ASCEND CAPITAL LLC RETIREMENT TRUST has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN
401k plan membership statisitcs for ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN
| Measure | Date | Value |
|---|
| 2016: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2016 401k membership |
|---|
| Total participants, beginning-of-year | 2016-01-01 | 47 |
| Total number of active participants reported on line 7a of the Form 5500 | 2016-01-01 | 33 |
| Number of retired or separated participants receiving benefits | 2016-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2016-01-01 | 14 |
| Total of all active and inactive participants | 2016-01-01 | 47 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2016-01-01 | 0 |
| Total participants | 2016-01-01 | 47 |
| Number of participants with account balances | 2016-01-01 | 47 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2016-01-01 | 0 |
| 2015: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2015 401k membership |
|---|
| Total participants, beginning-of-year | 2015-01-01 | 46 |
| Total number of active participants reported on line 7a of the Form 5500 | 2015-01-01 | 31 |
| Number of retired or separated participants receiving benefits | 2015-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2015-01-01 | 15 |
| Total of all active and inactive participants | 2015-01-01 | 46 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-01-01 | 0 |
| Total participants | 2015-01-01 | 46 |
| Number of participants with account balances | 2015-01-01 | 46 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2015-01-01 | 0 |
| 2014: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2014 401k membership |
|---|
| Total participants, beginning-of-year | 2014-01-01 | 46 |
| Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 29 |
| Number of retired or separated participants receiving benefits | 2014-01-01 | 1 |
| Number of other retired or separated participants entitled to future benefits | 2014-01-01 | 14 |
| Total of all active and inactive participants | 2014-01-01 | 44 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-01-01 | 0 |
| Total participants | 2014-01-01 | 44 |
| Number of participants with account balances | 2014-01-01 | 44 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-01-01 | 0 |
| 2013: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2013 401k membership |
|---|
| Total participants, beginning-of-year | 2013-01-01 | 42 |
| Total number of active participants reported on line 7a of the Form 5500 | 2013-01-01 | 27 |
| Number of retired or separated participants receiving benefits | 2013-01-01 | 4 |
| Number of other retired or separated participants entitled to future benefits | 2013-01-01 | 14 |
| Total of all active and inactive participants | 2013-01-01 | 45 |
| Total participants | 2013-01-01 | 45 |
| Number of participants with account balances | 2013-01-01 | 45 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-01-01 | 0 |
| Measure | Date | Value |
|---|
| 2016 : ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2016 401k financial data |
|---|
| Total income from all sources | 2016-12-31 | $916,219 |
| Expenses. Total of all expenses incurred | 2016-12-31 | $591,447 |
| Benefits paid (including direct rollovers) | 2016-12-31 | $591,447 |
| Total plan assets at end of year | 2016-12-31 | $5,594,728 |
| Total plan assets at beginning of year | 2016-12-31 | $5,269,956 |
| Value of fidelity bond covering the plan | 2016-12-31 | $1,000,000 |
| Total contributions received or receivable from participants | 2016-12-31 | $535,733 |
| Expenses. Other expenses not covered elsewhere | 2016-12-31 | $0 |
| Contributions received from other sources (not participants or employers) | 2016-12-31 | $73,363 |
| Other income received | 2016-12-31 | $66,599 |
| Net income (gross income less expenses) | 2016-12-31 | $324,772 |
| Net plan assets at end of year (total assets less liabilities) | 2016-12-31 | $5,594,728 |
| Net plan assets at beginning of year (total assets less liabilities) | 2016-12-31 | $5,269,956 |
| Total contributions received or receivable from employer(s) | 2016-12-31 | $240,524 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2016-12-31 | $0 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-12-31 | $0 |
| 2015 : ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2015 401k financial data |
|---|
| Total income from all sources | 2015-12-31 | $893,830 |
| Expenses. Total of all expenses incurred | 2015-12-31 | $247,889 |
| Benefits paid (including direct rollovers) | 2015-12-31 | $247,889 |
| Total plan assets at end of year | 2015-12-31 | $5,269,956 |
| Total plan assets at beginning of year | 2015-12-31 | $4,624,015 |
| Value of fidelity bond covering the plan | 2015-12-31 | $1,000,000 |
| Total contributions received or receivable from participants | 2015-12-31 | $469,762 |
| Expenses. Other expenses not covered elsewhere | 2015-12-31 | $0 |
| Contributions received from other sources (not participants or employers) | 2015-12-31 | $116,630 |
| Other income received | 2015-12-31 | $68,089 |
| Net income (gross income less expenses) | 2015-12-31 | $645,941 |
| Net plan assets at end of year (total assets less liabilities) | 2015-12-31 | $5,269,956 |
| Net plan assets at beginning of year (total assets less liabilities) | 2015-12-31 | $4,624,015 |
| Assets. Value of participant loans | 2015-12-31 | $47,104 |
| Total contributions received or receivable from employer(s) | 2015-12-31 | $239,349 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2015-12-31 | $0 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
| 2014 : ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data |
|---|
| Total income from all sources | 2014-12-31 | $822,784 |
| Expenses. Total of all expenses incurred | 2014-12-31 | $173,625 |
| Benefits paid (including direct rollovers) | 2014-12-31 | $173,625 |
| Total plan assets at end of year | 2014-12-31 | $4,624,015 |
| Total plan assets at beginning of year | 2014-12-31 | $3,974,856 |
| Value of fidelity bond covering the plan | 2014-12-31 | $1,000,000 |
| Total contributions received or receivable from participants | 2014-12-31 | $465,021 |
| Other income received | 2014-12-31 | $133,907 |
| Net income (gross income less expenses) | 2014-12-31 | $649,159 |
| Net plan assets at end of year (total assets less liabilities) | 2014-12-31 | $4,624,015 |
| Net plan assets at beginning of year (total assets less liabilities) | 2014-12-31 | $3,974,856 |
| Total contributions received or receivable from employer(s) | 2014-12-31 | $223,856 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
| 2013 : ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2013 401k financial data |
|---|
| Total income from all sources | 2013-12-31 | $1,217,663 |
| Expenses. Total of all expenses incurred | 2013-12-31 | $467,903 |
| Benefits paid (including direct rollovers) | 2013-12-31 | $467,903 |
| Total plan assets at end of year | 2013-12-31 | $3,974,856 |
| Total plan assets at beginning of year | 2013-12-31 | $3,225,096 |
| Value of fidelity bond covering the plan | 2013-12-31 | $1,000,000 |
| Total contributions received or receivable from participants | 2013-12-31 | $440,648 |
| Contributions received from other sources (not participants or employers) | 2013-12-31 | $24,859 |
| Other income received | 2013-12-31 | $555,511 |
| Net income (gross income less expenses) | 2013-12-31 | $749,760 |
| Net plan assets at end of year (total assets less liabilities) | 2013-12-31 | $3,974,856 |
| Net plan assets at beginning of year (total assets less liabilities) | 2013-12-31 | $3,225,096 |
| Total contributions received or receivable from employer(s) | 2013-12-31 | $196,645 |
| 2016: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2016 form 5500 responses |
|---|
| 2016-01-01 | Type of plan entity | Single employer plan |
| 2016-01-01 | Submission has been amended | No |
| 2016-01-01 | This submission is the final filing | No |
| 2016-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2016-01-01 | Plan is a collectively bargained plan | No |
| 2016-01-01 | Plan funding arrangement – Insurance | Yes |
| 2016-01-01 | Plan funding arrangement – Trust | Yes |
| 2016-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2016-01-01 | Plan benefit arrangement - Trust | Yes |
| 2015: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2015 form 5500 responses |
|---|
| 2015-01-01 | Type of plan entity | Single employer plan |
| 2015-01-01 | Submission has been amended | No |
| 2015-01-01 | This submission is the final filing | No |
| 2015-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2015-01-01 | Plan is a collectively bargained plan | No |
| 2015-01-01 | Plan funding arrangement – Insurance | Yes |
| 2015-01-01 | Plan funding arrangement – Trust | Yes |
| 2015-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2015-01-01 | Plan benefit arrangement - Trust | Yes |
| 2014: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses |
|---|
| 2014-01-01 | Type of plan entity | Single employer plan |
| 2014-01-01 | Submission has been amended | No |
| 2014-01-01 | This submission is the final filing | No |
| 2014-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2014-01-01 | Plan is a collectively bargained plan | No |
| 2014-01-01 | Plan funding arrangement – Insurance | Yes |
| 2014-01-01 | Plan funding arrangement – Trust | Yes |
| 2014-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2014-01-01 | Plan benefit arrangement - Trust | Yes |
| 2013: ASCEND CAPITAL LLC 401(K) PROFIT SHARING PLAN 2013 form 5500 responses |
|---|
| 2013-01-01 | Type of plan entity | Single employer plan |
| 2013-01-01 | Submission has been amended | No |
| 2013-01-01 | This submission is the final filing | No |
| 2013-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2013-01-01 | Plan is a collectively bargained plan | No |
| 2013-01-01 | Plan funding arrangement – Insurance | Yes |
| 2013-01-01 | Plan funding arrangement – Trust | Yes |
| 2013-01-01 | Plan benefit arrangement - Trust | Yes |
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 47960 |
| Policy instance | 1 |
| Insurance contract or identification number | 47960 | | Insurance policy start date | 2015-01-01 | | Insurance policy end date | 2015-12-31 | | Total amount of commissions paid to insurance broker | USD $2,588 | | Total amount of fees paid to insurance company | USD $1,749 | | Commission paid to Insurance Broker | USD $2,588 | | Insurance broker organization code? | 1 | | Amount paid for insurance broker fees | 1749 | | Additional information about fees paid to insurance broker | ADMINISTRATION | | Insurance broker name | HICKS PENSION SERVICES |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 47960 |
| Policy instance | 1 |
| Insurance contract or identification number | 47960 | | Number of Individuals Covered | 26 | | Insurance policy start date | 2014-01-01 | | Insurance policy end date | 2014-12-31 | | Total amount of commissions paid to insurance broker | USD $0 | | Total amount of fees paid to insurance company | USD $10,308 | | 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? | No | | 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 | | Amount paid for insurance broker fees | 9156 | | Additional information about fees paid to insurance broker | BROKER COMMISSION | | Insurance broker organization code? | 1 | | Insurance broker name | HICKS PENSION SERVICES |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 47960 |
| Policy instance | 1 |
| Insurance contract or identification number | 47960 | | Number of Individuals Covered | 26 | | Insurance policy start date | 2013-01-01 | | Insurance policy end date | 2013-12-31 | | Total amount of commissions paid to insurance broker | USD $7,069 | | Total amount of fees paid to insurance company | USD $852 | | 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? | No | | 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 | | Commission paid to Insurance Broker | USD $2,584 | | Insurance broker organization code? | 1 | | Amount paid for insurance broker fees | 852 | | Additional information about fees paid to insurance broker | ADMIN | | Insurance broker name | HICKS PENSION SERVICES |
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