DUNHAM ASSOCIATES, INC. 401(K) PLAN
|
2012
|
460282077
|
2013-09-24
|
DUNHAM ASSOCIATES, INC.
|
109
|
|
File |
View Page
|
Three-digit plan number (PN) |
002
|
Effective date of plan |
1995-01-01
|
Business code |
541330
|
Sponsor’s telephone number |
6124657550
|
Plan sponsor’s mailing address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan sponsor’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan administrator’s name and address
Administrator’s EIN |
460282077 |
Plan administrator’s name |
DUNHAM ASSOCIATES, INC. |
Plan administrator’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402 |
Administrator’s telephone number |
6124657550 |
Number of participants as of the end of the plan year
Active participants |
93 |
Retired or separated participants receiving
benefits |
0 |
Other
retired or separated participants entitled to future benefits |
23 |
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 |
103 |
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 |
2013-09-24 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
Role |
Employer/plan sponsor |
Date |
2013-09-24 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
|
DUNHAM ASSOCIATES, INC. 401(K) PLAN
|
2011
|
460282077
|
2012-10-10
|
DUNHAM ASSOCIATES, INC.
|
117
|
|
File |
View Page
|
Three-digit plan number (PN) |
002
|
Effective date of plan |
1995-01-01
|
Business code |
541330
|
Sponsor’s telephone number |
6124657607
|
Plan sponsor’s mailing address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan sponsor’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan administrator’s name and address
Administrator’s EIN |
460282077 |
Plan administrator’s name |
DUNHAM ASSOCIATES, INC. |
Plan administrator’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402 |
Administrator’s telephone number |
6124657607 |
Number of participants as of the end of the plan year
Active participants |
84 |
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 |
105 |
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 |
2012-10-10 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
|
DUNHAM ASSOCIATES, INC. 401(K) PLAN
|
2010
|
460282077
|
2012-02-07
|
DUNHAM ASSOCIATES, INC.
|
119
|
|
Three-digit plan number (PN) |
002
|
Effective date of plan |
1995-01-01
|
Business code |
541330
|
Sponsor’s telephone number |
6124657607
|
Plan sponsor’s mailing address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan sponsor’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan administrator’s name and address
Administrator’s EIN |
460282077 |
Plan administrator’s name |
DUNHAM ASSOCIATES, INC. |
Plan administrator’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402 |
Administrator’s telephone number |
6124657607 |
Number of participants as of the end of the plan year
Active participants |
83 |
Retired or separated participants receiving
benefits |
0 |
Other
retired or separated participants entitled to future benefits |
34 |
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 |
113 |
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 |
2012-02-07 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
|
DUNHAM ASSOCIATES, INC. 401(K) PLAN
|
2010
|
460282077
|
2011-09-21
|
DUNHAM ASSOCIATES, INC.
|
119
|
|
Three-digit plan number (PN) |
002
|
Effective date of plan |
1995-01-01
|
Business code |
541330
|
Sponsor’s telephone number |
6124657607
|
Plan sponsor’s mailing address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan sponsor’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan administrator’s name and address
Administrator’s EIN |
460282077 |
Plan administrator’s name |
DUNHAM ASSOCIATES, INC. |
Plan administrator’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402 |
Administrator’s telephone number |
6124657607 |
Number of participants as of the end of the plan year
Active participants |
83 |
Retired or separated participants receiving
benefits |
0 |
Other
retired or separated participants entitled to future benefits |
34 |
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 |
113 |
Number of participants that
terminated
employment during the plan year with accrued benefits that were less than 100%
vested |
0 |
Signature of
Role |
Employer/plan sponsor |
Date |
2011-09-21 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
|
DUNHAM ASSOCIATES, INC. 401(K) PLAN
|
2009
|
460282077
|
2010-09-08
|
DUNHAM ASSOCIATES, INC.
|
128
|
|
File |
View Page
|
Three-digit plan number (PN) |
002
|
Effective date of plan |
1995-01-01
|
Business code |
541330
|
Sponsor’s telephone number |
6124657607
|
Plan sponsor’s mailing address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan sponsor’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan administrator’s name and address
Administrator’s EIN |
460282077 |
Plan administrator’s name |
DUNHAM ASSOCIATES, INC. |
Plan administrator’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402 |
Administrator’s telephone number |
6124657607 |
Number of participants as of the end of the plan year
Active participants |
81 |
Retired or separated participants receiving
benefits |
0 |
Other
retired or separated participants entitled to future benefits |
38 |
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 |
115 |
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 |
2010-09-08 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
Role |
Employer/plan sponsor |
Date |
2010-09-08 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
|
DUNHAM ASSOCIATES, INC. 401(K) PLAN
|
2009
|
460282077
|
2010-09-08
|
DUNHAM ASSOCIATES, INC.
|
128
|
|
Three-digit plan number (PN) |
002
|
Effective date of plan |
1995-01-01
|
Business code |
541330
|
Sponsor’s telephone number |
6124657607
|
Plan sponsor’s mailing address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan sponsor’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402
|
Plan administrator’s name and address
Administrator’s EIN |
460282077 |
Plan administrator’s name |
DUNHAM ASSOCIATES, INC. |
Plan administrator’s
address |
50 SOUTH SIXTH ST., SUITE 1100, MINNEAPOLIS, MN, 55402 |
Administrator’s telephone number |
6124657607 |
Number of participants as of the end of the plan year
Active participants |
81 |
Retired or separated participants receiving
benefits |
0 |
Other
retired or separated participants entitled to future benefits |
38 |
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 |
115 |
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 |
2010-09-08 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
Role |
Employer/plan sponsor |
Date |
2010-09-08 |
Name of individual signing |
TOM BETLEY |
Valid signature |
Filed with authorized/valid electronic signature |
|
|