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ION TRADING, INC. 401(K) PLAN 401k Plan overview

Plan NameION TRADING, INC. 401(K) PLAN
Plan identification number 001

ION TRADING, INC. 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ION TRADING INC. has sponsored the creation of one or more 401k plans.

Company Name:ION TRADING INC.
Employer identification number (EIN):363080374
NAIC Classification:541511
NAIC Description:Custom Computer Programming Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ION TRADING, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01CHARLENE SUMPTER
0012017-01-01CHARLENE SUMPTER
0012016-01-01CHARLENE SUMPTER
0012016-01-01
0012016-01-01
0012015-12-01YADIRA PAYANO
0012015-12-01CHARLENE SUMPTER
0012014-12-01CHARLENE SUMPTER2018-12-03
0012014-01-01EDWARD TRIPLETT2015-10-09 EDWARD TRIPLETT2015-10-09
0012013-12-01CHARLENE SUMPTER
0012013-01-01PHIL BUCK2014-07-31 PHIL BUCK2014-07-31
0012012-12-01EDWARD TRIPLETT2015-10-08 EDWARD TRIPLETT2015-10-08
0012012-01-01PHIL BUCK2013-07-23 PHIL BUCK2013-07-23
0012011-12-01JAMES K LEARY2013-05-08 JAMES K LEARY2013-05-08
0012011-01-01PHIL BUCK2012-07-31 PHIL BUCK2012-07-31
0012010-12-01JAMES LEARY2012-05-08
0012010-01-01PHIL BUCK2011-07-25 PHIL BUCK2011-07-25

Plan Statistics for ION TRADING, INC. 401(K) PLAN

401k plan membership statisitcs for ION TRADING, INC. 401(K) PLAN

Measure Date Value
2017: ION TRADING, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01114
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-010
Total of all active and inactive participants2017-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-010
Number of participants with account balances2017-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: ION TRADING, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01125
Total number of active participants reported on line 7a of the Form 55002016-01-0172
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-0141
Total of all active and inactive participants2016-01-01114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01114
Number of participants with account balances2016-01-01106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: ION TRADING, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-12-01123
Total number of active participants reported on line 7a of the Form 55002015-12-0182
Number of retired or separated participants receiving benefits2015-12-010
Number of other retired or separated participants entitled to future benefits2015-12-0137
Total of all active and inactive participants2015-12-01119
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-12-010
Total participants2015-12-01119
Number of participants with account balances2015-12-0191
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-12-010
2013: ION TRADING, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-12-010
Total number of active participants reported on line 7a of the Form 55002013-12-0152
Number of retired or separated participants receiving benefits2013-12-010
Number of other retired or separated participants entitled to future benefits2013-12-0116
Total of all active and inactive participants2013-12-0168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-12-010
Total participants2013-12-0168
Number of participants with account balances2013-12-0158
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-12-010

Financial Data on ION TRADING, INC. 401(K) PLAN

Measure Date Value
2017 : ION TRADING, INC. 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-04-03$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-04-03$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-04-03$0
Total income from all sources (including contributions)2017-04-03$1,390,432
Total loss/gain on sale of assets2017-04-03$0
Total of all expenses incurred2017-04-03$21,143,225
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-04-03$21,141,071
Expenses. Certain deemed distributions of participant loans2017-04-03$0
Value of total corrective distributions2017-04-03$1,674
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-04-03$131,559
Value of total assets at end of year2017-04-03$0
Value of total assets at beginning of year2017-04-03$19,752,793
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-04-03$480
Total interest from all sources2017-04-03$25,934
Total dividends received (eg from common stock, registered investment company shares)2017-04-03$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-04-03Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2017-04-03$0
Total dividends received from registered investment company shares (eg mutual funds)2017-04-03$0
Administrative expenses professional fees incurred2017-04-03$0
Was this plan covered by a fidelity bond2017-04-03Yes
Value of fidelity bond cover2017-04-03$500,000
If this is an individual account plan, was there a blackout period2017-04-03Yes
Were there any nonexempt tranactions with any party-in-interest2017-04-03No
Contributions received from participants2017-04-03$129,885
Participant contributions at end of year2017-04-03$0
Participant contributions at beginning of year2017-04-03$78,431
Assets. Other investments not covered elsewhere at end of year2017-04-03$0
Assets. Other investments not covered elsewhere at beginning of year2017-04-03$0
Income. Received or receivable in cash from other sources (including rollovers)2017-04-03$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2017-04-03$18,440,554
Other income not declared elsewhere2017-04-03$205,886
Administrative expenses (other) incurred2017-04-03$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-04-03No
Value of net income/loss2017-04-03$-19,752,793
Value of net assets at end of year (total assets less liabilities)2017-04-03$0
Value of net assets at beginning of year (total assets less liabilities)2017-04-03$19,752,793
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-04-03No
Were any loans by the plan or fixed income obligations due to the plan in default2017-04-03No
Were any leases to which the plan was party in default or uncollectible2017-04-03No
Investment advisory and management fees2017-04-03$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-04-03$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-04-03$15,469,547
Value of interest in pooled separate accounts at end of year2017-04-03$0
Value of interest in pooled separate accounts at beginning of year2017-04-03$0
Interest on participant loans2017-04-03$692
Interest earned on other investments2017-04-03$25,242
Value of interest in common/collective trusts at end of year2017-04-03$0
Value of interest in common/collective trusts at beginning of year2017-04-03$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-04-03$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-04-03$4,204,815
Expenses. Payments to insurance carriers foe the provision of benefits2017-04-03$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-04-03$1,550
Net investment gain/loss from pooled separate accounts2017-04-03$1,025,503
Net investment gain or loss from common/collective trusts2017-04-03$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-04-03No
Was there a failure to transmit to the plan any participant contributions2017-04-03No
Has the plan failed to provide any benefit when due under the plan2017-04-03No
Assets. Invements in employer securities at end of year2017-04-03$0
Assets. Invements in employer securities at beginning of year2017-04-03$0
Contributions received in cash from employer2017-04-03$1,674
Income. Dividends from common stock2017-04-03$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-04-03$2,700,517
Contract administrator fees2017-04-03$480
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-04-03Yes
Did the plan have assets held for investment2017-04-03No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-04-03No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-04-03Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-04-03Yes
Opinion of an independent qualified public accountant for this plan2017-04-03Disclaimer
Accountancy firm name2017-04-03WILKIN & GUTTENPLAN, P.C.
Accountancy firm EIN2017-04-03222612018
2016 : ION TRADING, INC. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$8,177,179
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$2,068,400
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,067,390
Expenses. Certain deemed distributions of participant loans2016-12-31$0
Value of total corrective distributions2016-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$6,565,240
Value of total assets at end of year2016-12-31$19,752,793
Value of total assets at beginning of year2016-12-31$13,644,014
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,010
Total interest from all sources2016-12-31$117,869
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$0
Administrative expenses professional fees incurred2016-12-31$0
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$2,500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$584,082
Participant contributions at end of year2016-12-31$78,431
Participant contributions at beginning of year2016-12-31$258,043
Assets. Other investments not covered elsewhere at end of year2016-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$5,978,544
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2016-12-31$0
Other income not declared elsewhere2016-12-31$0
Administrative expenses (other) incurred2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$6,108,779
Value of net assets at end of year (total assets less liabilities)2016-12-31$19,752,793
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$13,644,014
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$15,469,547
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$9,954,069
Value of interest in pooled separate accounts at end of year2016-12-31$0
Value of interest in pooled separate accounts at beginning of year2016-12-31$0
Interest on participant loans2016-12-31$6,112
Interest earned on other investments2016-12-31$111,757
Value of interest in common/collective trusts at end of year2016-12-31$0
Value of interest in common/collective trusts at beginning of year2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$4,204,815
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$3,431,902
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$5,126
Net investment gain/loss from pooled separate accounts2016-12-31$1,488,944
Net investment gain or loss from common/collective trusts2016-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31Yes
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Assets. Invements in employer securities at end of year2016-12-31$0
Assets. Invements in employer securities at beginning of year2016-12-31$0
Contributions received in cash from employer2016-12-31$2,614
Income. Dividends from common stock2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,067,390
Contract administrator fees2016-12-31$1,010
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31VISION FINANCIAL GROUP CPAS LLP
Accountancy firm EIN2016-12-31200452969
2015 : ION TRADING, INC. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$0
Total transfer of assets from this plan2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Expenses. Interest paid2015-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022015-12-31$0
Total income from all sources (including contributions)2015-12-31$-183,970
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$615,313
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$612,790
Expenses. Certain deemed distributions of participant loans2015-12-31$0
Value of total corrective distributions2015-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$7,604
Value of total assets at end of year2015-12-31$13,644,014
Value of total assets at beginning of year2015-12-31$14,443,297
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$2,523
Total income from rents2015-12-31$0
Total interest from all sources2015-12-31$9,595
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$0
Administrative expenses professional fees incurred2015-12-31$0
Was this plan covered by a fidelity bond2015-12-31No
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$8,074
Participant contributions at end of year2015-12-31$258,043
Participant contributions at beginning of year2015-12-31$264,159
Assets. Other investments not covered elsewhere at end of year2015-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2015-12-31$0
Other income not declared elsewhere2015-12-31$0
Administrative expenses (other) incurred2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Income. Non cash contributions2015-12-31$0
Value of net income/loss2015-12-31$-799,283
Value of net assets at end of year (total assets less liabilities)2015-12-31$13,644,014
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$14,443,297
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$2,363
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$9,954,069
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$10,776,867
Value of interest in pooled separate accounts at end of year2015-12-31$0
Value of interest in pooled separate accounts at beginning of year2015-12-31$0
Interest on participant loans2015-12-31$998
Income. Interest from loans (other than to participants)2015-12-31$0
Interest earned on other investments2015-12-31$8,597
Income. Interest from US Government securities2015-12-31$0
Income. Interest from corporate debt instruments2015-12-31$0
Value of interest in common/collective trusts at end of year2015-12-31$0
Value of interest in common/collective trusts at beginning of year2015-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$3,431,902
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$3,402,271
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-40
Net investment gain/loss from pooled separate accounts2015-12-31$-201,129
Net investment gain or loss from common/collective trusts2015-12-31$0
Net gain/loss from 103.12 investment entities2015-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Assets. Invements in employer securities at end of year2015-12-31$0
Assets. Invements in employer securities at beginning of year2015-12-31$0
Contributions received in cash from employer2015-12-31$-470
Income. Dividends from preferred stock2015-12-31$0
Income. Dividends from common stock2015-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$612,790
Contract administrator fees2015-12-31$160
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31VISION FINANCIAL GROUP CPAS, LLP
Accountancy firm EIN2015-12-31200452969
2014 : ION TRADING, INC. 401(K) PLAN 2014 401k financial data
Total income from all sources2014-11-30$1,243,926
Expenses. Total of all expenses incurred2014-11-30$826,696
Benefits paid (including direct rollovers)2014-11-30$796,712
Total plan assets at end of year2014-11-30$11,862,266
Total plan assets at beginning of year2014-11-30$11,445,035
Value of fidelity bond covering the plan2014-11-30$500,000
Total contributions received or receivable from participants2014-11-30$326,341
Expenses. Other expenses not covered elsewhere2014-11-30$0
Contributions received from other sources (not participants or employers)2014-11-30$0
Other income received2014-11-30$917,585
Net income (gross income less expenses)2014-11-30$417,230
Net plan assets at end of year (total assets less liabilities)2014-11-30$11,862,266
Net plan assets at beginning of year (total assets less liabilities)2014-11-30$11,445,035
Assets. Value of participant loans2014-11-30$193,183
Total contributions received or receivable from employer(s)2014-11-30$0
Value of certain deemed distributions of participant loans2014-11-30$5,970
Value of corrective distributions2014-11-30$0
Expenses. Administrative service providers (salaries,fees and commissions)2014-11-30$24,014
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-11-30$0
Funding deficiency by the employer to the plan for this plan year2014-11-30$0
Minimum employer required contribution for this plan year2014-11-30$0
Amount contributed by the employer to the plan for this plan year2014-11-30$0

Form 5500 Responses for ION TRADING, INC. 401(K) PLAN

2017: ION TRADING, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingYes
2017-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: ION TRADING, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: ION TRADING, INC. 401(K) PLAN 2015 form 5500 responses
2015-12-01Type of plan entitySingle employer plan
2015-12-01Submission has been amendedNo
2015-12-01This submission is the final filingNo
2015-12-01This return/report is a short plan year return/report (less than 12 months)Yes
2015-12-01Plan is a collectively bargained planNo
2015-12-01Plan funding arrangement – InsuranceYes
2015-12-01Plan funding arrangement – TrustYes
2015-12-01Plan benefit arrangement – InsuranceYes
2015-12-01Plan benefit arrangement - TrustYes
2013: ION TRADING, INC. 401(K) PLAN 2013 form 5500 responses
2013-12-01Type of plan entitySingle employer plan
2013-12-01Submission has been amendedNo
2013-12-01This submission is the final filingNo
2013-12-01This return/report is a short plan year return/report (less than 12 months)No
2013-12-01Plan is a collectively bargained planNo
2013-12-01Plan funding arrangement – InsuranceYes
2013-12-01Plan funding arrangement – TrustYes
2013-12-01Plan benefit arrangement – InsuranceYes
2013-12-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract numberFL 50102
Policy instance 1
Insurance contract or identification numberFL 50102
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-04-03
Total amount of commissions paid to insurance brokerUSD $9,727
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $9,727
Insurance broker organization code?1
Insurance broker nameKESTRA INVESTMENT SERVICES LLC
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract numberFL 50102
Policy instance 1
Insurance contract or identification numberFL 50102
Number of Individuals Covered68
Insurance policy start date2013-12-01
Insurance policy end date2014-11-30
Total amount of commissions paid to insurance brokerUSD $20,427
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $18,958
Insurance broker organization code?3
Insurance broker nameCHARLES E PANOFF

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