274
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$5,833,694
Value of total assets at end of year	2012-12-31	$42,408,715
Value of total assets at beginning of year	2012-12-31	$35,254,290
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$302
Total interest from all sources	2012-12-31	$7,796
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$188,355
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$188,355
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,903,463
Participant contributions at end of year	2012-12-31	$113,692
Participant contributions at beginning of year	2012-12-31	$95,600
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$26,573,212
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$21,200,263
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$785,705
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$1,647
Other income not declared elsewhere	2012-12-31	$2,528,792
Administrative expenses (other) incurred	2012-12-31	$302
Total non interest bearing cash at beginning of year	2012-12-31	$798
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$7,154,425
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$42,408,715
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$35,254,290
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$9,010,639
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,233,164
Interest on participant loans	2012-12-31	$6,148
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$3,832,817
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$3,900,002
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$3,900,002
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$1,648
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$957,364
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$3,144,526
Employer contributions (assets) at end of year	2012-12-31	$2,878,355
Employer contributions (assets) at beginning of year	2012-12-31	$2,822,816
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,361,274
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	Yes
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	ROTHSTEIN KASS
Accountancy firm EIN	2012-12-31	222131009
2011 : DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$53,247
Total income from all sources (including contributions)	2011-12-31	$5,530,091
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,441,221
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,439,003
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$5,207,565
Value of total assets at end of year	2011-12-31	$35,254,290
Value of total assets at beginning of year	2011-12-31	$31,218,667
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,218
Total interest from all sources	2011-12-31	$4,004
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$242,240
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$242,240
Administrative expenses professional fees incurred	2011-12-31	$2,100
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,778,602
Participant contributions at end of year	2011-12-31	$95,600
Participant contributions at beginning of year	2011-12-31	$99,047
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$21,200,263
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$22,421,827
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$335,679
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$1,647
Administrative expenses (other) incurred	2011-12-31	$118
Total non interest bearing cash at end of year	2011-12-31	$798
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$4,088,870
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$35,254,290
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$31,165,420
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$7,233,164
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$5,682,243
Interest on participant loans	2011-12-31	$4,004
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$3,900,002
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$660,379
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$660,379
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$76,282
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$3,093,284
Employer contributions (assets) at end of year	2011-12-31	$2,822,816
Employer contributions (assets) at beginning of year	2011-12-31	$2,355,171
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,439,003
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$53,247
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	ROTHSTEIN, KASS & COMPANY
Accountancy firm EIN	2011-12-31	222131009
2010 : DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$53,247
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$172,908
Total income from all sources (including contributions)	2010-12-31	$7,545,524
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$515,531
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$514,727
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$4,234,051
Value of total assets at end of year	2010-12-31	$31,218,667
Value of total assets at beginning of year	2010-12-31	$24,308,335
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$804
Total interest from all sources	2010-12-31	$5,044
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$100,303
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$100,303
Administrative expenses professional fees incurred	2010-12-31	$800
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,516,103
Participant contributions at end of year	2010-12-31	$99,047
Participant contributions at beginning of year	2010-12-31	$102,779
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$22,421,827
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$18,021,413
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$362,777
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$1,315
Other income not declared elsewhere	2010-12-31	$2,596,410
Administrative expenses (other) incurred	2010-12-31	$4
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$7,029,993
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$31,165,420
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$24,135,427
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$5,682,243
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$4,230,124
Interest on participant loans	2010-12-31	$4,972
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$660,379
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$77,778
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$77,778
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$72
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$609,716
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$2,355,171
Employer contributions (assets) at end of year	2010-12-31	$2,355,171
Employer contributions (assets) at beginning of year	2010-12-31	$1,874,926
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$514,727
Liabilities. Value of benefit claims payable at end of year	2010-12-31	$53,247
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$172,908
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	ROTHSTEIN, KASS & COMPANY
Accountancy firm EIN	2010-12-31	222131009
2009 : DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN

2013: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	DAVIDSON KEMPNER CAPITAL MANAGEMENT LLC
Employer identification number (EIN):	134021240
NAIC Classification:	523120
NAIC Description:	Securities Brokerage