401k Plan data: EPOCH HOLDING CORPORATION 401(K) PLAN plan

EPOCH HOLDING CORPORATION 401(K) PLAN 401k Plan overview

Plan Name	EPOCH HOLDING CORPORATION 401(K) PLAN
Plan identification number	001

EPOCH HOLDING CORPORATION 401(K) PLAN Benefits

401k Plan Type

Defined 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

EPOCH HOLDING CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: EPOCH HOLDING CORPORATION

Employer identification number (EIN): 201938886

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EPOCH HOLDING CORPORATION 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 ADAM BORAK
001 2012-01-01 ADAM BORAK ADAM BORAK 2013-06-10
001 2011-01-01 ADAM BORAK
001 2010-01-01 ADAM BORAK
001 2009-01-01 ADAM BORAK

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2013-01-01	ADAM BORAK
001	2012-01-01	ADAM BORAK	ADAM BORAK	2013-06-10
001	2011-01-01	ADAM BORAK
001	2010-01-01	ADAM BORAK
001	2009-01-01	ADAM BORAK

Plan Statistics for EPOCH HOLDING CORPORATION 401(K) PLAN

401k plan membership statisitcs for EPOCH HOLDING CORPORATION 401(K) PLAN

Measure Date Value
2013: EPOCH HOLDING CORPORATION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 94
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 73
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 29
Total of all active and inactive participants 2013-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 102
Number of participants with account balances 2013-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: EPOCH HOLDING CORPORATION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 86
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 64
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 30
Total of all active and inactive participants 2012-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 94
Number of participants with account balances 2012-01-01 94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: EPOCH HOLDING CORPORATION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 81
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 62
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 24
Total of all active and inactive participants 2011-01-01 86
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 86
Number of participants with account balances 2011-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: EPOCH HOLDING CORPORATION 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 74
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 54
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 27
Total of all active and inactive participants 2010-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 81
Number of participants with account balances 2010-01-01 77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: EPOCH HOLDING CORPORATION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 80
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 48
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 26
Total of all active and inactive participants 2009-01-01 74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 74
Number of participants with account balances 2009-01-01 70
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: EPOCH HOLDING CORPORATION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	94
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	73
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	29
Total of all active and inactive participants	2013-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	102
Number of participants with account balances	2013-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: EPOCH HOLDING CORPORATION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	86
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	64
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	30
Total of all active and inactive participants	2012-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	94
Number of participants with account balances	2012-01-01	94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: EPOCH HOLDING CORPORATION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	81
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	62
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	24
Total of all active and inactive participants	2011-01-01	86
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	86
Number of participants with account balances	2011-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: EPOCH HOLDING CORPORATION 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	74
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	54
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	27
Total of all active and inactive participants	2010-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	81
Number of participants with account balances	2010-01-01	77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: EPOCH HOLDING CORPORATION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	80
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	48
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	26
Total of all active and inactive participants	2009-01-01	74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	74
Number of participants with account balances	2009-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on EPOCH HOLDING CORPORATION 401(K) PLAN

Measure	Date	Value
2013 : EPOCH HOLDING CORPORATION 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$5,000,579
Expenses. Total of all expenses incurred	2013-12-31	$925,635
Benefits paid (including direct rollovers)	2013-12-31	$924,065
Total plan assets at end of year	2013-12-31	$12,775,909
Total plan assets at beginning of year	2013-12-31	$8,700,965
Value of fidelity bond covering the plan	2013-12-31	$5,000,000
Total contributions received or receivable from participants	2013-12-31	$1,123,942
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$476,897
Other income received	2013-12-31	$2,246,651
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$4,074,944
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$12,775,909
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$8,700,965
Assets. Value of participant loans	2013-12-31	$112,853
Total contributions received or receivable from employer(s)	2013-12-31	$1,153,089
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$1,570
2012 : EPOCH HOLDING CORPORATION 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$3,025,862
Expenses. Total of all expenses incurred	2012-12-31	$103,915
Benefits paid (including direct rollovers)	2012-12-31	$102,397
Total plan assets at end of year	2012-12-31	$8,700,965
Total plan assets at beginning of year	2012-12-31	$5,779,018
Value of fidelity bond covering the plan	2012-12-31	$5,000,000
Total contributions received or receivable from participants	2012-12-31	$992,361
Contributions received from other sources (not participants or employers)	2012-12-31	$142,477
Other income received	2012-12-31	$779,257
Net income (gross income less expenses)	2012-12-31	$2,921,947
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$8,700,965
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$5,779,018
Assets. Value of participant loans	2012-12-31	$66,574
Total contributions received or receivable from employer(s)	2012-12-31	$1,111,767
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$1,518
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : EPOCH HOLDING CORPORATION 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$1,456,079
Expenses. Total of all expenses incurred	2011-12-31	$299,922
Benefits paid (including direct rollovers)	2011-12-31	$298,671
Total plan assets at end of year	2011-12-31	$5,779,018
Total plan assets at beginning of year	2011-12-31	$4,622,861
Value of fidelity bond covering the plan	2011-12-31	$5,000,000
Total contributions received or receivable from participants	2011-12-31	$737,152
Contributions received from other sources (not participants or employers)	2011-12-31	$31,178
Other income received	2011-12-31	$-259,001
Net income (gross income less expenses)	2011-12-31	$1,156,157
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$5,779,018
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$4,622,861
Assets. Value of participant loans	2011-12-31	$12,778
Total contributions received or receivable from employer(s)	2011-12-31	$946,750
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$1,251
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : EPOCH HOLDING CORPORATION 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$1,723,607
Expenses. Total of all expenses incurred	2010-12-31	$255,730
Benefits paid (including direct rollovers)	2010-12-31	$254,439
Total plan assets at end of year	2010-12-31	$4,622,861
Total plan assets at beginning of year	2010-12-31	$3,154,984
Value of fidelity bond covering the plan	2010-12-31	$3,000,000
Total contributions received or receivable from participants	2010-12-31	$696,238
Contributions received from other sources (not participants or employers)	2010-12-31	$382,566
Other income received	2010-12-31	$512,803
Net income (gross income less expenses)	2010-12-31	$1,467,877
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$4,622,861
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,154,984
Assets. Value of participant loans	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$132,000
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$1,291
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : EPOCH HOLDING CORPORATION 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 EPOCH HOLDING CORPORATION 401(K) PLAN

2013: EPOCH HOLDING CORPORATION 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: EPOCH HOLDING CORPORATION 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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: EPOCH HOLDING CORPORATION 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: EPOCH HOLDING CORPORATION 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: EPOCH HOLDING CORPORATION 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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	EPOCH HOLDING CORPORATION
Employer identification number (EIN):	201938886
NAIC Classification:	523900