401k Plan data: TRADITION 401(K) PLAN plan

TRADITION 401(K) PLAN 401k Plan overview

Plan Name	TRADITION 401(K) PLAN
Plan identification number	001

TRADITION 401(K) 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.

401k Sponsoring company profile

TRADITION FINANCIAL SERVICES, INC. has sponsored the creation of one or more 401k plans.

Company Name: TRADITION FINANCIAL SERVICES, INC.

Employer identification number (EIN): 222596917

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TRADITION 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 CAMILLE SLEPIAN
001 2014-01-01 CAMILLE SLEPIAN
001 2013-01-01 CAMILLE SLEPIAN
001 2012-01-01 CAMILLE SLEPIAN
001 2011-01-01 CAMILLE SLEPIAN
001 2009-01-01 CAMILLE SLEPIAN

Plan id#	Filing Submission Date	Name of Administrator
001	2015-01-01	CAMILLE SLEPIAN
001	2014-01-01	CAMILLE SLEPIAN
001	2013-01-01	CAMILLE SLEPIAN
001	2012-01-01	CAMILLE SLEPIAN
001	2011-01-01	CAMILLE SLEPIAN
001	2009-01-01	CAMILLE SLEPIAN

Plan Statistics for TRADITION 401(K) PLAN

401k plan membership statisitcs for TRADITION 401(K) PLAN

Measure Date Value
2015: TRADITION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 644
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 494
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 153
Total of all active and inactive participants 2015-01-01 647
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 647
Number of participants with account balances 2015-01-01 552
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: TRADITION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 281
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 453
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 173
Total of all active and inactive participants 2014-01-01 626
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 626
Number of participants with account balances 2014-01-01 556
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 16
2013: TRADITION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 283
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 206
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 71
Total of all active and inactive participants 2013-01-01 277
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 277
Number of participants with account balances 2013-01-01 227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: TRADITION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 285
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 214
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 62
Total of all active and inactive participants 2012-01-01 276
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 276
Number of participants with account balances 2012-01-01 231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: TRADITION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 262
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 217
Number of other retired or separated participants entitled to future benefits 2011-01-01 53
Total of all active and inactive participants 2011-01-01 270
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 270
Number of participants with account balances 2011-01-01 229
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: TRADITION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 287
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 224
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 54
Total of all active and inactive participants 2009-01-01 278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 278
Number of participants with account balances 2009-01-01 231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: TRADITION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	644
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	494
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	153
Total of all active and inactive participants	2015-01-01	647
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	647
Number of participants with account balances	2015-01-01	552
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: TRADITION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	281
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	453
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	173
Total of all active and inactive participants	2014-01-01	626
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	626
Number of participants with account balances	2014-01-01	556
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	16
2013: TRADITION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	283
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	206
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	71
Total of all active and inactive participants	2013-01-01	277
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	277
Number of participants with account balances	2013-01-01	227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: TRADITION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	285
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	214
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	62
Total of all active and inactive participants	2012-01-01	276
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	276
Number of participants with account balances	2012-01-01	231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: TRADITION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	262
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	217
Number of other retired or separated participants entitled to future benefits	2011-01-01	53
Total of all active and inactive participants	2011-01-01	270
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	270
Number of participants with account balances	2011-01-01	229
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: TRADITION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	287
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	224
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	54
Total of all active and inactive participants	2009-01-01	278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	278
Number of participants with account balances	2009-01-01	231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on TRADITION 401(K) PLAN

Measure	Date	Value
2015 : TRADITION 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$298,867
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$6,057,464
Total loss/gain on sale of assets	2015-12-31	$3,312,589
Total of all expenses incurred	2015-12-31	$8,109,589
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$7,811,039
Expenses. Certain deemed distributions of participant loans	2015-12-31	$214,957
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$6,548,431
Value of total assets at end of year	2015-12-31	$97,297,296
Value of total assets at beginning of year	2015-12-31	$99,050,554
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$83,593
Total interest from all sources	2015-12-31	$49,049
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,101,922
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,101,922
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$5,118,134
Participant contributions at end of year	2015-12-31	$1,193,816
Participant contributions at beginning of year	2015-12-31	$1,183,120
Participant contributions at beginning of year	2015-12-31	$138,276
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$37,248
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$14,952
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$50,100
Administrative expenses (other) incurred	2015-12-31	$34,654
Total non interest bearing cash at end of year	2015-12-31	$547,556
Total non interest bearing cash at beginning of year	2015-12-31	$4,035
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-2,052,125
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$96,998,429
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$99,050,554
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$48,939
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$82,720,456
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$93,190,062
Interest on participant loans	2015-12-31	$47,873
Value of interest in common/collective trusts at end of year	2015-12-31	$1,170,644
Value of interest in common/collective trusts at beginning of year	2015-12-31	$1,012,722
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$11,664,824
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$3,459,074
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$3,459,074
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$1,176
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-4,954,527
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,393,049
Employer contributions (assets) at beginning of year	2015-12-31	$48,313
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$7,811,039
Liabilities. Value of benefit claims payable at end of year	2015-12-31	$248,767
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$40,157,040
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$36,844,451
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	UHY LLP
Accountancy firm EIN	2015-12-31	200694403
2014 : TRADITION 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$62,907,059
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$4,417,662
Total loss/gain on sale of assets	2014-12-31	$82,186
Total of all expenses incurred	2014-12-31	$2,760,777
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,706,942
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,672,083
Value of total assets at end of year	2014-12-31	$99,050,554
Value of total assets at beginning of year	2014-12-31	$34,486,610
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$53,835
Total interest from all sources	2014-12-31	$8,763
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$460,329
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$460,329
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$2,084,136
Participant contributions at end of year	2014-12-31	$1,183,120
Participant contributions at beginning of year	2014-12-31	$210,194
Participant contributions at end of year	2014-12-31	$138,276
Participant contributions at beginning of year	2014-12-31	$68,992
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$14,850
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$14,952
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$2,653
Other income not declared elsewhere	2014-12-31	$1,194,301
Administrative expenses (other) incurred	2014-12-31	$1,200
Total non interest bearing cash at end of year	2014-12-31	$4,035
Total non interest bearing cash at beginning of year	2014-12-31	$3,865
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,656,885
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$99,050,554
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$34,486,610
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$52,635
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$93,190,062
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$30,228,512
Interest on participant loans	2014-12-31	$8,454
Value of interest in common/collective trusts at end of year	2014-12-31	$1,012,722
Value of interest in common/collective trusts at beginning of year	2014-12-31	$916,046
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$3,459,074
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$3,028,804
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$3,028,804
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$309
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$573,097
Employer contributions (assets) at end of year	2014-12-31	$48,313
Employer contributions (assets) at beginning of year	2014-12-31	$27,544
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,706,942
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$6,366,798
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$6,284,612
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	UHY LLP
Accountancy firm EIN	2014-12-31	200694403
2013 : TRADITION 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$7,950,790
Total loss/gain on sale of assets	2013-12-31	$673,372
Total of all expenses incurred	2013-12-31	$1,743,838
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,658,139
Expenses. Certain deemed distributions of participant loans	2013-12-31	$28,924
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,678,843
Value of total assets at end of year	2013-12-31	$34,486,610
Value of total assets at beginning of year	2013-12-31	$28,279,658
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$56,775
Total interest from all sources	2013-12-31	$9,803
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$404,123
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$404,123
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$2,106,648
Participant contributions at end of year	2013-12-31	$210,194
Participant contributions at beginning of year	2013-12-31	$206,080
Participant contributions at end of year	2013-12-31	$68,992
Participant contributions at beginning of year	2013-12-31	$72,291
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$6,055
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$2,653
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$1,987
Administrative expenses (other) incurred	2013-12-31	$522
Total non interest bearing cash at end of year	2013-12-31	$3,865
Total non interest bearing cash at beginning of year	2013-12-31	$4,058
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$6,206,952
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$34,486,610
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$28,279,658
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$56,253
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$30,228,512
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$24,059,092
Interest on participant loans	2013-12-31	$9,528
Value of interest in common/collective trusts at end of year	2013-12-31	$916,046
Value of interest in common/collective trusts at beginning of year	2013-12-31	$951,534
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$3,028,804
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$2,955,397
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$2,955,397
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$275
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$4,184,649
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$566,140
Employer contributions (assets) at end of year	2013-12-31	$27,544
Employer contributions (assets) at beginning of year	2013-12-31	$29,219
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,658,139
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$9,742,396
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$9,069,024
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	COHNREZNICK LLP
Accountancy firm EIN	2013-12-31	221478099
2012 : TRADITION 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$5,732,747
Total loss/gain on sale of assets	2012-12-31	$386,779
Total of all expenses incurred	2012-12-31	$1,648,487
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,595,705
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,745,770
Value of total assets at end of year	2012-12-31	$28,279,658
Value of total assets at beginning of year	2012-12-31	$24,195,398
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$52,782
Total interest from all sources	2012-12-31	$9,467
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$373,623
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$373,623
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$2,156,607
Participant contributions at end of year	2012-12-31	$206,080
Participant contributions at beginning of year	2012-12-31	$181,993
Participant contributions at end of year	2012-12-31	$72,291
Participant contributions at beginning of year	2012-12-31	$72,108
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$5,204
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$1,987
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$1,443
Administrative expenses (other) incurred	2012-12-31	$665
Total non interest bearing cash at end of year	2012-12-31	$4,058
Total non interest bearing cash at beginning of year	2012-12-31	$3,813
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$4,084,260
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$28,279,658
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$24,195,398
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$52,117
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$24,059,092
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$20,279,962
Interest on participant loans	2012-12-31	$9,184
Value of interest in common/collective trusts at end of year	2012-12-31	$951,534
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$2,955,397
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$3,067,526
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$3,067,526
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$283
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$557,563
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,217,108
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$583,959
Employer contributions (assets) at end of year	2012-12-31	$29,219
Employer contributions (assets) at beginning of year	2012-12-31	$30,990
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,595,705
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$8,694,660
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$8,307,881
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	COHNREZNICK LLP
Accountancy firm EIN	2012-12-31	221478099
2011 : TRADITION 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,851,127
Total loss/gain on sale of assets	2011-12-31	$-103,464
Total of all expenses incurred	2011-12-31	$1,095,118
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$981,368
Expenses. Certain deemed distributions of participant loans	2011-12-31	$63,995
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,972,054
Value of total assets at end of year	2011-12-31	$24,195,398
Value of total assets at beginning of year	2011-12-31	$23,439,389
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$49,755
Total interest from all sources	2011-12-31	$7,901
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$2,171,546
Participant contributions at end of year	2011-12-31	$181,993
Participant contributions at beginning of year	2011-12-31	$71,257
Participant contributions at end of year	2011-12-31	$72,108
Participant contributions at beginning of year	2011-12-31	$69,859
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$212,457
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$1,443
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$1,262
Administrative expenses (other) incurred	2011-12-31	$1,921
Total non interest bearing cash at end of year	2011-12-31	$3,813
Total non interest bearing cash at beginning of year	2011-12-31	$3,618
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$756,009
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$24,195,398
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$23,439,389
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$47,834
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$20,279,962
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$19,960,309
Interest on participant loans	2011-12-31	$6,505
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$3,067,526
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$2,877,658
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$2,877,658
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$1,396
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$557,563
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$418,900
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,025,364
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$588,051
Employer contributions (assets) at end of year	2011-12-31	$30,990
Employer contributions (assets) at beginning of year	2011-12-31	$36,526
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$981,368
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$7,259,837
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$7,363,301
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	J.H. COHN LLP
Accountancy firm EIN	2011-12-31	221478099
2010 : TRADITION 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$5,327,275
Total loss/gain on sale of assets	2010-12-31	$68,541
Total of all expenses incurred	2010-12-31	$1,138,425
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,092,155
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,662,888
Value of total assets at end of year	2010-12-31	$23,439,389
Value of total assets at beginning of year	2010-12-31	$19,250,539
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$46,270
Total interest from all sources	2010-12-31	$7,332
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$2,075,575
Participant contributions at end of year	2010-12-31	$71,257
Participant contributions at beginning of year	2010-12-31	$136,427
Participant contributions at end of year	2010-12-31	$69,859
Participant contributions at beginning of year	2010-12-31	$66,697
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$8,062
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$1,262
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$4,440
Administrative expenses (other) incurred	2010-12-31	$6,061
Total non interest bearing cash at end of year	2010-12-31	$3,618
Total non interest bearing cash at beginning of year	2010-12-31	$32,172
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$4,188,850
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$23,439,389
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$19,250,539
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$40,209
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$19,960,309
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$15,586,496
Interest on participant loans	2010-12-31	$5,769
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$2,877,658
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$3,039,303
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$3,039,303
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$1,563
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$418,900
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$350,794
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$2,588,514
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$579,251
Employer contributions (assets) at end of year	2010-12-31	$36,526
Employer contributions (assets) at beginning of year	2010-12-31	$34,210
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,092,155
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$6,854,525
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$6,785,984
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	J.H. COHN LLP
Accountancy firm EIN	2010-12-31	221478099
2009 : TRADITION 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for TRADITION 401(K) PLAN

2015: TRADITION 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: TRADITION 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: TRADITION 401(K) PLAN 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: TRADITION 401(K) PLAN 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: TRADITION 401(K) PLAN 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: TRADITION 401(K) 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	28632
Policy instance	1
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	28632
Policy instance	1
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	28632
Policy instance	1

Potentially related plans

TRADITION 401(K) PLAN [EIN = 464698351]

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Company Name:	TRADITION FINANCIAL SERVICES, INC.
Employer identification number (EIN):	222596917
NAIC Classification:	523120
NAIC Description:	Securities Brokerage