401k Plan data: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN plan

HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 401k Plan overview

Plan Name	HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN
Plan identification number	001

HORIZON ENGINEERING ASSOCIATES, LLP 401K 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.
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

HORIZON ENGINEERING ASSOCIATES, LLP has sponsored the creation of one or more 401k plans.

Company Name: HORIZON ENGINEERING ASSOCIATES, LLP

Employer identification number (EIN): 113551488

NAIC Classification: 541330
NAIC Description: Engineering Services

Additional information about HORIZON ENGINEERING ASSOCIATES, LLP

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 2000-04-19

Company Identification Number: 2500439

Legal Registered Office Address: 30 BROAD ST
15TH FL
NEW YORK
United States of America (USA)
10004

More information about HORIZON ENGINEERING ASSOCIATES, LLP

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 RICHARD MADARASZ 2017-07-20
001 2015-01-01 RICHARD MADARASZ 2016-07-25
001 2014-01-01 RICHARD MADARASZ
001 2013-01-01 RICHARD MADARASZ
001 2012-01-01 RICHARD MADARASZ
001 2011-01-01 RICHARD MADARASZ
001 2010-01-01 RICHARD MADARASZ
001 2009-01-01 RICHARD MADARASZ

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2016-01-01	RICHARD MADARASZ	2017-07-20
001	2015-01-01	RICHARD MADARASZ	2016-07-25
001	2014-01-01	RICHARD MADARASZ
001	2013-01-01	RICHARD MADARASZ
001	2012-01-01	RICHARD MADARASZ
001	2011-01-01	RICHARD MADARASZ
001	2010-01-01	RICHARD MADARASZ
001	2009-01-01	RICHARD MADARASZ

Plan Statistics for HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN

401k plan membership statisitcs for HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN

Measure Date Value
2014: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 104
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 61
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 22
Total of all active and inactive participants 2014-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 83
Number of participants with account balances 2014-01-01 74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 137
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 66
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 38
Total of all active and inactive participants 2013-01-01 104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 104
Number of participants with account balances 2013-01-01 91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 6
2012: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 94
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 37
Total of all active and inactive participants 2012-01-01 131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 131
Number of participants with account balances 2012-01-01 103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 4
2011: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 121
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 91
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 26
Total of all active and inactive participants 2011-01-01 117
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 117
Number of participants with account balances 2011-01-01 88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 6
2010: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 130
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 90
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 31
Total of all active and inactive participants 2010-01-01 121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 121
Number of participants with account balances 2010-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 16
2009: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 129
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 107
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 27
Total of all active and inactive participants 2009-01-01 134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 134
Number of participants with account balances 2009-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 5

Measure	Date	Value
2014: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	104
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	61
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	22
Total of all active and inactive participants	2014-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	83
Number of participants with account balances	2014-01-01	74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	137
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	66
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	38
Total of all active and inactive participants	2013-01-01	104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	104
Number of participants with account balances	2013-01-01	91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	6
2012: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	94
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	37
Total of all active and inactive participants	2012-01-01	131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	131
Number of participants with account balances	2012-01-01	103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	4
2011: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	121
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	91
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	26
Total of all active and inactive participants	2011-01-01	117
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	117
Number of participants with account balances	2011-01-01	88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	6
2010: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	130
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	90
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	31
Total of all active and inactive participants	2010-01-01	121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	121
Number of participants with account balances	2010-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	16
2009: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	129
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	107
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	27
Total of all active and inactive participants	2009-01-01	134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	134
Number of participants with account balances	2009-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	5

Financial Data on HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN

Measure	Date	Value
2014 : HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
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	$627,470
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$790,948
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$769,506
Expenses. Certain deemed distributions of participant loans	2014-12-31	$18,467
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$444,194
Value of total assets at end of year	2014-12-31	$3,287,948
Value of total assets at beginning of year	2014-12-31	$3,451,426
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$2,975
Total interest from all sources	2014-12-31	$6,648
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$45,110
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	$45,110
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$350,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$324,893
Participant contributions at end of year	2014-12-31	$141,181
Participant contributions at beginning of year	2014-12-31	$175,754
Participant contributions at end of year	2014-12-31	$15,293
Participant contributions at beginning of year	2014-12-31	$11,700
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$13,756
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$68
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	$-163,478
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$3,287,948
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$3,451,426
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$3,098,626
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$3,150,655
Interest on participant loans	2014-12-31	$6,648
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$4,993
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$5,320
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$131,450
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	Yes
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	$105,545
Employer contributions (assets) at end of year	2014-12-31	$27,855
Employer contributions (assets) at beginning of year	2014-12-31	$107,997
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$769,506
Contract administrator fees	2014-12-31	$2,975
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
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
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	ALBRECHT, VIGGIANO, ZURECK & CO
Accountancy firm EIN	2014-12-31	112556624
2013 : HORIZON ENGINEERING ASSOCIATES, LLP 401K 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	$1,068,648
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$751,025
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$747,578
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$493,678
Value of total assets at end of year	2013-12-31	$3,451,426
Value of total assets at beginning of year	2013-12-31	$3,133,803
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,447
Total interest from all sources	2013-12-31	$7,668
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$38,825
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	$38,825
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$350,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$366,279
Participant contributions at end of year	2013-12-31	$175,754
Participant contributions at beginning of year	2013-12-31	$118,900
Participant contributions at end of year	2013-12-31	$11,700
Participant contributions at beginning of year	2013-12-31	$17,628
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$19,402
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	$317,623
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$3,451,426
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$3,133,803
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$3,150,655
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$2,756,459
Interest on participant loans	2013-12-31	$7,258
Interest earned on other investments	2013-12-31	$410
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$5,320
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$104,667
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$528,477
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	$107,997
Employer contributions (assets) at end of year	2013-12-31	$107,997
Employer contributions (assets) at beginning of year	2013-12-31	$136,149
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$747,578
Contract administrator fees	2013-12-31	$3,447
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
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
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	ALBRECHT, VIGGIANO, ZURECK & CO
Accountancy firm EIN	2013-12-31	112556624
2012 : HORIZON ENGINEERING ASSOCIATES, LLP 401K 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	$1,632
Total income from all sources (including contributions)	2012-12-31	$908,164
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$333,156
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$331,015
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$570,522
Value of total assets at end of year	2012-12-31	$3,133,803
Value of total assets at beginning of year	2012-12-31	$2,560,427
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$2,141
Total interest from all sources	2012-12-31	$6,208
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$33,828
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	$33,828
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$250,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$413,695
Participant contributions at end of year	2012-12-31	$118,900
Participant contributions at beginning of year	2012-12-31	$125,553
Participant contributions at end of year	2012-12-31	$17,628
Participant contributions at beginning of year	2012-12-31	$40,700
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$20,859
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$1,784
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	$575,008
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$3,133,803
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$2,558,795
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$2,756,459
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$2,283,535
Interest on participant loans	2012-12-31	$5,633
Interest earned on other investments	2012-12-31	$575
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$104,667
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$78,116
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$297,606
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	$135,968
Employer contributions (assets) at end of year	2012-12-31	$136,149
Employer contributions (assets) at beginning of year	2012-12-31	$32,523
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$329,231
Contract administrator fees	2012-12-31	$2,141
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$1,632
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
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	ALBRECHT, VIGGIANO, ZURECK & CO
Accountancy firm EIN	2012-12-31	112556624
2011 : HORIZON ENGINEERING ASSOCIATES, LLP 401K 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	$1,632
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$1,674
Total income from all sources (including contributions)	2011-12-31	$338,021
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$197,241
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$195,354
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$402,685
Value of total assets at end of year	2011-12-31	$2,560,427
Value of total assets at beginning of year	2011-12-31	$2,419,689
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,887
Total interest from all sources	2011-12-31	$6,120
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$24,431
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$24,431
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$250,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$344,458
Participant contributions at end of year	2011-12-31	$125,553
Participant contributions at beginning of year	2011-12-31	$126,288
Participant contributions at end of year	2011-12-31	$40,700
Participant contributions at beginning of year	2011-12-31	$37,929
Other income not declared elsewhere	2011-12-31	$793
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	$140,780
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$2,558,795
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,418,015
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$2,283,535
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$2,185,706
Interest on participant loans	2011-12-31	$5,075
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$1,045
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$78,116
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$52,501
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-96,008
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	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$0
Contributions received in cash from employer	2011-12-31	$58,227
Employer contributions (assets) at end of year	2011-12-31	$32,523
Employer contributions (assets) at beginning of year	2011-12-31	$17,265
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$195,354
Contract administrator fees	2011-12-31	$1,887
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$1,632
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$1,674
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
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	ALBRECHT, VIGGIANO, ZURECK & CO
Accountancy firm EIN	2011-12-31	112556624
2010 : HORIZON ENGINEERING ASSOCIATES, LLP 401K 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	$1,674
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	$658,872
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$57,343
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$56,036
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$430,991
Value of total assets at end of year	2010-12-31	$2,419,689
Value of total assets at beginning of year	2010-12-31	$1,816,486
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,307
Total interest from all sources	2010-12-31	$6,593
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$18,457
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$18,457
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$200,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$355,124
Participant contributions at end of year	2010-12-31	$126,288
Participant contributions at beginning of year	2010-12-31	$116,064
Participant contributions at end of year	2010-12-31	$37,929
Participant contributions at beginning of year	2010-12-31	$76,513
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$34,406
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	$601,529
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,418,015
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,816,486
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$2,185,706
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$0
Value of interest in pooled separate accounts at end of year	2010-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$1,610,215
Interest on participant loans	2010-12-31	$5,407
Interest earned on other investments	2010-12-31	$616
Value of interest in master investment trust accounts at end of year	2010-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$0
Value of interest in common/collective trusts at end of year	2010-12-31	$0
Value of interest in common/collective trusts at beginning of year	2010-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$570
Assets. Value of investments in 103.12 investment entities at end of year	2010-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$52,501
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$202,831
Net investment gain/loss from pooled separate accounts	2010-12-31	$202,831
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	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$0
Assets. Invements in employer securities at beginning of year	2010-12-31	$0
Contributions received in cash from employer	2010-12-31	$41,461
Employer contributions (assets) at end of year	2010-12-31	$17,265
Employer contributions (assets) at beginning of year	2010-12-31	$13,694
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$56,036
Contract administrator fees	2010-12-31	$1,307
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	Yes
Liabilities. Value of benefit claims payable at end of year	2010-12-31	$1,674
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
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	ALBRECHT, VIGGIANO, ZURECK & CO
Accountancy firm EIN	2010-12-31	112556624
2009 : HORIZON ENGINEERING ASSOCIATES, LLP 401K 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 HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN

2014: HORIZON ENGINEERING ASSOCIATES, LLP 401K 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: HORIZON ENGINEERING ASSOCIATES, LLP 401K 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: HORIZON ENGINEERING ASSOCIATES, LLP 401K 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: HORIZON ENGINEERING ASSOCIATES, LLP 401K 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
2010: HORIZON ENGINEERING ASSOCIATES, LLP 401K PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: HORIZON ENGINEERING ASSOCIATES, LLP 401K 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

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	97
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $73
Total amount of fees paid to insurance company	USD $6
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $73
Insurance broker organization code?	3
Amount paid for insurance broker fees	6
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker name	ASSOCIATED PENSION CONSULTANTS, INC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	101
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $7,464
Total amount of fees paid to insurance company	USD $3,179
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,509
Insurance broker organization code?	3
Amount paid for insurance broker fees	3179
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker name	CETERA ADVISOR NETWORKS LLC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	131
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $4,800
Total amount of fees paid to insurance company	USD $2,560
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,800
Insurance broker organization code?	3
Amount paid for insurance broker fees	2560
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker name	ASSOCIATED PENSION CONSULTANTS, INC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	123
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,202
Total amount of fees paid to insurance company	USD $2,020
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	114
Insurance policy start date	2010-03-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $19,535
Total amount of fees paid to insurance company	USD $611
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $19,535
Insurance broker organization code?	3
Amount paid for insurance broker fees	611
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker name	ASSOCIATED PENSION CONSULTANTS, INC

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

026762

Policy instance

Insurance contract or identification number	026762
Number of Individuals Covered	0
Insurance policy start date	2010-01-01
Insurance policy end date	2010-04-30
Total amount of commissions paid to insurance broker	USD $3,227
Total amount of fees paid to insurance company	USD $403
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	403
Additional information about fees paid to insurance broker	ADMINISTRATIVE ALLOWANCE
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $3,227
Insurance broker name	WALNUT STREET SEC INC

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See full terms and conditions

Company Name:	HORIZON ENGINEERING ASSOCIATES, LLP
Employer identification number (EIN):	113551488
NAIC Classification:	541330
NAIC Description:	Engineering Services

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	2000-04-19
Company Identification Number:	2500439
Legal Registered Office Address:	30 BROAD ST 15TH FL NEW YORK United States of America (USA) 10004