401k Plan data: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN plan

HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 401k Plan overview

Plan Name	HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN
Plan identification number	002

HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Plan covered by PBGC that was terminated and closed out for PBGC purposes - Before the end of the plan year (or a prior plan year), (1) the plan terminated in a standard (or distress) termination and completed the distribution of plan assets in satisfaction of all benefit liabilities (or all ERISA Title IV benefits for distress termination); or (2) a trustee was appointed for a terminated plan pursuant to ERISA section 4042.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

HANLON INVESTMENT MANAGEMENT, INC. has sponsored the creation of one or more 401k plans.

Company Name: HANLON INVESTMENT MANAGEMENT, INC.

Employer identification number (EIN): 223723068

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01
002 2016-01-01
002 2015-01-01
002 2014-01-01
002 2013-01-01
002 2012-01-01 SEAN HANLON 2013-07-30 SEAN HANLON 2013-07-30
002 2011-01-01 SEAN HANLON 2012-07-24 SEAN HANLON 2012-07-24
002 2010-01-01 SEAN HANLON 2011-10-31 SEAN HANLON 2011-10-31

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2017-01-01
002	2016-01-01
002	2015-01-01
002	2014-01-01
002	2013-01-01
002	2012-01-01	SEAN HANLON	2013-07-30	SEAN HANLON	2013-07-30
002	2011-01-01	SEAN HANLON	2012-07-24	SEAN HANLON	2012-07-24
002	2010-01-01	SEAN HANLON	2011-10-31	SEAN HANLON	2011-10-31

Plan Statistics for HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN

401k plan membership statisitcs for HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN

Measure Date Value
2017: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2017 401k membership
Market value of plan assets 2017-10-20 1,745,133
Acturial value of plan assets 2017-10-20 1,745,133
Funding target for retired participants and beneficiaries receiving payment 2017-10-20 0
Number of terminated vested participants 2017-10-20 17
Fundng target for terminated vested participants 2017-10-20 62,026
Active participant vested funding target 2017-10-20 1,070,813
Number of active participants 2017-10-20 124
Total funding liabilities for active participants 2017-10-20 1,070,813
Total participant count 2017-10-20 141
Total funding target for all participants 2017-10-20 1,132,839
Balance at beginning of prior year after applicable adjustments 2017-10-20 0
Prefunding balance at beginning of prior year after applicable adjustments 2017-10-20 0
Carryover balanced portion elected for use to offset prior years funding requirement 2017-10-20 0
Prefunding balanced used to offset prior years funding requirement 2017-10-20 0
Amount remaining of carryover balance 2017-10-20 0
Amount remaining of prefunding balance 2017-10-20 0
Present value of excess contributions 2017-10-20 242,323
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2017-10-20 257,153
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2017-10-20 0
Reductions in caryover balances due to elections or deemed elections 2017-10-20 0
Reductions in prefunding balances due to elections or deemed elections 2017-10-20 0
Balance of carryovers at beginning of current year 2017-10-20 0
Balance of prefunding at beginning of current year 2017-10-20 0
Contributions allocated toward unpaid minimum require contributions from prior years 2017-10-20 0
Contributions made to avoid restrictions adjusted to valuation date 2017-10-20 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2017-10-20 0
Unpaid minimum required contributions for all prior years 2017-10-20 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2017-10-20 0
Remaining amount of unpaid minimum required contributions 2017-10-20 0
Minimum required contributions for current year target normal cost 2017-10-20 0
Net shortfall amortization installment of oustanding balance 2017-10-20 0
Waiver amortization installment 2017-10-20 0
Total funding amount beforereflecting carryover/prefunding balances 2017-10-20 0
Additional cash requirement 2017-10-20 0
Contributions allocatedtoward minimum required contributions for current year 2017-10-20 0
Unpaid minimum required contributions for current year 2017-10-20 0
Unpaid minimum required contributions for all years 2017-10-20 0
Total participants, beginning-of-year 2017-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2016 401k membership
Market value of plan assets 2016-12-31 1,421,080
Acturial value of plan assets 2016-12-31 1,421,080
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 0
Number of terminated vested participants 2016-12-31 12
Fundng target for terminated vested participants 2016-12-31 18,132
Active participant vested funding target 2016-12-31 919,115
Number of active participants 2016-12-31 121
Total funding liabilities for active participants 2016-12-31 922,650
Total participant count 2016-12-31 133
Total funding target for all participants 2016-12-31 940,782
Balance at beginning of prior year after applicable adjustments 2016-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 0
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 0
Amount remaining of carryover balance 2016-12-31 0
Amount remaining of prefunding balance 2016-12-31 0
Present value of excess contributions 2016-12-31 290,606
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 308,943
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 0
Balance of prefunding at beginning of current year 2016-12-31 0
Total employer contributions 2016-12-31 261,415
Total employee contributions 2016-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 242,323
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 149,031
Net shortfall amortization installment of oustanding balance 2016-12-31 0
Waiver amortization installment 2016-12-31 0
Waived amount of outstanding balance 2016-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 0
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 0
Additional cash requirement 2016-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 242,323
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0
Total participants, beginning-of-year 2016-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 121
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 17
Total of all active and inactive participants 2016-01-01 138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 10
2015: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 116
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 12
Total of all active and inactive participants 2015-01-01 128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 6

Measure	Date	Value
2017: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2017 401k membership
Market value of plan assets	2017-10-20	1,745,133
Acturial value of plan assets	2017-10-20	1,745,133
Funding target for retired participants and beneficiaries receiving payment	2017-10-20	0
Number of terminated vested participants	2017-10-20	17
Fundng target for terminated vested participants	2017-10-20	62,026
Active participant vested funding target	2017-10-20	1,070,813
Number of active participants	2017-10-20	124
Total funding liabilities for active participants	2017-10-20	1,070,813
Total participant count	2017-10-20	141
Total funding target for all participants	2017-10-20	1,132,839
Balance at beginning of prior year after applicable adjustments	2017-10-20	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-10-20	0
Carryover balanced portion elected for use to offset prior years funding requirement	2017-10-20	0
Prefunding balanced used to offset prior years funding requirement	2017-10-20	0
Amount remaining of carryover balance	2017-10-20	0
Amount remaining of prefunding balance	2017-10-20	0
Present value of excess contributions	2017-10-20	242,323
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-10-20	257,153
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-10-20	0
Reductions in caryover balances due to elections or deemed elections	2017-10-20	0
Reductions in prefunding balances due to elections or deemed elections	2017-10-20	0
Balance of carryovers at beginning of current year	2017-10-20	0
Balance of prefunding at beginning of current year	2017-10-20	0
Contributions allocated toward unpaid minimum require contributions from prior years	2017-10-20	0
Contributions made to avoid restrictions adjusted to valuation date	2017-10-20	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-10-20	0
Unpaid minimum required contributions for all prior years	2017-10-20	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-10-20	0
Remaining amount of unpaid minimum required contributions	2017-10-20	0
Minimum required contributions for current year target normal cost	2017-10-20	0
Net shortfall amortization installment of oustanding balance	2017-10-20	0
Waiver amortization installment	2017-10-20	0
Total funding amount beforereflecting carryover/prefunding balances	2017-10-20	0
Additional cash requirement	2017-10-20	0
Contributions allocatedtoward minimum required contributions for current year	2017-10-20	0
Unpaid minimum required contributions for current year	2017-10-20	0
Unpaid minimum required contributions for all years	2017-10-20	0
Total participants, beginning-of-year	2017-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2016 401k membership
Market value of plan assets	2016-12-31	1,421,080
Acturial value of plan assets	2016-12-31	1,421,080
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	0
Number of terminated vested participants	2016-12-31	12
Fundng target for terminated vested participants	2016-12-31	18,132
Active participant vested funding target	2016-12-31	919,115
Number of active participants	2016-12-31	121
Total funding liabilities for active participants	2016-12-31	922,650
Total participant count	2016-12-31	133
Total funding target for all participants	2016-12-31	940,782
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	0
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	0
Present value of excess contributions	2016-12-31	290,606
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	308,943
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	0
Total employer contributions	2016-12-31	261,415
Total employee contributions	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	242,323
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	149,031
Net shortfall amortization installment of oustanding balance	2016-12-31	0
Waiver amortization installment	2016-12-31	0
Waived amount of outstanding balance	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	0
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	0
Additional cash requirement	2016-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	242,323
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0
Total participants, beginning-of-year	2016-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	121
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	17
Total of all active and inactive participants	2016-01-01	138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	10
2015: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	116
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	12
Total of all active and inactive participants	2015-01-01	128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	6

Financial Data on HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN

Measure	Date	Value
2017 : HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2017 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-10-20	$0
Total income from all sources (including contributions)	2017-10-20	$26,196
Total of all expenses incurred	2017-10-20	$1,775,591
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-10-20	$1,741,308
Value of total assets at end of year	2017-10-20	$0
Value of total assets at beginning of year	2017-10-20	$1,749,395
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-10-20	$34,283
Total dividends received (eg from common stock, registered investment company shares)	2017-10-20	$26,965
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-10-20	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-10-20	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-10-20	$26,965
Administrative expenses professional fees incurred	2017-10-20	$25,415
Was this plan covered by a fidelity bond	2017-10-20	Yes
Value of fidelity bond cover	2017-10-20	$500,000
Were there any nonexempt tranactions with any party-in-interest	2017-10-20	No
Administrative expenses (other) incurred	2017-10-20	$8,868
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-10-20	No
Value of net income/loss	2017-10-20	$-1,749,395
Value of net assets at end of year (total assets less liabilities)	2017-10-20	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-10-20	$1,749,395
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-10-20	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-10-20	No
Were any leases to which the plan was party in default or uncollectible	2017-10-20	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-10-20	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-10-20	$1,439,410
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-10-20	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-10-20	$48,570
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-10-20	$48,570
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-10-20	$-769
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-10-20	No
Was there a failure to transmit to the plan any participant contributions	2017-10-20	No
Has the plan failed to provide any benefit when due under the plan	2017-10-20	No
Employer contributions (assets) at end of year	2017-10-20	$0
Employer contributions (assets) at beginning of year	2017-10-20	$261,415
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-10-20	$1,741,308
Did the plan have assets held for investment	2017-10-20	No
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	2017-10-20	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-10-20	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-10-20	Yes
Opinion of an independent qualified public accountant for this plan	2017-10-20	Disclaimer
Accountancy firm name	2017-10-20	HOLMAN FRENIA ALLISON, P.C.
Accountancy firm EIN	2017-10-20	223480145
2016 : HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$340,514
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$17,513
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$17,513
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$261,415
Value of total assets at end of year	2016-12-31	$1,749,395
Value of total assets at beginning of year	2016-12-31	$1,426,394
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$0
Total interest from all sources	2016-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$59,898
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$59,898
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$323,001
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$1,749,395
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$1,426,394
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$1,439,410
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$1,080,082
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$48,570
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$32,055
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$32,055
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$19,201
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$261,415
Employer contributions (assets) at end of year	2016-12-31	$261,415
Employer contributions (assets) at beginning of year	2016-12-31	$314,257
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$17,513
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	HOLMAN FRENIA ALLISON, P.C.
Accountancy firm EIN	2016-12-31	223480145
2015 : HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE 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	$0
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	$259,101
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$16,695
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$15,995
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$314,257
Value of total assets at end of year	2015-12-31	$1,426,394
Value of total assets at beginning of year	2015-12-31	$1,183,988
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$700
Total interest from all sources	2015-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$31,880
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	$31,880
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$0
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	$242,406
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$1,426,394
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$1,183,988
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	$700
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$1,080,082
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$32,055
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$848,089
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$848,089
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-87,036
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	$314,257
Employer contributions (assets) at end of year	2015-12-31	$314,257
Employer contributions (assets) at beginning of year	2015-12-31	$335,899
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$15,995
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
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	HOLMAN FRENIA ALLISON, P.C.
Accountancy firm EIN	2015-12-31	223480145

Form 5500 Responses for HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN

2017: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: HANLON INVESTMENT MANAGEMENT, INC. CASH BALANCE 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

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Company Name:	HANLON INVESTMENT MANAGEMENT, INC.
Employer identification number (EIN):	223723068
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing