401k Plan data: DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN plan

DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN
Plan identification number	001

DEERFIELD & COMPANY, LLC 401(K) SAVINGS 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

DEERFIELD & COMPANY, LLC has sponsored the creation of one or more 401k plans.

Company Name: DEERFIELD & COMPANY, LLC

Employer identification number (EIN): 364136391

NAIC Classification: 525990
NAIC Description: Other Financial Vehicles

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 ROBERT MILTON 2013-05-28
001 2012-01-01 ROBERT MILTON 2013-04-17
001 2011-01-01 DAN M HATTORI 2012-03-20
001 2010-01-01 DAN M HATTORI
001 2009-01-01 DAN M HATTORI

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2013-01-01	ROBERT MILTON	2013-05-28
001	2012-01-01	ROBERT MILTON	2013-04-17
001	2011-01-01	DAN M HATTORI	2012-03-20
001	2010-01-01	DAN M HATTORI
001	2009-01-01	DAN M HATTORI

Plan Statistics for DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN

401k plan membership statisitcs for DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN

Measure Date Value
2010: DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 107
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 60
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 34
Total of all active and inactive participants 2010-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 94
Number of participants with account balances 2010-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 63
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 39
Total of all active and inactive participants 2009-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 102
Number of participants with account balances 2009-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2010: DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	107
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	60
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	34
Total of all active and inactive participants	2010-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	94
Number of participants with account balances	2010-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	63
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	39
Total of all active and inactive participants	2009-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	102
Number of participants with account balances	2009-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN

Measure	Date	Value
2010 : DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$-1,280
Total unrealized appreciation/depreciation of assets	2010-12-31	$-1,280
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$1,460,602
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$905,754
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$905,051
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$637,886
Value of total assets at end of year	2010-12-31	$7,455,444
Value of total assets at beginning of year	2010-12-31	$6,900,596
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$703
Total interest from all sources	2010-12-31	$3,435
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$112
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$516,920
Participant contributions at end of year	2010-12-31	$65,528
Participant contributions at beginning of year	2010-12-31	$39,088
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$3,691
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$137
Total non interest bearing cash at end of year	2010-12-31	$0
Total non interest bearing cash at beginning of year	2010-12-31	$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	2010-12-31	No
Value of net income/loss	2010-12-31	$554,848
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$7,455,444
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$6,900,596
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$591
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$7,198,223
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$6,668,845
Value of interest in pooled separate accounts at end of year	2010-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$0
Interest on participant loans	2010-12-31	$1,609
Interest earned on other investments	2010-12-31	$1,826
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$74,281
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$68,311
Net investment gain/loss from pooled separate accounts	2010-12-31	$820,561
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$117,275
Employer contributions (assets) at end of year	2010-12-31	$117,275
Employer contributions (assets) at beginning of year	2010-12-31	$124,352
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$905,051
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	DELOITTE & TOUCHE LLP
Accountancy firm EIN	2010-12-31	133891517
2009 : DEERFIELD & COMPANY, LLC 401(K) SAVINGS 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 DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN

2010: DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: DEERFIELD & COMPANY, LLC 401(K) SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

53690

Policy instance

Insurance contract or identification number	53690
Number of Individuals Covered	94
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Are there contracts with allocated funds for individual policies?	No
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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

Was this data useful?

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

Information Disclaimer

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

See full terms and conditions

Company Name:	DEERFIELD & COMPANY, LLC
Employer identification number (EIN):	364136391
NAIC Classification:	525990
NAIC Description:	Other Financial Vehicles