401k Plan data: THE TROUT GROUP 401(K) PROFIT SHARING PLAN plan

THE TROUT GROUP 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	THE TROUT GROUP 401(K) PROFIT SHARING PLAN
Plan identification number	001

THE TROUT GROUP 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
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.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

THE TROUT GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: THE TROUT GROUP, LLC

Employer identification number (EIN): 133907387

NAIC Classification: 523900

Additional information about THE TROUT GROUP, LLC

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1996-08-19

Company Identification Number: 2058429

Legal Registered Office Address: 740 BROADWAY
SUITE 903
NEW YORK
United States of America (USA)
10003

More information about THE TROUT GROUP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE TROUT GROUP 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 JONATHAN FASSBERG 2013-06-17 JONATHAN FASSBERG 2013-06-17
001 2010-01-01 JONATHAN FASSBERG
001 2009-01-01 JONATHAN FASSBERG

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	JONATHAN FASSBERG	2013-06-17	JONATHAN FASSBERG	2013-06-17
001	2010-01-01	JONATHAN FASSBERG
001	2009-01-01	JONATHAN FASSBERG

Plan Statistics for THE TROUT GROUP 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for THE TROUT GROUP 401(K) PROFIT SHARING PLAN

Measure Date Value
2010: THE TROUT GROUP 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 29
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 0
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 0
Number of participants with account balances 2010-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: THE TROUT GROUP 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 23
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 29
Number of participants with account balances 2009-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2010: THE TROUT GROUP 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	29
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	0
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	0
Number of participants with account balances	2010-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: THE TROUT GROUP 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	23
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	29
Number of participants with account balances	2009-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on THE TROUT GROUP 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2010 : THE TROUT GROUP 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-05-28	$-2,533,034
Total income from all sources	2010-05-28	$118,896
Expenses. Total of all expenses incurred	2010-05-28	$417,472
Benefits paid (including direct rollovers)	2010-05-28	$417,447
Total plan assets at end of year	2010-05-28	$0
Total plan assets at beginning of year	2010-05-28	$2,831,610
Value of fidelity bond covering the plan	2010-05-28	$225,000
Total contributions received or receivable from participants	2010-05-28	$77,889
Other income received	2010-05-28	$-71,622
Net income (gross income less expenses)	2010-05-28	$-298,576
Net plan assets at end of year (total assets less liabilities)	2010-05-28	$0
Net plan assets at beginning of year (total assets less liabilities)	2010-05-28	$2,831,610
Total contributions received or receivable from employer(s)	2010-05-28	$112,629
Expenses. Administrative service providers (salaries,fees and commissions)	2010-05-28	$25

Form 5500 Responses for THE TROUT GROUP 401(K) PROFIT SHARING PLAN

2010: THE TROUT GROUP 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	Yes
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THE TROUT GROUP 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE TROUT GROUP, LLC
Employer identification number (EIN):	133907387
NAIC Classification:	523900

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1996-08-19
Company Identification Number:	2058429
Legal Registered Office Address:	740 BROADWAY SUITE 903 NEW YORK United States of America (USA) 10003