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   Basic Info (Short Form)

Company:
Castalia Advisors LLC

Plan:
Castalia Advisors LLC Profit Sharing 401K Plan
 
Form 5500 | Basic Information
Plan Information
Plan Year 01/01/2013 — 12/31/2013
Effective Date of Plan 01/01/2005
Net Assets as of 12/31/2013 $2,132,155
Plan Number 1
Plan Type Single Employer
Did the plan file for an extension of time or the DFVC Program? Yes

Participant Information as of 12/31/2013
Total 3
Total number of participants as of 01/01/2013 3
Number of participants with account balances 3

Financial Information as of 12/31/2013
Total Assets (EOY) $2,132,155
Total Liabilities (EOY) $0
Net Assets (EOY) $2,132,155
Financial Information as of 01/01/2013
Total Assets (BOY) $2,238,293
Total Liabilities (BOY) $0
Net Assets (BOY) $2,238,293
Income
Cash from Employers $0
Cash from Participants $1,600
Others (including rollovers) $0
Other Income $-107,738
Total Income $-106,138
Net Income $-106,138
Expenses
Total Benefit Payments $0
Corrective Distributions $0
Administrative Service Providers $0
Other Expenses $0
Total Expenses $0
Total Transfers $0
Plan Sponsor Information
Address 11 Apple Tree Lane
Pound Ridge, NY 10576 -2338
Telephone (914) 764-8155
EIN 30-0208528
Industry Code 523900
Named Administrator Jay C. Goodgal
Named Plan Sponsor Jay C. Goodgal

Benefits Provided Under the Plan
Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2H Partial participant-directed account plan Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J Code section 401(k) feature A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
3B Self-Employed Plan Plan covering Self-Employed individuals.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Question   Answer Amount
1. During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No  
2. Were there any nonexempt transactions with any party-in-interest? No  
3. Was this plan covered by a fidelity bond? No  
4. Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No  
5. Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No  
6. Has the plan failed to provide any benefit when due under the plan? No  
7. If this is an individual account plan, was there a blackout period? No  
8. If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3?