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FORM 5500 DATA

Troy Group, Inc. Savings and Investment Plan

Overview

Plan Information

  • Plan Year01/01/2006 — 12/31/2006
  • Date of Plan01/01/1988
  • Net Assets as of 12/31/2006 $7,096,982
  • Plan Number2
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit Arrangement Trust

Participant Information as of 12/31/2006

  • Active (Eligible) Participants126
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits75
  • Subtotal201
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total201
  • Total number of participants as of 01/01/2006238
  • Number of participants with account balances171
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested26
  • Number of participants required to be reported on Schedule SSA14

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address3835 Hyland Ave., Ste. 200
  • CityCosta Mesa
  • StateCA
  • Zip92705
  • Telephone(714) 241-4760
  • EIN33-0807798
  • Industry Code334110
  • Named AdministratorDennis Fairchild
  • Named Plan SponsorDennis Fairchild

Plan Administrator Information

  • Administrator NameSAME
  • Administrator EIN

Audit Information

  • Audit StatusAudited
  • AuditorKmj Corbin & Company LLP
  • Auditor EIN81-0569753
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G 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.
2J 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.
2K 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 contributions 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.
3E Prototype plan A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a separate funding medium (for example, a separate trust or custodial account) is established for the use of each adopting employer.
3F Leased Employees Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $1,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No

Financials

Income and Expense Statement

Income $1,542,000
Contributions $748,742
Cash Contributions $748,742
Cash from Employers $128,455
Cash from Participants $493,009
Others (including rollovers) $127,278
Noncash Contributions $0
Total Earnings on Investments $793,258
Total Interest $16,376
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $13,215
Interest from Other Investments $3,161
Total Dividends $0
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $0
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $776,882
Other Income $0
Expenses $1,226,486
Total Benefit Payments $1,206,827
Directly to participants or beneficiaries, including direct rollovers $1,206,827
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $19,659
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $18,134
Other Administrative Fees $1,525
Net Income $315,514
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2006 12/31/2005 Change YOY
Total Assets $7,096,982 $6,781,468 4.65%
Total noninterest-bearing cash $0 $965 -100.00%
Receivables $0 $0 0.0%
Employer Contributions $0 $0 0.0%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $0 $0 0.0%
Interest-bearing cash $0 $0 0.0%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $169,676 $179,785 -5.62%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $0 $0 0.0%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $6,850,287 $6,513,612 5.17%
Value of funds held in insurance co. general account $77,019 $87,106 -11.58%
Other Investments $0 $0 0.0%
Employer-related Investments $0 $0 0.0%
Employer Securities $0 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $0 $0 0.0%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $7,096,982 $6,781,468 4.65%

Service Providers

Service Providers

Name Nature of Service Relationship to Plan Sponsor Gross Salary or Allowances Paid by Plan Fees and Commissions Paid by Plan Total Salary/Fees
John Hancock Recordkeeping $0 $18,134 $18,134
Total $0 $18,134 $18,134

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Jh Lifestyle Balanced John Hancock USA DFE: Pooled Separate Account $1,054,193
Jh Lifestyle Growth John Hancock USA DFE: Pooled Separate Account $655,932
Jh Franklin Balance Sheet John Hancock USA DFE: Pooled Separate Account $444,498
Jh Lifestyle Aggressive John Hancock USA DFE: Pooled Separate Account $385,722
Jh Weitz Partners Value John Hancock USA DFE: Pooled Separate Account $374,953
Jh Oppenheimer Developing John Hancock USA DFE: Pooled Separate Account $329,500
Jh Mutual Discovery John Hancock USA DFE: Pooled Separate Account $172,913
Jh Pimco Total Return John Hancock USA DFE: Pooled Separate Account $171,696
Jh Mutual Beacon John Hancock USA DFE: Pooled Separate Account $171,607
Jh Lifestyle Moderate John Hancock USA DFE: Pooled Separate Account $167,722
Jh Fidelity Contrafund John Hancock USA DFE: Pooled Separate Account $151,467
Jh Excelsior Value & Rest John Hancock USA DFE: Pooled Separate Account $147,170
Jh T. Rowe Price Sci & Te John Hancock USA DFE: Pooled Separate Account $114,505
Jh Davis New York Venture John Hancock USA DFE: Pooled Separate Account $94,289
Jh Legg Mason Growth John Hancock USA DFE: Pooled Separate Account $88,984
500 Index Fund John Hancock USA DFE: Pooled Separate Account $88,290
Jh Fidelity Advisor Div G John Hancock USA DFE: Pooled Separate Account $87,695
Jh T. Rowe Price Blue Chi John Hancock USA DFE: Pooled Separate Account $72,827
Jh Lm Partners Glb High Y John Hancock USA DFE: Pooled Separate Account $59,097
Jh Lifestyle Conservative John Hancock USA DFE: Pooled Separate Account $57,078
Jh Templeton Foreign John Hancock USA DFE: Pooled Separate Account $57,032
Jh Legg Partners Agg Grow John Hancock USA DFE: Pooled Separate Account $56,214
Jh Short-Term Federal John Hancock USA DFE: Pooled Separate Account $56,030
Jh Dws Mid Cap Growth John Hancock USA DFE: Pooled Separate Account $49,308
Jh Templeton World John Hancock USA DFE: Pooled Separate Account $48,679
Jh American Funds Europac John Hancock USA DFE: Pooled Separate Account $41,637
Jh American Funds Am Bala John Hancock USA DFE: Pooled Separate Account $36,904
Jh T. Rowe Price Equity I John Hancock USA DFE: Pooled Separate Account $36,896
Quantitative Mid Cap Fund John Hancock USA DFE: Pooled Separate Account $33,637
Jh Domini Social Equity John Hancock USA DFE: Pooled Separate Account $32,457
Jh Dws Rreef Real Estate John Hancock USA DFE: Pooled Separate Account $30,792
Quantitative All Cap Fund John Hancock USA DFE: Pooled Separate Account $30,710
Jh Aim Constellation John Hancock USA DFE: Pooled Separate Account $29,877
Jh American Century Vista John Hancock USA DFE: Pooled Separate Account $26,912
Jh Franklin Small-Mid Gro John Hancock USA DFE: Pooled Separate Account $26,695
Jh T. Rowe Price Spectrum John Hancock USA DFE: Pooled Separate Account $22,843
Quantitative Value Fund John Hancock USA DFE: Pooled Separate Account $22,314
Jh Aim Small Cap Growth John Hancock USA DFE: Pooled Separate Account $20,729
Jh American Funds Growth John Hancock USA DFE: Pooled Separate Account $20,445
Jh Blackrock Large Value John Hancock USA DFE: Pooled Separate Account $15,747
Emerging Growth Fund John Hancock USA DFE: Pooled Separate Account $11,022
Jh Jennison Growth John Hancock USA DFE: Pooled Separate Account $9,775
Small Cap Index Fund John Hancock USA DFE: Pooled Separate Account $8,350
Jh Legg Part Small Cap Va John Hancock USA DFE: Pooled Separate Account $1,058
Money Market Fund John Hancock USA DFE: Pooled Separate Account $0
Total $5,616,201

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company (U.S.A.) 176
EIN 01-0233346
Industry Code 65838
Contract Number 51182
Contract Year 01/01/2006 — 12/31/2006
Value in General Account at Year End $77,019
Value in Separate Accounts at Year End $6,850,287
Insurance Fees and Commissions $22,748
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Shuster Financial & Isurance Inc 310 N. Lake Ave. 10th Floor Pasadena, CA 91101 Insurance Agent or Broker $17,546 $0
National Retirement Services, Inc. 3030 Old Ranch Parkway, Suite 400 Seal Beach, CA 90740 -2752 Third Party Administrator $0 $5,197 CONSULTING
Fund Company Dws Scudder Investments Investment Company/Mutual Fund $0 $5 FUND MANAGEMENT
Fund Companies Pimco Investment Company/Mutual Fund $0 $0 FUND MANAGEMENT
Fund Companies Fidelity Investments Investment Company/Mutual Fund $0 $0 FUND MANAGMENT
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $87,106
Additions $21,906
Contributions Deposited during the year $8,469
Dividends and credits $0
Interest credited during the year $3,160
Transferred from separate account $0
Other $10,277
Total of Balance and Additions $109,012
Deductions $31,993
Disbursed from fund to pay benefits or purchase annuities during the year $31,194
Administration charge made by carrier $236
Transferred to Separate Account $563
Other $0
Balance at the end of the current year $77,019