|
1861 CAPITAL MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST
|
2010
|
030518770
|
2013-03-19
|
1861 CAPITAL MANAGEMENT LLC
|
13
|
|
| File |
View Page
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2004-01-01
|
| Business code |
523900
|
| Sponsor’s telephone number |
2123328111
|
| Plan sponsor’s mailing address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
| Plan sponsor’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
Plan administrator’s name and address
| Administrator’s EIN |
030518770 |
| Plan administrator’s name |
1861 CAPITAL MANAGEMENT LLC |
| Plan administrator’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112 |
| Administrator’s telephone number |
2123328111 |
Number of participants as of the end of the plan year
| Active participants |
0 |
| Retired or separated participants receiving
benefits |
0 |
| Other
retired or separated participants entitled to future benefits |
0 |
| Deceased participants
whose
beneficiaries are receiving or are entitled to receive benefits |
0 |
| Number of
participants
with
account balances as of the end of the plan year |
0 |
| Number of participants that
terminated
employment during the plan year with accrued benefits that were less than 100%
vested |
0 |
Signature of
| Role |
Plan administrator |
| Date |
2013-03-19 |
| Name of individual signing |
JOHN LEE |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
|
1861 CAPITAL MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST
|
2010
|
030518770
|
2011-07-28
|
1861 CAPITAL MANAGEMENT LLC
|
13
|
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2004-01-01
|
| Business code |
523900
|
| Sponsor’s telephone number |
2123328111
|
| Plan sponsor’s mailing address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
| Plan sponsor’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
Plan administrator’s name and address
| Administrator’s EIN |
030518770 |
| Plan administrator’s name |
1861 CAPITAL MANAGEMENT LLC |
| Plan administrator’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112 |
| Administrator’s telephone number |
2123328111 |
Number of participants as of the end of the plan year
| Active participants |
7 |
| Retired or separated participants receiving
benefits |
0 |
| Other
retired or separated participants entitled to future benefits |
0 |
| Deceased participants
whose
beneficiaries are receiving or are entitled to receive benefits |
0 |
| Number of
participants
with
account balances as of the end of the plan year |
0 |
| Number of participants that
terminated
employment during the plan year with accrued benefits that were less than 100%
vested |
0 |
Signature of
| Role |
Plan administrator |
| Date |
2011-07-28 |
| Name of individual signing |
JOHN LEE |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
|
1861 CAPITAL MANAGEMENT LLC 401K PROFIT SHARING PLAN AND TRUST
|
2009
|
030518770
|
2010-06-18
|
1861 CAPITAL MANAGEMENT LLC
|
14
|
|
| File |
View Page
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2004-01-01
|
| Business code |
523900
|
| Sponsor’s telephone number |
2123328111
|
| Plan sponsor’s mailing address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
| Plan sponsor’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
Plan administrator’s name and address
| Administrator’s EIN |
030518770 |
| Plan administrator’s name |
1861 CAPITAL MANAGEMENT LLC |
| Plan administrator’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112 |
| Administrator’s telephone number |
2123328111 |
Number of participants as of the end of the plan year
| Active participants |
8 |
| Retired or separated participants receiving
benefits |
0 |
| Other
retired or separated participants entitled to future benefits |
5 |
| Deceased participants
whose
beneficiaries are receiving or are entitled to receive benefits |
0 |
| Number of
participants
with
account balances as of the end of the plan year |
11 |
| Number of participants that
terminated
employment during the plan year with accrued benefits that were less than 100%
vested |
0 |
Signature of
| Role |
Plan administrator |
| Date |
2010-06-18 |
| Name of individual signing |
JOHN LEE |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
|
1861 CAPITAL MANAGEMENT LLC
|
2009
|
030518770
|
2010-06-11
|
1861 CAPITAL MANAGEMENT LLC
|
11
|
|
| File |
View Page
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2004-01-01
|
| Business code |
523900
|
| Sponsor’s telephone number |
2123328111
|
| Plan sponsor’s mailing address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
| Plan sponsor’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112
|
Plan administrator’s name and address
| Administrator’s EIN |
030518770 |
| Plan administrator’s name |
1861 CAPITAL MANAGEMENT LLC |
| Plan administrator’s
address |
30 ROCKEFELLER PLAZA, 28TH FLOOR, NEW YORK, NY, 10112 |
| Administrator’s telephone number |
2123328111 |
Number of participants as of the end of the plan year
| Active participants |
13 |
| Retired or separated participants receiving
benefits |
0 |
| Other
retired or separated participants entitled to future benefits |
3 |
| Deceased participants
whose
beneficiaries are receiving or are entitled to receive benefits |
0 |
| Number of
participants
with
account balances as of the end of the plan year |
12 |
| Number of participants that
terminated
employment during the plan year with accrued benefits that were less than 100%
vested |
0 |
Signature of
| Role |
Plan administrator |
| Date |
2010-06-11 |
| Name of individual signing |
JOHN LEE |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
