401k Plan data: HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN plan

HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN
Plan identification number	001

HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

HOROWITZ & WEINSTEIN, ATTORNEYS AT LAW has sponsored the creation of one or more 401k plans.

Company Name: HOROWITZ & WEINSTEIN, ATTORNEYS AT LAW

Employer identification number (EIN): 364035154

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 PAUL HOROWITZ 2014-05-12 PAUL HOROWITZ 2014-05-12
001 2012-01-01 PAUL HOROWITZ PAUL HOROWITZ 2013-09-09
001 2011-01-01 PAUL HOROWITZ 2012-09-22
001 2010-01-01 PAUL HOROWITZ 2011-10-04

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2013-01-01	PAUL HOROWITZ	2014-05-12	PAUL HOROWITZ	2014-05-12
001	2012-01-01	PAUL HOROWITZ		PAUL HOROWITZ	2013-09-09
001	2011-01-01	PAUL HOROWITZ	2012-09-22
001	2010-01-01	PAUL HOROWITZ	2011-10-04

Plan Statistics for HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN

401k plan membership statisitcs for HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN

Measure Date Value
2012: HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 6
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 1
Total of all active and inactive participants 2012-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 7
Number of participants with account balances 2012-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2012: HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	6
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	1
Total of all active and inactive participants	2012-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	7
Number of participants with account balances	2012-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN

Measure	Date	Value
2012 : HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$22,857
Expenses. Total of all expenses incurred	2012-12-31	$5,879
Benefits paid (including direct rollovers)	2012-12-31	$3,885
Total plan assets at end of year	2012-12-31	$164,293
Total plan assets at beginning of year	2012-12-31	$147,315
Value of fidelity bond covering the plan	2012-12-31	$20,000
Total contributions received or receivable from participants	2012-12-31	$15,194
Other income received	2012-12-31	$7,663
Net income (gross income less expenses)	2012-12-31	$16,978
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$164,293
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$147,315
Assets. Value of participant loans	2012-12-31	$17,192
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$1,994
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0

Form 5500 Responses for HOROWITZ & WEINSTEIN 401(K) SAVINGS PLAN

2012: HOROWITZ & WEINSTEIN 401(K) SAVINGS 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 - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

56403

Policy instance

Insurance contract or identification number	56403
Number of Individuals Covered	6
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $1,083
Total amount of fees paid to insurance company	USD $0
Commission paid to Insurance Broker	USD $1,071
Insurance broker organization code?	3
Insurance broker name	SHORE TOMPKINS ACTUARIAL RESOURCES

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Company Name:	HOROWITZ & WEINSTEIN, ATTORNEYS AT LAW
Employer identification number (EIN):	364035154
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers