401k Plan data: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST plan

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST
Plan identification number	001

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	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.

401k Sponsoring company profile

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

Employer identification number (EIN): 141809293

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 JEANINE BORKO 2016-11-16 JEANINE BORKO 2016-11-16
001 2013-01-01 LUDWIG BACH
001 2012-01-01 LUDWIG BACH
001 2011-01-01 LUDWIG BACH
001 2009-01-01 LUDWIG BACH

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	JEANINE BORKO	2016-11-16	JEANINE BORKO	2016-11-16
001	2013-01-01	LUDWIG BACH
001	2012-01-01	LUDWIG BACH
001	2011-01-01	LUDWIG BACH
001	2009-01-01	LUDWIG BACH

Plan Statistics for NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST

Measure Date Value
2013: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 7
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 7
Number of participants with account balances 2013-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 7
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 7
Number of participants with account balances 2012-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 7
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 8
Number of participants with account balances 2011-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 7
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 0
Total of all active and inactive participants 2009-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 7
Number of participants with account balances 2009-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	7
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	7
Number of participants with account balances	2013-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	7
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	7
Number of participants with account balances	2012-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	7
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	8
Number of participants with account balances	2011-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	7
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	0
Total of all active and inactive participants	2009-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	7
Number of participants with account balances	2009-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2013 : NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k financial data
Total income from all sources	2013-12-31	$92,421
Expenses. Total of all expenses incurred	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$230,194
Total plan assets at beginning of year	2013-12-31	$137,773
Total contributions received or receivable from participants	2013-12-31	$46,559
Other income received	2013-12-31	$29,359
Net income (gross income less expenses)	2013-12-31	$92,421
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$230,194
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$137,773
Assets. Value of participant loans	2013-12-31	$0
Total contributions received or receivable from employer(s)	2013-12-31	$16,503
2012 : NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k financial data
Transfers to/from the plan	2012-12-31	$73,699
Total income from all sources	2012-12-31	$55,997
Expenses. Total of all expenses incurred	2012-12-31	$102,435
Benefits paid (including direct rollovers)	2012-12-31	$102,435
Total plan assets at end of year	2012-12-31	$137,773
Total plan assets at beginning of year	2012-12-31	$110,512
Total contributions received or receivable from participants	2012-12-31	$36,536
Other income received	2012-12-31	$6,982
Net income (gross income less expenses)	2012-12-31	$-46,438
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$137,773
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$110,512
Assets. Value of participant loans	2012-12-31	$557
Total contributions received or receivable from employer(s)	2012-12-31	$12,479
2011 : NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$1,448
Total plan assets at end of year	2011-12-31	$110,512
Total plan assets at beginning of year	2011-12-31	$109,064
Total contributions received or receivable from participants	2011-12-31	$1,864
Other income received	2011-12-31	$-1,648
Net income (gross income less expenses)	2011-12-31	$1,448
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$110,512
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$109,064
Assets. Value of participant loans	2011-12-31	$1,983
Total contributions received or receivable from employer(s)	2011-12-31	$1,232
2010 : NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$19,358
Total plan assets at end of year	2010-12-31	$109,064
Total plan assets at beginning of year	2010-12-31	$89,706
Total contributions received or receivable from participants	2010-12-31	$5,391
Other income received	2010-12-31	$11,446
Net income (gross income less expenses)	2010-12-31	$19,358
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$109,064
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$89,706
Assets. Value of participant loans	2010-12-31	$3,632
Total contributions received or receivable from employer(s)	2010-12-31	$2,521

Form 5500 Responses for NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST

2013: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: NEW HORIZONS ASSET MANAGEMENT GROUP, LLC 401(K) PROFIT SHARING PLAN AND TRUST 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:	NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
Employer identification number (EIN):	141809293
NAIC Classification:	523120
NAIC Description:	Securities Brokerage