401k Plan data: LCM FX LLC 401 K PROFIT SHARING PLAN TRUST plan

LCM FX LLC 401 K PROFIT SHARING PLAN TRUST 401k Plan overview

Plan Name	LCM FX LLC 401 K PROFIT SHARING PLAN TRUST
Plan identification number	001

LCM FX LLC 401 K PROFIT SHARING PLAN TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

LOUIS CAPITAL MARKETS LP has sponsored the creation of one or more 401k plans.

Company Name: LOUIS CAPITAL MARKETS LP

Employer identification number (EIN): 571172892

NAIC Classification: 493100

Additional information about LOUIS CAPITAL MARKETS LP

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3664712

More information about LOUIS CAPITAL MARKETS LP

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LCM FX LLC 401 K PROFIT SHARING PLAN TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 BRAD FLASTER 2014-07-31
001 2012-01-01 LOUIS CAPITAL MARKETS LP 2013-07-24
001 2011-01-01 LOUIS CAPITAL MARKETS LP
001 2010-01-01 FREDERIC VITALIS 2011-07-06

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2013-01-01	BRAD FLASTER	2014-07-31
001	2012-01-01	LOUIS CAPITAL MARKETS LP	2013-07-24
001	2011-01-01	LOUIS CAPITAL MARKETS LP
001	2010-01-01	FREDERIC VITALIS	2011-07-06

Plan Statistics for LCM FX LLC 401 K PROFIT SHARING PLAN TRUST

401k plan membership statisitcs for LCM FX LLC 401 K PROFIT SHARING PLAN TRUST

Measure Date Value
2011: LCM FX LLC 401 K PROFIT SHARING PLAN TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 86
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 64
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 18
Total of all active and inactive participants 2011-01-01 82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 82
Number of participants with account balances 2011-01-01 61
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 3

Measure	Date	Value
2011: LCM FX LLC 401 K PROFIT SHARING PLAN TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	86
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	64
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	18
Total of all active and inactive participants	2011-01-01	82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	82
Number of participants with account balances	2011-01-01	61
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	3

Financial Data on LCM FX LLC 401 K PROFIT SHARING PLAN TRUST

Measure	Date	Value
2011 : LCM FX LLC 401 K PROFIT SHARING PLAN TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$239,990
Expenses. Total of all expenses incurred	2011-12-31	$168,590
Benefits paid (including direct rollovers)	2011-12-31	$168,235
Total plan assets at end of year	2011-12-31	$1,511,433
Total plan assets at beginning of year	2011-12-31	$1,440,033
Value of fidelity bond covering the plan	2011-12-31	$0
Total contributions received or receivable from participants	2011-12-31	$198,247
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$48,413
Other income received	2011-12-31	$-6,670
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$71,400
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,511,433
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,440,033
Assets. Value of participant loans	2011-12-31	$7,103
Total contributions received or receivable from employer(s)	2011-12-31	$0
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$355
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0

Form 5500 Responses for LCM FX LLC 401 K PROFIT SHARING PLAN TRUST

2011: LCM FX LLC 401 K PROFIT SHARING PLAN TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single 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 is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

LCM FX LLC 401 K PROFIT SHARING PLAN TRUST [EIN = 208123859]

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Company Name:	LOUIS CAPITAL MARKETS LP
Employer identification number (EIN):	571172892
NAIC Classification:	493100

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3664712