401k Plan data: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST plan

THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 401k Plan overview

Plan Name	THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST
Plan identification number	001

THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
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.
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

THE SEC INSTITUTE INC has sponsored the creation of one or more 401k plans.

Company Name: THE SEC INSTITUTE INC

Employer identification number (EIN): 133212336

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 SHERRY SNYDER 2014-09-25
001 2013-08-01 SAXLEHNER ANDREW
001 2013-01-01 SHERRY SNYDER 2014-05-22
001 2012-08-01 SAXLEHNER ANDREW
001 2012-01-01 THE SEC INSTITUTE INC 2013-07-31
001 2011-08-01 SAXLEHNER ANDREW
001 2010-08-01 SAXLEHNER ANDREW
001 2009-08-01 SAXLEHNER ANDREW

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2014-01-01	SHERRY SNYDER	2014-09-25
001	2013-08-01	SAXLEHNER ANDREW
001	2013-01-01	SHERRY SNYDER	2014-05-22
001	2012-08-01	SAXLEHNER ANDREW
001	2012-01-01	THE SEC INSTITUTE INC	2013-07-31
001	2011-08-01	SAXLEHNER ANDREW
001	2010-08-01	SAXLEHNER ANDREW
001	2009-08-01	SAXLEHNER ANDREW

Plan Statistics for THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST

401k plan membership statisitcs for THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST

Measure Date Value
2013: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2013 401k membership
Total participants, beginning-of-year 2013-08-01 7
Total number of active participants reported on line 7a of the Form 5500 2013-08-01 0
Number of retired or separated participants receiving benefits 2013-08-01 0
Number of other retired or separated participants entitled to future benefits 2013-08-01 0
Total of all active and inactive participants 2013-08-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-08-01 0
Total participants 2013-08-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-08-01 0
2012: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2012 401k membership
Total participants, beginning-of-year 2012-08-01 8
Total number of active participants reported on line 7a of the Form 5500 2012-08-01 6
Number of retired or separated participants receiving benefits 2012-08-01 0
Number of other retired or separated participants entitled to future benefits 2012-08-01 1
Total of all active and inactive participants 2012-08-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-08-01 0
Total participants 2012-08-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-08-01 0
2011: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2011 401k membership
Total participants, beginning-of-year 2011-08-01 8
Total number of active participants reported on line 7a of the Form 5500 2011-08-01 7
Number of retired or separated participants receiving benefits 2011-08-01 0
Number of other retired or separated participants entitled to future benefits 2011-08-01 1
Total of all active and inactive participants 2011-08-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-08-01 0
Total participants 2011-08-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-08-01 0
2010: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2010 401k membership
Total participants, beginning-of-year 2010-08-01 8
Total number of active participants reported on line 7a of the Form 5500 2010-08-01 7
Number of retired or separated participants receiving benefits 2010-08-01 0
Number of other retired or separated participants entitled to future benefits 2010-08-01 1
Total of all active and inactive participants 2010-08-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-08-01 0
Total participants 2010-08-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-08-01 0
2009: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2009 401k membership
Total participants, beginning-of-year 2009-08-01 10
Total number of active participants reported on line 7a of the Form 5500 2009-08-01 8
Number of retired or separated participants receiving benefits 2009-08-01 0
Number of other retired or separated participants entitled to future benefits 2009-08-01 0
Total of all active and inactive participants 2009-08-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-08-01 0
Total participants 2009-08-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-08-01 0

Measure	Date	Value
2013: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2013 401k membership
Total participants, beginning-of-year	2013-08-01	7
Total number of active participants reported on line 7a of the Form 5500	2013-08-01	0
Number of retired or separated participants receiving benefits	2013-08-01	0
Number of other retired or separated participants entitled to future benefits	2013-08-01	0
Total of all active and inactive participants	2013-08-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-08-01	0
Total participants	2013-08-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-08-01	0
2012: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2012 401k membership
Total participants, beginning-of-year	2012-08-01	8
Total number of active participants reported on line 7a of the Form 5500	2012-08-01	6
Number of retired or separated participants receiving benefits	2012-08-01	0
Number of other retired or separated participants entitled to future benefits	2012-08-01	1
Total of all active and inactive participants	2012-08-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-08-01	0
Total participants	2012-08-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-08-01	0
2011: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2011 401k membership
Total participants, beginning-of-year	2011-08-01	8
Total number of active participants reported on line 7a of the Form 5500	2011-08-01	7
Number of retired or separated participants receiving benefits	2011-08-01	0
Number of other retired or separated participants entitled to future benefits	2011-08-01	1
Total of all active and inactive participants	2011-08-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-08-01	0
Total participants	2011-08-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-08-01	0
2010: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2010 401k membership
Total participants, beginning-of-year	2010-08-01	8
Total number of active participants reported on line 7a of the Form 5500	2010-08-01	7
Number of retired or separated participants receiving benefits	2010-08-01	0
Number of other retired or separated participants entitled to future benefits	2010-08-01	1
Total of all active and inactive participants	2010-08-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-08-01	0
Total participants	2010-08-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-08-01	0
2009: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2009 401k membership
Total participants, beginning-of-year	2009-08-01	10
Total number of active participants reported on line 7a of the Form 5500	2009-08-01	8
Number of retired or separated participants receiving benefits	2009-08-01	0
Number of other retired or separated participants entitled to future benefits	2009-08-01	0
Total of all active and inactive participants	2009-08-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-08-01	0
Total participants	2009-08-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-08-01	0

Financial Data on THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST

Measure	Date	Value
2014 : THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2014 401k financial data
Total plan liabilities at end of year	2014-07-31	$0
Total plan liabilities at beginning of year	2014-07-31	$0
Total income from all sources	2014-07-31	$293,133
Expenses. Total of all expenses incurred	2014-07-31	$1,285,050
Benefits paid (including direct rollovers)	2014-07-31	$1,285,050
Total plan assets at end of year	2014-07-31	$0
Total plan assets at beginning of year	2014-07-31	$991,917
Value of fidelity bond covering the plan	2014-07-31	$265,000
Total contributions received or receivable from participants	2014-07-31	$0
Expenses. Other expenses not covered elsewhere	2014-07-31	$0
Contributions received from other sources (not participants or employers)	2014-07-31	$0
Other income received	2014-07-31	$-18,698
Noncash contributions received	2014-07-31	$0
Net income (gross income less expenses)	2014-07-31	$-991,917
Net plan assets at end of year (total assets less liabilities)	2014-07-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-07-31	$991,917
Total contributions received or receivable from employer(s)	2014-07-31	$311,831
Value of certain deemed distributions of participant loans	2014-07-31	$0
Value of corrective distributions	2014-07-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-07-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-07-31	$0
2013 : THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2013 401k financial data
Total plan liabilities at end of year	2013-07-31	$0
Total plan liabilities at beginning of year	2013-07-31	$0
Total income from all sources	2013-07-31	$82,451
Expenses. Total of all expenses incurred	2013-07-31	$240,531
Benefits paid (including direct rollovers)	2013-07-31	$240,531
Total plan assets at end of year	2013-07-31	$991,917
Total plan assets at beginning of year	2013-07-31	$1,149,997
Value of fidelity bond covering the plan	2013-07-31	$265,000
Total contributions received or receivable from participants	2013-07-31	$0
Expenses. Other expenses not covered elsewhere	2013-07-31	$0
Contributions received from other sources (not participants or employers)	2013-07-31	$0
Other income received	2013-07-31	$7,451
Noncash contributions received	2013-07-31	$0
Net income (gross income less expenses)	2013-07-31	$-158,080
Net plan assets at end of year (total assets less liabilities)	2013-07-31	$991,917
Net plan assets at beginning of year (total assets less liabilities)	2013-07-31	$1,149,997
Assets. Value of participant loans	2013-07-31	$11,514
Total contributions received or receivable from employer(s)	2013-07-31	$75,000
Value of certain deemed distributions of participant loans	2013-07-31	$0
Value of corrective distributions	2013-07-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-07-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-07-31	$0
2012 : THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2012 401k financial data
Total plan liabilities at end of year	2012-07-31	$0
Total income from all sources	2012-07-31	$213,274
Expenses. Total of all expenses incurred	2012-07-31	$0
Benefits paid (including direct rollovers)	2012-07-31	$0
Total plan assets at end of year	2012-07-31	$1,149,997
Total plan assets at beginning of year	2012-07-31	$936,723
Value of fidelity bond covering the plan	2012-07-31	$265,000
Total contributions received or receivable from participants	2012-07-31	$0
Expenses. Other expenses not covered elsewhere	2012-07-31	$0
Contributions received from other sources (not participants or employers)	2012-07-31	$0
Other income received	2012-07-31	$-11,726
Noncash contributions received	2012-07-31	$0
Net income (gross income less expenses)	2012-07-31	$213,274
Net plan assets at end of year (total assets less liabilities)	2012-07-31	$1,149,997
Net plan assets at beginning of year (total assets less liabilities)	2012-07-31	$936,723
Assets. Value of participant loans	2012-07-31	$15,000
Total contributions received or receivable from employer(s)	2012-07-31	$225,000
Value of certain deemed distributions of participant loans	2012-07-31	$0
Value of corrective distributions	2012-07-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-07-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-07-31	$0
2011 : THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2011 401k financial data
Total plan liabilities at beginning of year	2011-07-31	$0
Total income from all sources	2011-07-31	$93,362
Expenses. Total of all expenses incurred	2011-07-31	$187,133
Benefits paid (including direct rollovers)	2011-07-31	$187,133
Total plan assets at end of year	2011-07-31	$936,723
Total plan assets at beginning of year	2011-07-31	$1,030,494
Value of fidelity bond covering the plan	2011-07-31	$265,000
Total contributions received or receivable from participants	2011-07-31	$0
Expenses. Other expenses not covered elsewhere	2011-07-31	$0
Contributions received from other sources (not participants or employers)	2011-07-31	$0
Other income received	2011-07-31	$-6,638
Noncash contributions received	2011-07-31	$0
Net income (gross income less expenses)	2011-07-31	$-93,771
Net plan assets at end of year (total assets less liabilities)	2011-07-31	$936,723
Net plan assets at beginning of year (total assets less liabilities)	2011-07-31	$1,030,494
Total contributions received or receivable from employer(s)	2011-07-31	$100,000
Value of certain deemed distributions of participant loans	2011-07-31	$0
Value of corrective distributions	2011-07-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-07-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-07-31	$0
2010 : THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-07-31	$0

Form 5500 Responses for THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST

2013: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2013 form 5500 responses
2013-08-01	Type of plan entity	Single employer plan
2013-08-01	Submission has been amended	No
2013-08-01	This submission is the final filing	Yes
2013-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-08-01	Plan is a collectively bargained plan	No
2013-08-01	Plan funding arrangement – Trust	Yes
2013-08-01	Plan benefit arrangement - Trust	Yes
2012: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2012 form 5500 responses
2012-08-01	Type of plan entity	Single employer plan
2012-08-01	Submission has been amended	No
2012-08-01	This submission is the final filing	No
2012-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-08-01	Plan is a collectively bargained plan	No
2012-08-01	Plan funding arrangement – Trust	Yes
2012-08-01	Plan benefit arrangement - Trust	Yes
2011: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2011 form 5500 responses
2011-08-01	Type of plan entity	Single employer plan
2011-08-01	Submission has been amended	No
2011-08-01	This submission is the final filing	No
2011-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-08-01	Plan is a collectively bargained plan	No
2011-08-01	Plan funding arrangement – Trust	Yes
2011-08-01	Plan benefit arrangement - Trust	Yes
2010: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2010 form 5500 responses
2010-08-01	Type of plan entity	Single employer plan
2010-08-01	Submission has been amended	No
2010-08-01	This submission is the final filing	No
2010-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-08-01	Plan is a collectively bargained plan	No
2010-08-01	Plan funding arrangement – Trust	Yes
2010-08-01	Plan benefit arrangement - Trust	Yes
2009: THE SEC INSTITUTE INC 401 K PROFIT SHARING PLAN TRUST 2009 form 5500 responses
2009-08-01	Type of plan entity	Single employer plan
2009-08-01	Submission has been amended	No
2009-08-01	This submission is the final filing	No
2009-08-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-08-01	Plan is a collectively bargained plan	No
2009-08-01	Plan funding arrangement – Trust	Yes
2009-08-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE SEC INSTITUTE INC
Employer identification number (EIN):	133212336
NAIC Classification:	611000