401k Plan data: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST plan

THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST
Plan identification number	001

THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

THOMSON HORSTMANN & BRYANT, INC has sponsored the creation of one or more 401k plans.

Company Name: THOMSON HORSTMANN & BRYANT, INC

Employer identification number (EIN): 223508647

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 JAMES M. KENNEDY 2016-10-17
001 2014-01-01 JAMES M. KENNEDY 2016-10-17
001 2014-01-01 JAMES M. KENNEDY 2016-10-18
001 2013-01-01 JAMES M. KENNEDY 2014-09-09
001 2012-01-01 JAMES M. KENNEDY
001 2011-01-01 JAMES M. KENNEDY
001 2010-01-01 JAMES M. KENNEDY JAMES M. KENNEDY 2011-09-16
001 2009-01-01 JAMES M. KENNEDY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	JAMES M. KENNEDY	2016-10-17
001	2014-01-01	JAMES M. KENNEDY	2016-10-17
001	2014-01-01	JAMES M. KENNEDY	2016-10-18
001	2013-01-01	JAMES M. KENNEDY	2014-09-09
001	2012-01-01	JAMES M. KENNEDY
001	2011-01-01	JAMES M. KENNEDY
001	2010-01-01	JAMES M. KENNEDY		JAMES M. KENNEDY	2011-09-16
001	2009-01-01	JAMES M. KENNEDY

Plan Statistics for THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST

Measure Date Value
2012: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 19
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 5
Total of all active and inactive participants 2012-01-01 24
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 24
Number of participants with account balances 2012-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 21
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 4
Total of all active and inactive participants 2011-01-01 25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 25
Number of participants with account balances 2011-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 19
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 4
Total of all active and inactive participants 2010-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 23
Number of participants with account balances 2010-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 16
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 4
Total of all active and inactive participants 2009-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 20
Number of participants with account balances 2009-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	19
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	5
Total of all active and inactive participants	2012-01-01	24
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	24
Number of participants with account balances	2012-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	21
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	4
Total of all active and inactive participants	2011-01-01	25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	25
Number of participants with account balances	2011-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	19
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	4
Total of all active and inactive participants	2010-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	23
Number of participants with account balances	2010-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	16
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	4
Total of all active and inactive participants	2009-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	20
Number of participants with account balances	2009-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2012 : THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$720,026
Expenses. Total of all expenses incurred	2012-12-31	$46,377
Benefits paid (including direct rollovers)	2012-12-31	$25,778
Total plan assets at end of year	2012-12-31	$3,404,799
Total plan assets at beginning of year	2012-12-31	$2,731,150
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$139,872
Expenses. Other expenses not covered elsewhere	2012-12-31	$154
Contributions received from other sources (not participants or employers)	2012-12-31	$59,766
Other income received	2012-12-31	$400,184
Net income (gross income less expenses)	2012-12-31	$673,649
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,404,799
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,731,150
Assets. Value of participant loans	2012-12-31	$36,097
Total contributions received or receivable from employer(s)	2012-12-31	$120,204
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$20,445
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$307,553
Expenses. Total of all expenses incurred	2011-12-31	$50,303
Benefits paid (including direct rollovers)	2011-12-31	$34,081
Total plan assets at end of year	2011-12-31	$2,731,150
Total plan assets at beginning of year	2011-12-31	$2,473,900
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$140,483
Expenses. Other expenses not covered elsewhere	2011-12-31	$204
Contributions received from other sources (not participants or employers)	2011-12-31	$20,831
Other income received	2011-12-31	$2,419
Net income (gross income less expenses)	2011-12-31	$257,250
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,731,150
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,473,900
Assets. Value of participant loans	2011-12-31	$48,133
Total contributions received or receivable from employer(s)	2011-12-31	$143,820
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$16,018
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$656,147
Expenses. Total of all expenses incurred	2010-12-31	$919,535
Benefits paid (including direct rollovers)	2010-12-31	$903,996
Total plan assets at end of year	2010-12-31	$2,473,900
Total plan assets at beginning of year	2010-12-31	$2,737,288
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$160,637
Expenses. Other expenses not covered elsewhere	2010-12-31	$334
Other income received	2010-12-31	$330,428
Net income (gross income less expenses)	2010-12-31	$-263,388
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,473,900
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,737,288
Assets. Value of participant loans	2010-12-31	$81,413
Total contributions received or receivable from employer(s)	2010-12-31	$165,082
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$15,205
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 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 THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST

2012: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THOMSON HORSTMANN & BRYANT, INC. EMPLOYEES' SAVINGS & PROFIT SHARING PLAN AND TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THOMSON HORSTMANN & BRYANT, INC
Employer identification number (EIN):	223508647