401k Plan data: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN plan

SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN
Plan identification number	001

SMITH & ELLIOTT, PA 401(K) PROFIT SHARING 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

SMITH & ELLIOTT, PA has sponsored the creation of one or more 401k plans.

Company Name: SMITH & ELLIOTT, PA

Employer identification number (EIN): 010288662

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01
001 2015-01-01
001 2014-01-01 RANDALL E. SMITH
001 2013-01-01 RANDALL E. SMITH 2014-10-10
001 2010-01-01 RANDALL E SMITH RANDALL E SMITH 2011-10-17
001 2009-01-01 RANDALL SMITH RANDALL SMITH 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01
001	2015-01-01
001	2014-01-01	RANDALL E. SMITH
001	2013-01-01	RANDALL E. SMITH	2014-10-10
001	2010-01-01	RANDALL E SMITH		RANDALL E SMITH	2011-10-17
001	2009-01-01	RANDALL SMITH		RANDALL SMITH	2010-10-15

Plan Statistics for SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN

Measure Date Value
2015: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 5
Total of all active and inactive participants 2015-01-01 5
Total participants 2015-01-01 5
Number of participants with account balances 2015-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 18
Total of all active and inactive participants 2014-01-01 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 18
Number of participants with account balances 2014-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2010: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 30
Number of other retired or separated participants entitled to future benefits 2010-01-01 6
Total of all active and inactive participants 2010-01-01 36
Total participants 2010-01-01 36
Number of participants with account balances 2010-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 30
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 36
Total participants 2009-01-01 36
Number of participants with account balances 2009-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2015: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	5
Total of all active and inactive participants	2015-01-01	5
Total participants	2015-01-01	5
Number of participants with account balances	2015-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	18
Total of all active and inactive participants	2014-01-01	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	18
Number of participants with account balances	2014-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2010: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	30
Number of other retired or separated participants entitled to future benefits	2010-01-01	6
Total of all active and inactive participants	2010-01-01	36
Total participants	2010-01-01	36
Number of participants with account balances	2010-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	30
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	36
Total participants	2009-01-01	36
Number of participants with account balances	2009-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2015 : SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$261,319
Expenses. Total of all expenses incurred	2015-12-31	$2,651,167
Benefits paid (including direct rollovers)	2015-12-31	$2,651,128
Total plan assets at end of year	2015-12-31	$235,961
Total plan assets at beginning of year	2015-12-31	$2,625,809
Value of fidelity bond covering the plan	2015-12-31	$350,000
Expenses. Other expenses not covered elsewhere	2015-12-31	$39
Other income received	2015-12-31	$261,319
Net income (gross income less expenses)	2015-12-31	$-2,389,848
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$235,961
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,625,809
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$180,329
Expenses. Total of all expenses incurred	2014-12-31	$219,312
Benefits paid (including direct rollovers)	2014-12-31	$214,554
Total plan assets at end of year	2014-12-31	$2,625,809
Total plan assets at beginning of year	2014-12-31	$2,664,792
Value of fidelity bond covering the plan	2014-12-31	$350,000
Total contributions received or receivable from participants	2014-12-31	$20,172
Other income received	2014-12-31	$154,632
Net income (gross income less expenses)	2014-12-31	$-38,983
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,625,809
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,664,792
Assets. Value of participant loans	2014-12-31	$1,298
Total contributions received or receivable from employer(s)	2014-12-31	$5,525
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$4,758
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2010 : SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$625,244
Expenses. Total of all expenses incurred	2010-12-31	$29,543
Benefits paid (including direct rollovers)	2010-12-31	$13,765
Total plan assets at end of year	2010-12-31	$3,516,896
Total plan assets at beginning of year	2010-12-31	$2,921,195
Value of fidelity bond covering the plan	2010-12-31	$350,000
Total contributions received or receivable from participants	2010-12-31	$57,929
Other income received	2010-12-31	$531,910
Net income (gross income less expenses)	2010-12-31	$595,701
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,516,896
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,921,195
Assets. Value of participant loans	2010-12-31	$36,061
Total contributions received or receivable from employer(s)	2010-12-31	$35,405
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$15,778

Form 5500 Responses for SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN

2015: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2010: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
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: SMITH & ELLIOTT, PA 401(K) PROFIT SHARING 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SMITH & ELLIOTT, PA
Employer identification number (EIN):	010288662
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers