401k Plan data: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN plan

KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING 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.
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.
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

KKR FINANCIAL SERVICES COMPANY LLC has sponsored the creation of one or more 401k plans.

Company Name: KKR FINANCIAL SERVICES COMPANY LLC

Employer identification number (EIN): 260553248

NAIC Classification: 541219
NAIC Description: Other Accounting Services

Additional information about KKR FINANCIAL SERVICES COMPANY LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 4330248

More information about KKR FINANCIAL SERVICES COMPANY LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 JAMES GOLDRICK 2023-10-06
001 2021-01-01 JAMES GOLDRICK 2022-09-23
001 2020-01-01 JAMES GOLDRICK 2021-09-29
001 2019-01-01 JAMES GOLDRICK 2020-10-08
001 2018-01-01 JAMES GOLDRICK 2019-10-14
001 2017-01-01 JAMES GOLDRICK 2018-10-03
001 2016-01-01 JAMES GOLDRICK 2017-09-21
001 2015-01-01 JAMES GOLDRICK 2016-10-04
001 2014-01-01 NANCY CONTI
001 2014-01-01 NANCY CONTI
001 2013-01-01 NANCY CONTI
001 2012-01-01 JAMES GOLDRICK
001 2011-01-01 JAMES GOLDRICK
001 2009-01-01 JAMES GOLDRICK
001 2009-01-01 JAMES GOLDRICK

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	JAMES GOLDRICK	2023-10-06
001	2021-01-01	JAMES GOLDRICK	2022-09-23
001	2020-01-01	JAMES GOLDRICK	2021-09-29
001	2019-01-01	JAMES GOLDRICK	2020-10-08
001	2018-01-01	JAMES GOLDRICK	2019-10-14
001	2017-01-01	JAMES GOLDRICK	2018-10-03
001	2016-01-01	JAMES GOLDRICK	2017-09-21
001	2015-01-01	JAMES GOLDRICK	2016-10-04
001	2014-01-01	NANCY CONTI
001	2014-01-01	NANCY CONTI
001	2013-01-01	NANCY CONTI
001	2012-01-01	JAMES GOLDRICK
001	2011-01-01	JAMES GOLDRICK
001	2009-01-01	JAMES GOLDRICK
001	2009-01-01	JAMES GOLDRICK

Plan Statistics for KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 32
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 5
Total of all active and inactive participants 2014-01-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 37
Number of participants with account balances 2014-01-01 37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 31
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 5
Total of all active and inactive participants 2013-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 36
Number of participants with account balances 2013-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 31
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 4
Total of all active and inactive participants 2012-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 35
Number of participants with account balances 2012-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 31
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 3
Total of all active and inactive participants 2011-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 34
Number of participants with account balances 2011-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 29
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 4
Total of all active and inactive participants 2009-01-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 33
Number of participants with account balances 2009-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 3

Measure	Date	Value
2014: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	32
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	5
Total of all active and inactive participants	2014-01-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	37
Number of participants with account balances	2014-01-01	37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	31
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	5
Total of all active and inactive participants	2013-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	36
Number of participants with account balances	2013-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	31
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	4
Total of all active and inactive participants	2012-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	35
Number of participants with account balances	2012-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	31
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	3
Total of all active and inactive participants	2011-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	34
Number of participants with account balances	2011-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	29
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	4
Total of all active and inactive participants	2009-01-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	33
Number of participants with account balances	2009-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	3

Financial Data on KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$1,109,528
Expenses. Total of all expenses incurred	2014-12-31	$629,290
Benefits paid (including direct rollovers)	2014-12-31	$629,505
Total plan assets at end of year	2014-12-31	$7,324,460
Total plan assets at beginning of year	2014-12-31	$6,844,222
Value of fidelity bond covering the plan	2014-12-31	$15,000,000
Total contributions received or receivable from participants	2014-12-31	$363,833
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$79,114
Other income received	2014-12-31	$324,007
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$480,238
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$7,324,460
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$6,844,222
Assets. Value of participant loans	2014-12-31	$71,050
Total contributions received or receivable from employer(s)	2014-12-31	$342,574
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$-215
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING 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	$1,755,183
Expenses. Total of all expenses incurred	2013-12-31	$269,426
Benefits paid (including direct rollovers)	2013-12-31	$271,460
Total plan assets at end of year	2013-12-31	$6,844,222
Total plan assets at beginning of year	2013-12-31	$5,358,465
Value of fidelity bond covering the plan	2013-12-31	$15,000,000
Total contributions received or receivable from participants	2013-12-31	$359,985
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$141,014
Other income received	2013-12-31	$886,173
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$1,485,757
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$6,844,222
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$5,358,465
Assets. Value of participant loans	2013-12-31	$63,351
Total contributions received or receivable from employer(s)	2013-12-31	$368,011
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	$-2,034
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,144,004
Expenses. Total of all expenses incurred	2012-12-31	$125
Total plan assets at end of year	2012-12-31	$5,358,465
Total plan assets at beginning of year	2012-12-31	$4,214,586
Value of fidelity bond covering the plan	2012-12-31	$15,000,000
Total contributions received or receivable from participants	2012-12-31	$346,671
Other income received	2012-12-31	$449,827
Net income (gross income less expenses)	2012-12-31	$1,143,879
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$5,358,465
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$4,214,586
Assets. Value of participant loans	2012-12-31	$61,823
Total contributions received or receivable from employer(s)	2012-12-31	$347,506
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$125
2011 : KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$489,494
Expenses. Total of all expenses incurred	2011-12-31	$15,396
Benefits paid (including direct rollovers)	2011-12-31	$15,291
Total plan assets at end of year	2011-12-31	$4,214,586
Total plan assets at beginning of year	2011-12-31	$3,740,488
Value of fidelity bond covering the plan	2011-12-31	$15,000,000
Total contributions received or receivable from participants	2011-12-31	$289,073
Other income received	2011-12-31	$-126,379
Net income (gross income less expenses)	2011-12-31	$474,098
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$4,214,586
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,740,488
Assets. Value of participant loans	2011-12-31	$80,392
Total contributions received or receivable from employer(s)	2011-12-31	$326,800
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$105
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$892,244
Expenses. Total of all expenses incurred	2010-12-31	$8,054
Benefits paid (including direct rollovers)	2010-12-31	$7,948
Total plan assets at end of year	2010-12-31	$3,740,488
Total plan assets at beginning of year	2010-12-31	$2,856,298
Value of fidelity bond covering the plan	2010-12-31	$15,000,000
Total contributions received or receivable from participants	2010-12-31	$264,510
Contributions received from other sources (not participants or employers)	2010-12-31	$7,005
Other income received	2010-12-31	$319,090
Net income (gross income less expenses)	2010-12-31	$884,190
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,740,488
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,856,298
Assets. Value of participant loans	2010-12-31	$50,996
Total contributions received or receivable from employer(s)	2010-12-31	$301,639
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$106
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING 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 KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN

2014: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Mulitple employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Mulitple 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: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple 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: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple 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
2009: KKR FINANCIAL SERVICES COMPANY LLC 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Multi-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

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Company Name:	KKR FINANCIAL SERVICES COMPANY LLC
Employer identification number (EIN):	260553248
NAIC Classification:	541219
NAIC Description:	Other Accounting Services

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	4330248