|
INNOVATIVE CAPITAL ADVISORS, LLC 401(K) PLAN
|
2012
|
134205519
|
2013-10-10
|
INNOVATIVE CAPITAL ADVISORS, LLC
|
7
|
|
| File |
View Page
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2007-07-20
|
| Business code |
525990
|
| Sponsor’s telephone number |
3123321965
|
| Plan sponsor’s mailing address |
ONE NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
| Plan sponsor’s
address |
ONE NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
Plan administrator’s name and address
| Administrator’s EIN |
134205519 |
| Plan administrator’s name |
INNOVATIVE CAPITAL ADVISORS, LLC |
| Plan administrator’s
address |
ONE NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606 |
| Administrator’s telephone number |
3123321965 |
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 |
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 |
3 |
| 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 |
2013-10-10 |
| Name of individual signing |
TRACY MCLEOD |
| Valid signature |
Filed with authorized/valid electronic signature |
|
| Role |
Employer/plan sponsor |
| Date |
2013-10-10 |
| Name of individual signing |
TRACY MCLEOD |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
|
INNOVATIVE CAPITAL ADVISORS, LLC 401(K) PLAN
|
2011
|
134205519
|
2012-12-19
|
INNOVATIVE CAPITAL ADVISORS, LLC
|
7
|
|
| File |
View Page
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2007-07-20
|
| Business code |
525990
|
| Sponsor’s telephone number |
3123321965
|
| Plan sponsor’s mailing address |
1 NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
| Plan sponsor’s
address |
1 NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
Plan administrator’s name and address
| Administrator’s EIN |
134205519 |
| Plan administrator’s name |
INNOVATIVE CAPITAL ADVISORS, LLC |
| Plan administrator’s
address |
1 NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606 |
| Administrator’s telephone number |
3123321965 |
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 |
3 |
| 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 |
2012-12-19 |
| Name of individual signing |
TRACY MCLEOD |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
|
INNOVATIVE CAPITAL ADVISORS, LLC 401(K) PLAN
|
2010
|
134205519
|
2011-10-14
|
INNOVATIVE CAPITAL ADVISORS, LLC
|
7
|
|
| File |
View Page
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2007-07-20
|
| Business code |
525990
|
| Sponsor’s telephone number |
3123321965
|
| Plan sponsor’s mailing address |
1 NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
| Plan sponsor’s
address |
1 NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
Plan administrator’s name and address
| Administrator’s EIN |
134205519 |
| Plan administrator’s name |
INNOVATIVE CAPITAL ADVISORS, LLC |
| Plan administrator’s
address |
1 NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606 |
| Administrator’s telephone number |
3123321965 |
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 |
3 |
| 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 |
2011-10-14 |
| Name of individual signing |
TRACY MCLEOD |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
|
INNOVATIVE CAPITAL ADVISORS, LLC 401(K) PLAN
|
2009
|
134205519
|
2010-10-26
|
INNOVATIVE CAPITAL ADVISORS, LLC
|
7
|
|
| File |
View Page
|
| Three-digit plan number (PN) |
001
|
| Effective date of plan |
2007-07-20
|
| Business code |
525990
|
| Sponsor’s telephone number |
3123321965
|
| Plan sponsor’s mailing address |
ONE NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
| Plan sponsor’s
address |
ONE NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606
|
Plan administrator’s name and address
| Administrator’s EIN |
134205519 |
| Plan administrator’s name |
INNOVATIVE CAPITAL ADVISORS, LLC |
| Plan administrator’s
address |
ONE NORTH WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606 |
| Administrator’s telephone number |
3123321965 |
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 |
3 |
| 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 |
2010-10-26 |
| Name of individual signing |
TRACY MCLEOD |
| Valid signature |
Filed with authorized/valid electronic signature |
|
|
