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H. C. WAINWRIGHT & CO., INC.

Company Details

Name: H. C. WAINWRIGHT & CO., INC.
Jurisdiction: New York
Legal type: FOREIGN BUSINESS CORPORATION
Status: Inactive
Date of registration: 28 Jan 1977 (48 years ago)
Entity Number: 422406
County: New York
Date of dissolution: 14 Mar 2016
Place of Formation: Massachusetts
Address: 430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY, United States, 10022
Address ZIP Code: 10022
Principal Address: 52 VANDERBILT 12TH FLR, NEW YORK, NY, United States, 10017
Principal Address ZIP Code: 10017

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
H.C. WAINWRIGHT & CO., INC. 401(K) PLAN 2013 043104484 2014-10-07 H.C. WAINWRIGHT & CO., INC. 2
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1986-10-01
Business code 523120
Sponsor’s telephone number 7207466757
Plan sponsor’s mailing address 12 EAST 52ND STREET 7TH FLOOR, NEW YORK, NY, 10022
Plan sponsor’s address 12 EAST 52ND STREET 7TH FLOOR, NEW YORK, NY, 10022

Plan administrator’s name and address
Administrator’s EIN 043104484
Plan administrator’s name H.C. WAINWRIGHT & CO., INC.
Plan administrator’s address 12 EAST 52ND STREET 7TH FLOOR, NEW YORK, NY, 10022
Administrator’s telephone number 7207466757

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 2014-10-07
Name of individual signing MILLIE CALDERON
Valid signature Filed with authorized/valid electronic signature
H.C. WAINWRIGHT & CO., INC. 401(K) PLAN 2012 043104484 2013-09-04 H.C. WAINWRIGHT & CO., INC. 2
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1986-10-01
Business code 523120
Sponsor’s telephone number 2128565730
Plan sponsor’s mailing address 12 EAST 52ND STREET, 7TH FLOOR, NEW YORK, NY, 10022
Plan sponsor’s address 12 EAST 52ND STREET, 7TH FLOOR, NEW YORK, NY, 10022

Plan administrator’s name and address
Administrator’s EIN 043104484
Plan administrator’s name H.C. WAINWRIGHT & CO., INC.
Plan administrator’s address 12 EAST 52ND STREET, 7TH FLOOR, NEW YORK, NY, 10022
Administrator’s telephone number 2128565730

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 11
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 2013-09-04
Name of individual signing MILLIE CALDERON
Valid signature Filed with authorized/valid electronic signature
H.C. WAINWRIGHT & CO., INC. 401(K) PLAN 2010 043104484 2011-06-07 H.C. WAINWRIGHT & CO., INC. 12
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1986-10-01
Business code 523120
Sponsor’s telephone number 2128565730
Plan sponsor’s mailing address 52 VANDERBILT AVENUE, 12TH FLOOR, NEW YORK, NY, 10017
Plan sponsor’s address 52 VANDERBILT AVENUE, 12TH FLOOR, NEW YORK, NY, 10017

Plan administrator’s name and address
Administrator’s EIN 043104484
Plan administrator’s name H.C. WAINWRIGHT & CO., INC.
Plan administrator’s address 52 VANDERBILT AVENUE, 12TH FLOOR, NEW YORK, NY, 10017
Administrator’s telephone number 2128565730

Number of participants as of the end of the plan year
Active participants 3
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 14
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 17
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 8

Signature of
Role Plan administrator
Date 2011-06-07
Name of individual signing JAMES AHLFELD
Valid signature Filed with authorized/valid electronic signature
H.C. WAINWRIGHT & CO., INC. 401(K) PLAN 2009 043104484 2010-05-25 H.C. WAINWRIGHT & CO., INC. 16
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1986-10-01
Business code 523120
Sponsor’s telephone number 2128565730
Plan sponsor’s mailing address 52 VANDERBILT AVENUE, 12TH FLOOR, NEW YORK, NY, 10017
Plan sponsor’s address 52 VANDERBILT AVENUE, 12TH FLOOR, NEW YORK, NY, 10017

Plan administrator’s name and address
Administrator’s EIN 043104484
Plan administrator’s name H.C. WAINWRIGHT & CO., INC.
Plan administrator’s address 52 VANDERBILT AVENUE, 12TH FLOOR, NEW YORK, NY, 10017
Administrator’s telephone number 2128565730

Number of participants as of the end of the plan year
Active participants 16
Retired or separated participants receiving benefits 0
Other retired or separated participants entitled to future benefits 25
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 35
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 1

Signature of
Role Plan administrator
Date 2010-05-25
Name of individual signing JAMES AHLFELD
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role
REGISTERED AGENT REVOKED Agent

DOS Process Agent

Name Role Address
THE CORPORATION DOS Process Agent 430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY, United States, 10022

Chief Executive Officer

Name Role Address
AL ZWAN Chief Executive Officer 52 VANDERBILT, 12TH FLR, NEW YORK, NY, United States, 10017

History

Start date End date Type Value
2013-04-09 2013-04-09 Address 52 VANDERBILT, 12TH FLR, NEW YORK, NY, 10017, USA (Type of address: Service of Process)
2013-04-09 2013-04-09 Address 52 VANDERBILT, 12TH FLOOR, NEW YORK, NY, 10017, USA (Type of address: Chief Executive Officer)
2013-04-09 2013-04-09 Address 52 VANDERBILT, 12TH FL, NEW YORK, NY, 10017, USA (Type of address: Principal Executive Office)
2013-04-09 2016-03-14 Address 52 VANDERBILT 12TH FLR, NEW YORK, NY, 10177, USA (Type of address: Service of Process)
2005-05-02 2013-04-09 Address 250 PARK AVE, 5TH FLR, NEW YORK, NY, 10177, USA (Type of address: Service of Process)
2005-05-02 2013-04-09 Address 250 PARK AVE, NEW YORK, NY, 10167, USA (Type of address: Principal Executive Office)
1993-03-15 2013-04-09 Address ONE BOSTON PLACE, 31ST FLOOR, BOSTON, MA, 02108, USA (Type of address: Chief Executive Officer)
1993-03-15 2005-05-02 Address ONE BOSTON PLACE, 31ST FLOOR, BOSTON, MA, 02108, USA (Type of address: Principal Executive Office)
1993-03-15 2005-05-02 Address ONE BOSTON PLACE, 31ST FLOOR, BOSTON, MA, 02108, USA (Type of address: Service of Process)
1989-03-16 2016-03-14 Address 1633 BROADWAY, NEW YORK, NY, 10019, USA (Type of address: Registered Agent)

Filings

Filing Number Date Filed Type Effective Date
160314000403 2016-03-14 SURRENDER OF AUTHORITY 2016-03-14
130409002622 2013-04-09 BIENNIAL STATEMENT 2013-01-01
130409002617 2013-04-09 BIENNIAL STATEMENT 2013-01-01
20110428040 2011-04-28 ASSUMED NAME CORP INITIAL FILING 2011-04-28
050502002854 2005-05-02 BIENNIAL STATEMENT 2005-01-01
030507000777 2003-05-07 ERRONEOUS ENTRY 2003-05-07
DP-1230031 1995-09-27 ANNULMENT OF AUTHORITY 1995-09-27
940203002302 1994-02-03 BIENNIAL STATEMENT 1994-01-01
930315002370 1993-03-15 BIENNIAL STATEMENT 1993-01-01
B753698-2 1989-03-16 CERTIFICATE OF AMENDMENT 1989-03-16

Related by officers

REGISTERED AGENT REVOKED

AG MM, L.P. TECHSPACE NEW YORK INC. BH SALES & MARKETING, LLC KOC FUNDING CORPORATION TRANS POWER MAURITIUS AG REALTY VII (AU) INVESTMENTS, L.P. AG REALTY VII (TE) INVESTMENTS LLC AG REALTY FUND VII(AC), L.P. AG PRIVATE EQUITY PARTNERS II, L.P. SILVER OAK CAPITAL LLC

THE CORPORATION

ARSHIA DESIGNS INC. AAA VACUUM CORP. ATLANTICA TELECOM, INC. MISTY SPORTSWEAR, INC. INRACKS, INC. FAT JAMS ELECTRONICS INC. CROQUEMBOUCHE, INC. LONG BEACH PEDIATRIC GROUP, P.C. LAW OFFICES OF JOSEPH A. GRECO, P.C. TEREZ, INC.

Related by address

430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY, United States, 10022

ACUMEN BIOVENTURES LLC BDHD II LLC CUTTER MC LLC H.C. WAINWRIGHT & CO., LLC RODMAN & RENSHAW, LLC OF DELAWARE RR CONFERENCE MANAGEMENT LLC STOCKBLOCK LLC STOCKBLOCK SECURITIES LLC ICOH LLC

Date of last update: 17 Nov 2024

Sources: New York Secretary of State

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