BAMCO INC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN
| Measure | Date | Value |
|---|
| 2024 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2024 401k financial data |
|---|
| Total transfers to/from plan in this plan year | 2024-03-04 | -1956411 |
| Total expenses incurred by plan in this plan year | 2024-03-04 | 325364 |
| Net assets as of the end of the plan year | 2024-03-04 | 0 |
| Total assets as of the beginning of the plan year | 2024-03-04 | 1976825 |
| Value of plan covered by a fidelity bond | 2024-03-04 | 500000 |
| Participant contributions to plan in this plan year | 2024-03-04 | 56856 |
| Other income to plan in this plan year | 2024-03-04 | 236449 |
| Plan net income in this plan year | 2024-03-04 | -20414 |
| Net assets as of the end of the plan year | 2024-03-04 | 0 |
| Net assets as of the beginning of the plan year | 2024-03-04 | 1976825 |
| Employer contributions to plan in this plan year | 2024-03-04 | 11645 |
| Fees paid to broker by Benefit Provider | 2024-03-04 | 7384 |
| Expensese paid to adminstrative service provicers from plan in this plan year | 2024-03-04 | 13221 |
| 2022 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2022 401k financial data |
|---|
| Total expenses incurred by plan in this plan year | 2022-03-08 | 144639 |
| Net assets as of the end of the plan year | 2022-03-08 | 2736236 |
| Total assets as of the beginning of the plan year | 2022-03-08 | 2365543 |
| Value of plan covered by a fidelity bond | 2022-03-08 | 236554 |
| Participant contributions to plan in this plan year | 2022-03-08 | 128757 |
| Other contributions to plan in this plan year | 2022-03-08 | 3756 |
| Other income to plan in this plan year | 2022-03-08 | 354041 |
| Plan net income in this plan year | 2022-03-08 | 370693 |
| Net assets as of the end of the plan year | 2022-03-08 | 2736236 |
| Net assets as of the beginning of the plan year | 2022-03-08 | 2365543 |
| Employer contributions to plan in this plan year | 2022-03-08 | 28778 |
| Fees paid to broker by Benefit Provider | 2022-03-08 | 15231 |
| Expensese paid to adminstrative service provicers from plan in this plan year | 2022-03-08 | 4766 |
| 2018 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2018 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 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 | $11,687 |
| Total loss/gain on sale of assets | 2018-12-31 | $0 |
| Total of all expenses incurred | 2018-12-31 | $94,920 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $92,723 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $114,884 |
| Value of total assets at end of year | 2018-12-31 | $1,446,133 |
| Value of total assets at beginning of year | 2018-12-31 | $1,529,366 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $2,197 |
| Total interest from all sources | 2018-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
| Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
| Value of fidelity bond cover | 2018-12-31 | $195,000 |
| 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 |
| Contributions received from participants | 2018-12-31 | $91,419 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2018-12-31 | $2,513 |
| 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 | $-83,233 |
| Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $1,446,133 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $1,529,366 |
| 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 |
| Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2018-12-31 | $1,446,133 |
| Value of interest in pooled separate accounts at beginning of year | 2018-12-31 | $1,529,366 |
| Net investment gain/loss from pooled separate accounts | 2018-12-31 | $-103,197 |
| 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 | $20,952 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $92,723 |
| Contract administrator fees | 2018-12-31 | $2,197 |
| 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 |
| 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 | FREYBERG HINKLE ASHLAND POWERS & ST |
| Accountancy firm EIN | 2018-12-31 | 391531945 |
| 2017 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2017 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2017-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total income from all sources (including contributions) | 2017-12-31 | $440,546 |
| Total loss/gain on sale of assets | 2017-12-31 | $0 |
| Total of all expenses incurred | 2017-12-31 | $19,842 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $18,718 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $212,932 |
| Value of total assets at end of year | 2017-12-31 | $1,529,366 |
| Value of total assets at beginning of year | 2017-12-31 | $1,108,662 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $1,124 |
| Total interest from all sources | 2017-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | No |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $195,000 |
| If this is an individual account plan, was there a blackout period | 2017-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2017-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
| Contributions received from participants | 2017-12-31 | $86,581 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2017-12-31 | $106,559 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Value of net income/loss | 2017-12-31 | $420,704 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $1,529,366 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $1,108,662 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2017-12-31 | $1,529,366 |
| Value of interest in pooled separate accounts at beginning of year | 2017-12-31 | $1,108,662 |
| Net investment gain/loss from pooled separate accounts | 2017-12-31 | $227,614 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-12-31 | Yes |
| Has the plan failed to provide any benefit when due under the plan | 2017-12-31 | No |
| Contributions received in cash from employer | 2017-12-31 | $19,792 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $18,718 |
| Contract administrator fees | 2017-12-31 | $1,124 |
| Did the plan have assets held for investment | 2017-12-31 | 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 | 2017-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-12-31 | Disclaimer |
| Accountancy firm name | 2017-12-31 | FREYBERG HINKLE ASHLAND POWERS & ST |
| Accountancy firm EIN | 2017-12-31 | 391531945 |
| 2016 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2016 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2016-12-31 | $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 | $353,507 |
| Total loss/gain on sale of assets | 2016-12-31 | $0 |
| Total of all expenses incurred | 2016-12-31 | $37,893 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $34,847 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $304,763 |
| Value of total assets at end of year | 2016-12-31 | $1,108,662 |
| Value of total assets at beginning of year | 2016-12-31 | $793,048 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $3,046 |
| Total interest from all sources | 2016-12-31 | $0 |
| 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 year | 2016-12-31 | No |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $195,000 |
| If this is an individual account plan, was there a blackout period | 2016-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
| Contributions received from participants | 2016-12-31 | $80,392 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-12-31 | $205,816 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Value of net income/loss | 2016-12-31 | $315,614 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $1,108,662 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $793,048 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2016-12-31 | $1,108,662 |
| Value of interest in pooled separate accounts at beginning of year | 2016-12-31 | $793,048 |
| Net investment gain/loss from pooled separate accounts | 2016-12-31 | $48,744 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2016-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-12-31 | No |
| Contributions received in cash from employer | 2016-12-31 | $18,555 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $34,847 |
| Contract administrator fees | 2016-12-31 | $3,046 |
| Did the plan have assets held for investment | 2016-12-31 | 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 | 2016-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Disclaimer |
| Accountancy firm name | 2016-12-31 | FREYBERG HINKLE ASHLAND POWERS & ST |
| Accountancy firm EIN | 2016-12-31 | 391531945 |
| 2015 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2015 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2015-12-31 | $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 |
| Total income from all sources (including contributions) | 2015-12-31 | $78,646 |
| Total loss/gain on sale of assets | 2015-12-31 | $0 |
| Total of all expenses incurred | 2015-12-31 | $67,302 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $63,278 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $87,291 |
| Value of total assets at end of year | 2015-12-31 | $793,048 |
| Value of total assets at beginning of year | 2015-12-31 | $781,704 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $4,024 |
| Total interest from all sources | 2015-12-31 | $0 |
| 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 year | 2015-12-31 | No |
| Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
| Value of fidelity bond cover | 2015-12-31 | $195,000 |
| If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
| Contributions received from participants | 2015-12-31 | $70,955 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Value of net income/loss | 2015-12-31 | $11,344 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $793,048 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $781,704 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2015-12-31 | $793,048 |
| Value of interest in pooled separate accounts at beginning of year | 2015-12-31 | $781,704 |
| Net investment gain/loss from pooled separate accounts | 2015-12-31 | $-8,645 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
| Contributions received in cash from employer | 2015-12-31 | $16,336 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $63,278 |
| Contract administrator fees | 2015-12-31 | $4,024 |
| Did the plan have assets held for investment | 2015-12-31 | 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 | 2015-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Disclaimer |
| Accountancy firm name | 2015-12-31 | FREYBERG HINKLE ASHLAND POWERS & ST |
| Accountancy firm EIN | 2015-12-31 | 391531945 |
| 2014 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2014 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Total income from all sources (including contributions) | 2014-12-31 | $123,279 |
| Total loss/gain on sale of assets | 2014-12-31 | $0 |
| Total of all expenses incurred | 2014-12-31 | $87,056 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $85,633 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $74,091 |
| Value of total assets at end of year | 2014-12-31 | $781,704 |
| Value of total assets at beginning of year | 2014-12-31 | $745,481 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $1,423 |
| Total interest from all sources | 2014-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $195,000 |
| If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Contributions received from participants | 2014-12-31 | $60,237 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2014-12-31 | $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 | 2014-12-31 | No |
| Value of net income/loss | 2014-12-31 | $36,223 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $781,704 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $745,481 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2014-12-31 | $781,704 |
| Value of interest in pooled separate accounts at beginning of year | 2014-12-31 | $745,481 |
| Net investment gain/loss from pooled separate accounts | 2014-12-31 | $49,188 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
| Contributions received in cash from employer | 2014-12-31 | $13,854 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $85,633 |
| Contract administrator fees | 2014-12-31 | $1,423 |
| Did the plan have assets held for investment | 2014-12-31 | 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 | 2014-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Disclaimer |
| Accountancy firm name | 2014-12-31 | FREYBERG HINKLE ASHLAND POWERS & ST |
| Accountancy firm EIN | 2014-12-31 | 391531945 |
| 2013 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2013 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Total income from all sources (including contributions) | 2013-12-31 | $207,248 |
| Total loss/gain on sale of assets | 2013-12-31 | $0 |
| Total of all expenses incurred | 2013-12-31 | $24,861 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $23,524 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $68,622 |
| Value of total assets at end of year | 2013-12-31 | $745,481 |
| Value of total assets at beginning of year | 2013-12-31 | $563,094 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $1,337 |
| Total interest from all sources | 2013-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $195,000 |
| If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Contributions received from participants | 2013-12-31 | $55,840 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Value of net income/loss | 2013-12-31 | $182,387 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $745,481 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $563,094 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2013-12-31 | $745,481 |
| Value of interest in pooled separate accounts at beginning of year | 2013-12-31 | $563,094 |
| Net investment gain/loss from pooled separate accounts | 2013-12-31 | $138,626 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Contributions received in cash from employer | 2013-12-31 | $12,782 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $23,524 |
| Contract administrator fees | 2013-12-31 | $1,337 |
| Did the plan have assets held for investment | 2013-12-31 | 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 | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
| Accountancy firm name | 2013-12-31 | FREYBERG HINKLE ASHLAND POWERS & ST |
| Accountancy firm EIN | 2013-12-31 | 391531945 |
| 2012 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2012 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2012-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
| Total income from all sources (including contributions) | 2012-12-31 | $130,168 |
| Total loss/gain on sale of assets | 2012-12-31 | $0 |
| Total of all expenses incurred | 2012-12-31 | $44,105 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $42,921 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $63,744 |
| Value of total assets at end of year | 2012-12-31 | $563,094 |
| Value of total assets at beginning of year | 2012-12-31 | $477,031 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $1,184 |
| Total interest from all sources | 2012-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
| Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
| Value of fidelity bond cover | 2012-12-31 | $195,000 |
| If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
| Contributions received from participants | 2012-12-31 | $52,204 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Value of net income/loss | 2012-12-31 | $86,063 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $563,094 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $477,031 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2012-12-31 | $563,094 |
| Value of interest in pooled separate accounts at beginning of year | 2012-12-31 | $477,031 |
| Net investment gain/loss from pooled separate accounts | 2012-12-31 | $66,424 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | Yes |
| Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
| Contributions received in cash from employer | 2012-12-31 | $11,540 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $42,921 |
| Contract administrator fees | 2012-12-31 | $1,184 |
| Did the plan have assets held for investment | 2012-12-31 | 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 | 2012-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
| Accountancy firm name | 2012-12-31 | FREYBERG HINKLE ASHLAND POWERS & ST |
| Accountancy firm EIN | 2012-12-31 | 391531945 |
| 2011 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2011 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
| Total income from all sources (including contributions) | 2011-12-31 | $48,128 |
| Total loss/gain on sale of assets | 2011-12-31 | $0 |
| Total of all expenses incurred | 2011-12-31 | $35,315 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $34,061 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $64,942 |
| Value of total assets at end of year | 2011-12-31 | $477,031 |
| Value of total assets at beginning of year | 2011-12-31 | $464,218 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $1,254 |
| Total interest from all sources | 2011-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
| Administrative expenses professional fees incurred | 2011-12-31 | $1,254 |
| Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
| Value of fidelity bond cover | 2011-12-31 | $47,800 |
| If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
| Contributions received from participants | 2011-12-31 | $53,107 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Value of net income/loss | 2011-12-31 | $12,813 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $477,031 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $464,218 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2011-12-31 | $477,031 |
| Value of interest in pooled separate accounts at beginning of year | 2011-12-31 | $464,218 |
| Net investment gain/loss from pooled separate accounts | 2011-12-31 | $-16,814 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
| Contributions received in cash from employer | 2011-12-31 | $11,835 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $34,061 |
| Did the plan have assets held for investment | 2011-12-31 | 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 | 2011-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
| Accountancy firm name | 2011-12-31 | ABDO, EICK & MEYERS, LLP |
| Accountancy firm EIN | 2011-12-31 | 411397419 |
| 2010 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2010 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
| 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 | $122,583 |
| Total loss/gain on sale of assets | 2010-12-31 | $0 |
| Total of all expenses incurred | 2010-12-31 | $103,080 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $102,340 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $68,122 |
| Value of total assets at end of year | 2010-12-31 | $464,218 |
| Value of total assets at beginning of year | 2010-12-31 | $444,715 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $740 |
| Total interest from all sources | 2010-12-31 | $0 |
| 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 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $46,500 |
| 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 | $55,814 |
| 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 | $19,503 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $464,218 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $444,715 |
| 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 |
| Value of interest in pooled separate accounts at end of year | 2010-12-31 | $464,218 |
| Value of interest in pooled separate accounts at beginning of year | 2010-12-31 | $444,715 |
| Net investment gain/loss from pooled separate accounts | 2010-12-31 | $54,461 |
| 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 | $12,308 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $102,340 |
| Contract administrator fees | 2010-12-31 | $740 |
| 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 | ABDO, EICK & MEYERS, LLP |
| Accountancy firm EIN | 2010-12-31 | 411397419 |
| 2009 : BAMCO, INC. 401(K) PROFIT SHARING PLAN 401(K) PLAN 2009 401k financial data |
|---|
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2009-12-31 | $0 |
