401k Plan data: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST plan

MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 401k Plan overview

Plan Name	MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST
Plan identification number	001

MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.

401k Sponsoring company profile

MEDLEY CAPITAL LLC has sponsored the creation of one or more 401k plans.

Company Name: MEDLEY CAPITAL LLC

Employer identification number (EIN): 204276388

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 MARK GIULIANI 2018-10-10 VARDA VAREJAO-KUNZ 2018-10-10
001 2016-01-01 MARK GIULIANI 2017-10-12 VARDA VAREJAO-KUNZ 2017-10-12
001 2015-01-01 MARK GIULIANI 2016-09-21 MARK GIULIANI 2016-09-21
001 2014-01-01 MARK GIULIANI 2015-11-19 MARK GIULIANI 2015-11-19
001 2013-01-01 MARK GIULIANI 2015-11-18 MARK GIULIANI 2015-11-18
001 2012-01-01 MEDLEY CAPITAL L L C 2013-08-15
001 2011-01-01 MEDLEY CAPITAL L L C 2012-07-30
001 2010-01-01 JASON WONG 2012-05-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	MARK GIULIANI	2018-10-10	VARDA VAREJAO-KUNZ	2018-10-10
001	2016-01-01	MARK GIULIANI	2017-10-12	VARDA VAREJAO-KUNZ	2017-10-12
001	2015-01-01	MARK GIULIANI	2016-09-21	MARK GIULIANI	2016-09-21
001	2014-01-01	MARK GIULIANI	2015-11-19	MARK GIULIANI	2015-11-19
001	2013-01-01	MARK GIULIANI	2015-11-18	MARK GIULIANI	2015-11-18
001	2012-01-01	MEDLEY CAPITAL L L C	2013-08-15
001	2011-01-01	MEDLEY CAPITAL L L C	2012-07-30
001	2010-01-01	JASON WONG	2012-05-15

Plan Statistics for MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST

401k plan membership statisitcs for MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST

Measure Date Value
2021: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2021 401k membership
Total participants, beginning-of-year 2021-01-01 105
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 0
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 0
Total of all active and inactive participants 2021-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 0
Number of participants with account balances 2021-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2020 401k membership
Total participants, beginning-of-year 2020-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 45
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 55
Total of all active and inactive participants 2020-01-01 100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 100
Number of participants with account balances 2020-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2019 401k membership
Total participants, beginning-of-year 2019-01-01 138
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 63
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 48
Total of all active and inactive participants 2019-01-01 111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 111
Number of participants with account balances 2019-01-01 105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2018 401k membership
Total participants, beginning-of-year 2018-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 75
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 47
Total of all active and inactive participants 2018-01-01 122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 122
Number of participants with account balances 2018-01-01 110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0

Measure	Date	Value
2021: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2021 401k membership
Total participants, beginning-of-year	2021-01-01	105
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	0
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	0
Total of all active and inactive participants	2021-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	0
Number of participants with account balances	2021-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2020 401k membership
Total participants, beginning-of-year	2020-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	45
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	55
Total of all active and inactive participants	2020-01-01	100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	100
Number of participants with account balances	2020-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2019 401k membership
Total participants, beginning-of-year	2019-01-01	138
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	63
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	48
Total of all active and inactive participants	2019-01-01	111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	111
Number of participants with account balances	2019-01-01	105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2018 401k membership
Total participants, beginning-of-year	2018-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	75
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	47
Total of all active and inactive participants	2018-01-01	122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	122
Number of participants with account balances	2018-01-01	110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0

Financial Data on MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST

Measure	Date	Value
2021 : MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-21	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-21	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-21	$0
Total income from all sources (including contributions)	2021-12-21	$2,057,298
Total loss/gain on sale of assets	2021-12-21	$0
Total of all expenses incurred	2021-12-21	$13,127,888
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-21	$13,082,684
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-21	$453,374
Value of total assets at end of year	2021-12-21	$0
Value of total assets at beginning of year	2021-12-21	$11,070,590
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-21	$45,204
Total interest from all sources	2021-12-21	$4,373
Total dividends received (eg from common stock, registered investment company shares)	2021-12-21	$12,514
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-21	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2021-12-21	$0
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-21	$12,514
Was this plan covered by a fidelity bond	2021-12-21	Yes
Value of fidelity bond cover	2021-12-21	$1,000,000
If this is an individual account plan, was there a blackout period	2021-12-21	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-21	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-21	No
Contributions received from participants	2021-12-21	$408,902
Participant contributions at beginning of year	2021-12-21	$50,067
Participant contributions at beginning of year	2021-12-21	$7,529
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-21	$44,472
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-21	No
Value of net income/loss	2021-12-21	$-11,070,590
Value of net assets at end of year (total assets less liabilities)	2021-12-21	$0
Value of net assets at beginning of year (total assets less liabilities)	2021-12-21	$11,070,590
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-21	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-21	No
Were any leases to which the plan was party in default or uncollectible	2021-12-21	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-21	$2,392,348
Interest on participant loans	2021-12-21	$1,994
Interest earned on other investments	2021-12-21	$2,379
Value of interest in common/collective trusts at beginning of year	2021-12-21	$8,092,850
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-21	$240,675
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-21	$457,288
Net investment gain or loss from common/collective trusts	2021-12-21	$1,129,749
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-21	No
Was there a failure to transmit to the plan any participant contributions	2021-12-21	No
Has the plan failed to provide any benefit when due under the plan	2021-12-21	No
Employer contributions (assets) at beginning of year	2021-12-21	$287,121
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-21	$13,082,684
Contract administrator fees	2021-12-21	$45,204
Did the plan have assets held for investment	2021-12-21	No
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	2021-12-21	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-21	Yes
Opinion of an independent qualified public accountant for this plan	2021-12-21	Unqualified
Accountancy firm name	2021-12-21	WITHUM SMITH & BROWN, PC
Accountancy firm EIN	2021-12-21	222027092
2020 : MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets	2020-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$0
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets to this plan	2020-12-31	$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	$2,833,783
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$1,085,590
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,054,038
Expenses. Certain deemed distributions of participant loans	2020-12-31	$0
Value of total corrective distributions	2020-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,425,883
Value of total assets at end of year	2020-12-31	$11,070,590
Value of total assets at beginning of year	2020-12-31	$9,322,397
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$31,552
Total income from rents	2020-12-31	$0
Total interest from all sources	2020-12-31	$7,908
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$21,203
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$21,203
Administrative expenses professional fees incurred	2020-12-31	$0
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Amount of non-exempt transactions with any party-in-interest	2020-12-31	$0
Contributions received from participants	2020-12-31	$670,784
Participant contributions at end of year	2020-12-31	$50,067
Participant contributions at beginning of year	2020-12-31	$83,022
Participant contributions at end of year	2020-12-31	$7,529
Participant contributions at beginning of year	2020-12-31	$14,252
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$31,018
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2020-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$0
Other income not declared elsewhere	2020-12-31	$0
Administrative expenses (other) incurred	2020-12-31	$0
Liabilities. Value of operating payables at beginning of year	2020-12-31	$0
Total non interest bearing cash at end of year	2020-12-31	$0
Total non interest bearing cash at beginning of year	2020-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,748,193
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$11,070,590
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$9,322,397
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2020-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2020-12-31	$0
Investment advisory and management fees	2020-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$2,392,348
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$1,280,944
Value of interest in pooled separate accounts at end of year	2020-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$1,425,429
Interest on participant loans	2020-12-31	$5,635
Income. Interest from loans (other than to participants)	2020-12-31	$0
Interest earned on other investments	2020-12-31	$2,273
Income. Interest from US Government securities	2020-12-31	$0
Income. Interest from corporate debt instruments	2020-12-31	$0
Value of interest in common/collective trusts at end of year	2020-12-31	$8,092,850
Value of interest in common/collective trusts at beginning of year	2020-12-31	$6,485,412
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$240,675
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$33,338
Expenses. Payments to insurance carriers foe the provision of benefits	2020-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$562,500
Net investment gain/loss from pooled separate accounts	2020-12-31	$-263,267
Net investment gain or loss from common/collective trusts	2020-12-31	$1,079,556
Net gain/loss from 103.12 investment entities	2020-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$724,081
Employer contributions (assets) at end of year	2020-12-31	$287,121
Employer contributions (assets) at beginning of year	2020-12-31	$0
Income. Dividends from preferred stock	2020-12-31	$0
Income. Dividends from common stock	2020-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,054,038
Contract administrator fees	2020-12-31	$31,552
Liabilities. Value of benefit claims payable at beginning of year	2020-12-31	$0
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Aggregate proceeds on sale of assets	2020-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2020-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2020-12-31	$0
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	WITHUMSMITH + BROWN, PC
Accountancy firm EIN	2020-12-31	222027092
2019 : MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets	2019-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$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	$3,053,522
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$1,460,734
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$1,458,032
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Value of total corrective distributions	2019-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,313,958
Value of total assets at end of year	2019-12-31	$9,322,397
Value of total assets at beginning of year	2019-12-31	$7,729,609
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$2,702
Total income from rents	2019-12-31	$0
Total interest from all sources	2019-12-31	$7,387
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$15,467
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$15,467
Administrative expenses professional fees incurred	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Amount of non-exempt transactions with any party-in-interest	2019-12-31	$0
Contributions received from participants	2019-12-31	$657,524
Participant contributions at end of year	2019-12-31	$83,022
Participant contributions at beginning of year	2019-12-31	$124,005
Participant contributions at end of year	2019-12-31	$14,252
Participant contributions at beginning of year	2019-12-31	$8,559
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$134,255
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
Liabilities. Value of operating payables at beginning of year	2019-12-31	$0
Total non interest bearing cash at end of year	2019-12-31	$0
Total non interest bearing cash at beginning of year	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$1,592,788
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$9,322,397
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$7,729,609
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2019-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2019-12-31	$0
Investment advisory and management fees	2019-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$1,280,944
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$855,111
Value of interest in pooled separate accounts at end of year	2019-12-31	$1,425,429
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$1,513,688
Interest on participant loans	2019-12-31	$6,857
Income. Interest from loans (other than to participants)	2019-12-31	$0
Interest earned on other investments	2019-12-31	$530
Income. Interest from US Government securities	2019-12-31	$0
Income. Interest from corporate debt instruments	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$6,485,412
Value of interest in common/collective trusts at beginning of year	2019-12-31	$5,138,177
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$33,338
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$90,069
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$162,260
Net investment gain/loss from pooled separate accounts	2019-12-31	$360,202
Net investment gain or loss from common/collective trusts	2019-12-31	$1,194,248
Net gain/loss from 103.12 investment entities	2019-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$522,179
Employer contributions (assets) at end of year	2019-12-31	$0
Employer contributions (assets) at beginning of year	2019-12-31	$0
Income. Dividends from preferred stock	2019-12-31	$0
Income. Dividends from common stock	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$1,458,032
Contract administrator fees	2019-12-31	$2,702
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$0
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Aggregate proceeds on sale of assets	2019-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2019-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	WITHUMSMITH+BROWN, PC
Accountancy firm EIN	2019-12-31	222027092
2018 : MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$0
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$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	$0
Total income from all sources (including contributions)	2018-12-31	$838,150
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,053,906
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,052,314
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Value of total corrective distributions	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,542,734
Value of total assets at end of year	2018-12-31	$7,729,609
Value of total assets at beginning of year	2018-12-31	$7,945,365
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$1,592
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$4,390
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$13,553
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$13,553
Administrative expenses professional fees incurred	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Amount of non-exempt transactions with any party-in-interest	2018-12-31	$0
Contributions received from participants	2018-12-31	$733,584
Participant contributions at end of year	2018-12-31	$124,005
Participant contributions at beginning of year	2018-12-31	$12,662
Participant contributions at end of year	2018-12-31	$8,559
Participant contributions at beginning of year	2018-12-31	$16,745
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$264,913
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-12-31	$18,675
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$0
Liabilities. Value of operating payables at beginning of year	2018-12-31	$0
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-215,756
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$7,729,609
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$7,945,365
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2018-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2018-12-31	$0
Investment advisory and management fees	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$855,111
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$1,069,054
Value of interest in pooled separate accounts at end of year	2018-12-31	$1,513,688
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$1,522,097
Interest on participant loans	2018-12-31	$4,049
Income. Interest from loans (other than to participants)	2018-12-31	$0
Interest earned on other investments	2018-12-31	$341
Income. Interest from US Government securities	2018-12-31	$0
Income. Interest from corporate debt instruments	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$5,138,177
Value of interest in common/collective trusts at beginning of year	2018-12-31	$5,287,668
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$90,069
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$37,139
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-73,164
Net investment gain/loss from pooled separate accounts	2018-12-31	$-116,542
Net investment gain or loss from common/collective trusts	2018-12-31	$-532,821
Net gain/loss from 103.12 investment entities	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$544,237
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$0
Income. Dividends from preferred stock	2018-12-31	$0
Income. Dividends from common stock	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,033,639
Contract administrator fees	2018-12-31	$1,592
Liabilities. Value of benefit claims payable at beginning of year	2018-12-31	$0
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2018-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WITHUM SMITH & BROWN, PC
Accountancy firm EIN	2018-12-31	222027092

Form 5500 Responses for MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST

2021: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	Yes
2021-01-01	This submission is the final filing	Yes
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: MEDLEY CAPITAL L L C 401 K PROFIT SHARING PLAN TRUST 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

526163

Policy instance

Insurance contract or identification number	526163
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-21
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-21
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

526163

Policy instance

Insurance contract or identification number	526163
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-21
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-21
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

526163

Policy instance

Insurance contract or identification number	526163
Number of Individuals Covered	100
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $418
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $418
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	100
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $17
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $17
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

526163

Policy instance

Insurance contract or identification number	526163
Number of Individuals Covered	111
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $4,406
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,406
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	111
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $141
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $141
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

526163

Policy instance

Insurance contract or identification number	526163
Number of Individuals Covered	122
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $5,026
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,026
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	122
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $97
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $97
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

Potentially related plans

MEDLEY CAPITAL GROWTH ACCOUNT VCA-10 [EIN = 221211670]

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Company Name:	MEDLEY CAPITAL LLC
Employer identification number (EIN):	204276388
NAIC Classification:	523900