401k Plan data: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST plan

D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST
Plan identification number	002

D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Profit-sharing

401k Sponsoring company profile

D. F. ROSES, M.D., P.C. has sponsored the creation of one or more 401k plans.

Company Name: D. F. ROSES, M.D., P.C.

Employer identification number (EIN): 132711467

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-06-01 LUDWIG BACH
002 2014-06-01 LUDWIG BACH
002 2013-06-01 LUDWIG BACH
002 2012-06-01 LUDWIG BACH
002 2011-06-01 DANIEL F. ROSES, M.D.
002 2010-06-01 DANIEL F. ROSES, M.D.
002 2009-06-01 DANIEL F. ROSES, M.D.

Plan id#	Filing Submission Date	Name of Administrator
002	2015-06-01	LUDWIG BACH
002	2014-06-01	LUDWIG BACH
002	2013-06-01	LUDWIG BACH
002	2012-06-01	LUDWIG BACH
002	2011-06-01	DANIEL F. ROSES, M.D.
002	2010-06-01	DANIEL F. ROSES, M.D.
002	2009-06-01	DANIEL F. ROSES, M.D.

Plan Statistics for D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST

Measure Date Value
2015: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year 2015-06-01 2
Total number of active participants reported on line 7a of the Form 5500 2015-06-01 0
Number of retired or separated participants receiving benefits 2015-06-01 0
Number of other retired or separated participants entitled to future benefits 2015-06-01 0
Total of all active and inactive participants 2015-06-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-06-01 0
Total participants 2015-06-01 0
Number of participants with account balances 2015-06-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-06-01 0
2014: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year 2014-06-01 3
Total number of active participants reported on line 7a of the Form 5500 2014-06-01 2
Number of retired or separated participants receiving benefits 2014-06-01 0
Number of other retired or separated participants entitled to future benefits 2014-06-01 1
Total of all active and inactive participants 2014-06-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-06-01 0
Total participants 2014-06-01 3
Number of participants with account balances 2014-06-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-06-01 0
2013: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-06-01 3
Total number of active participants reported on line 7a of the Form 5500 2013-06-01 2
Number of retired or separated participants receiving benefits 2013-06-01 0
Number of other retired or separated participants entitled to future benefits 2013-06-01 1
Total of all active and inactive participants 2013-06-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-06-01 0
Total participants 2013-06-01 3
Number of participants with account balances 2013-06-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-06-01 0
2012: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-06-01 2
Total number of active participants reported on line 7a of the Form 5500 2012-06-01 1
Number of retired or separated participants receiving benefits 2012-06-01 1
Number of other retired or separated participants entitled to future benefits 2012-06-01 0
Total of all active and inactive participants 2012-06-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-06-01 0
Total participants 2012-06-01 2
Number of participants with account balances 2012-06-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-06-01 0
2011: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-06-01 2
Total number of active participants reported on line 7a of the Form 5500 2011-06-01 1
Number of retired or separated participants receiving benefits 2011-06-01 1
Number of other retired or separated participants entitled to future benefits 2011-06-01 0
Total of all active and inactive participants 2011-06-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-06-01 0
Total participants 2011-06-01 2
Number of participants with account balances 2011-06-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-06-01 0
2010: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year 2010-06-01 2
Total number of active participants reported on line 7a of the Form 5500 2010-06-01 1
Number of retired or separated participants receiving benefits 2010-06-01 1
Number of other retired or separated participants entitled to future benefits 2010-06-01 0
Total of all active and inactive participants 2010-06-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-06-01 0
Total participants 2010-06-01 2
Number of participants with account balances 2010-06-01 2
2009: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-06-01 2
Total number of active participants reported on line 7a of the Form 5500 2009-06-01 2
Number of retired or separated participants receiving benefits 2009-06-01 0
Number of other retired or separated participants entitled to future benefits 2009-06-01 0
Total of all active and inactive participants 2009-06-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-06-01 0
Total participants 2009-06-01 2
Number of participants with account balances 2009-06-01 2

Measure	Date	Value
2015: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year	2015-06-01	2
Total number of active participants reported on line 7a of the Form 5500	2015-06-01	0
Number of retired or separated participants receiving benefits	2015-06-01	0
Number of other retired or separated participants entitled to future benefits	2015-06-01	0
Total of all active and inactive participants	2015-06-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-06-01	0
Total participants	2015-06-01	0
Number of participants with account balances	2015-06-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-06-01	0
2014: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year	2014-06-01	3
Total number of active participants reported on line 7a of the Form 5500	2014-06-01	2
Number of retired or separated participants receiving benefits	2014-06-01	0
Number of other retired or separated participants entitled to future benefits	2014-06-01	1
Total of all active and inactive participants	2014-06-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-06-01	0
Total participants	2014-06-01	3
Number of participants with account balances	2014-06-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-06-01	0
2013: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-06-01	3
Total number of active participants reported on line 7a of the Form 5500	2013-06-01	2
Number of retired or separated participants receiving benefits	2013-06-01	0
Number of other retired or separated participants entitled to future benefits	2013-06-01	1
Total of all active and inactive participants	2013-06-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-06-01	0
Total participants	2013-06-01	3
Number of participants with account balances	2013-06-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-06-01	0
2012: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-06-01	2
Total number of active participants reported on line 7a of the Form 5500	2012-06-01	1
Number of retired or separated participants receiving benefits	2012-06-01	1
Number of other retired or separated participants entitled to future benefits	2012-06-01	0
Total of all active and inactive participants	2012-06-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-06-01	0
Total participants	2012-06-01	2
Number of participants with account balances	2012-06-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-06-01	0
2011: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-06-01	2
Total number of active participants reported on line 7a of the Form 5500	2011-06-01	1
Number of retired or separated participants receiving benefits	2011-06-01	1
Number of other retired or separated participants entitled to future benefits	2011-06-01	0
Total of all active and inactive participants	2011-06-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-06-01	0
Total participants	2011-06-01	2
Number of participants with account balances	2011-06-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-06-01	0
2010: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year	2010-06-01	2
Total number of active participants reported on line 7a of the Form 5500	2010-06-01	1
Number of retired or separated participants receiving benefits	2010-06-01	1
Number of other retired or separated participants entitled to future benefits	2010-06-01	0
Total of all active and inactive participants	2010-06-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-06-01	0
Total participants	2010-06-01	2
Number of participants with account balances	2010-06-01	2
2009: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-06-01	2
Total number of active participants reported on line 7a of the Form 5500	2009-06-01	2
Number of retired or separated participants receiving benefits	2009-06-01	0
Number of other retired or separated participants entitled to future benefits	2009-06-01	0
Total of all active and inactive participants	2009-06-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-06-01	0
Total participants	2009-06-01	2
Number of participants with account balances	2009-06-01	2

Financial Data on D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2016 : D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2016 401k financial data
Total income from all sources	2016-05-31	$85,035
Expenses. Total of all expenses incurred	2016-05-31	$5,216,084
Benefits paid (including direct rollovers)	2016-05-31	$5,195,378
Total plan assets at end of year	2016-05-31	$0
Total plan assets at beginning of year	2016-05-31	$5,131,049
Other income received	2016-05-31	$85,035
Net income (gross income less expenses)	2016-05-31	$-5,131,049
Net plan assets at end of year (total assets less liabilities)	2016-05-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-05-31	$5,131,049
Expenses. Administrative service providers (salaries,fees and commissions)	2016-05-31	$20,706
2015 : D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2015 401k financial data
Total income from all sources	2015-05-31	$282,025
Expenses. Total of all expenses incurred	2015-05-31	$38,771
Total plan assets at end of year	2015-05-31	$5,131,049
Total plan assets at beginning of year	2015-05-31	$4,887,795
Other income received	2015-05-31	$282,025
Net income (gross income less expenses)	2015-05-31	$243,254
Net plan assets at end of year (total assets less liabilities)	2015-05-31	$5,131,049
Net plan assets at beginning of year (total assets less liabilities)	2015-05-31	$4,887,795
Expenses. Administrative service providers (salaries,fees and commissions)	2015-05-31	$38,771
2014 : D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2014 401k financial data
Total income from all sources	2014-05-31	$386,273
Expenses. Total of all expenses incurred	2014-05-31	$33,501
Total plan assets at end of year	2014-05-31	$4,887,795
Total plan assets at beginning of year	2014-05-31	$4,535,023
Other income received	2014-05-31	$386,273
Net income (gross income less expenses)	2014-05-31	$352,772
Net plan assets at end of year (total assets less liabilities)	2014-05-31	$4,887,795
Net plan assets at beginning of year (total assets less liabilities)	2014-05-31	$4,535,023
Expenses. Administrative service providers (salaries,fees and commissions)	2014-05-31	$33,501
2013 : D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2013 401k financial data
Total income from all sources	2013-05-31	$531,704
Expenses. Total of all expenses incurred	2013-05-31	$2,059,580
Benefits paid (including direct rollovers)	2013-05-31	$2,023,648
Total plan assets at end of year	2013-05-31	$4,535,023
Total plan assets at beginning of year	2013-05-31	$6,062,899
Other income received	2013-05-31	$531,704
Net income (gross income less expenses)	2013-05-31	$-1,527,876
Net plan assets at end of year (total assets less liabilities)	2013-05-31	$4,535,023
Net plan assets at beginning of year (total assets less liabilities)	2013-05-31	$6,062,899
Expenses. Administrative service providers (salaries,fees and commissions)	2013-05-31	$35,932
2012 : D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2012 401k financial data
Total income from all sources	2012-05-31	$93,690
Expenses. Total of all expenses incurred	2012-05-31	$137
Total plan assets at end of year	2012-05-31	$6,062,899
Total plan assets at beginning of year	2012-05-31	$5,969,346
Expenses. Other expenses not covered elsewhere	2012-05-31	$137
Other income received	2012-05-31	$39,190
Net income (gross income less expenses)	2012-05-31	$93,553
Net plan assets at end of year (total assets less liabilities)	2012-05-31	$6,062,899
Net plan assets at beginning of year (total assets less liabilities)	2012-05-31	$5,969,346
Total contributions received or receivable from employer(s)	2012-05-31	$54,500
2011 : D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2011 401k financial data
Total income from all sources	2011-05-31	$662,208
Expenses. Total of all expenses incurred	2011-05-31	$835
Total plan assets at end of year	2011-05-31	$5,969,346
Total plan assets at beginning of year	2011-05-31	$5,307,973
Expenses. Other expenses not covered elsewhere	2011-05-31	$835
Other income received	2011-05-31	$622,208
Net income (gross income less expenses)	2011-05-31	$661,373
Net plan assets at end of year (total assets less liabilities)	2011-05-31	$5,969,346
Net plan assets at beginning of year (total assets less liabilities)	2011-05-31	$5,307,973
Total contributions received or receivable from employer(s)	2011-05-31	$40,000

Form 5500 Responses for D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST

2015: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2015 form 5500 responses
2015-06-01	Type of plan entity	Single employer plan
2015-06-01	Submission has been amended	No
2015-06-01	This submission is the final filing	Yes
2015-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-06-01	Plan is a collectively bargained plan	No
2015-06-01	Plan funding arrangement – Trust	Yes
2015-06-01	Plan benefit arrangement - Trust	Yes
2014: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2014 form 5500 responses
2014-06-01	Type of plan entity	Single employer plan
2014-06-01	Submission has been amended	No
2014-06-01	This submission is the final filing	No
2014-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-06-01	Plan is a collectively bargained plan	No
2014-06-01	Plan funding arrangement – Trust	Yes
2014-06-01	Plan benefit arrangement - Trust	Yes
2013: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2013 form 5500 responses
2013-06-01	Type of plan entity	Single employer plan
2013-06-01	Submission has been amended	No
2013-06-01	This submission is the final filing	No
2013-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-06-01	Plan is a collectively bargained plan	No
2013-06-01	Plan funding arrangement – Trust	Yes
2013-06-01	Plan benefit arrangement - Trust	Yes
2012: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2012 form 5500 responses
2012-06-01	Type of plan entity	Single employer plan
2012-06-01	Submission has been amended	No
2012-06-01	This submission is the final filing	No
2012-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-06-01	Plan is a collectively bargained plan	No
2012-06-01	Plan funding arrangement – Trust	Yes
2012-06-01	Plan benefit arrangement - Trust	Yes
2011: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2011 form 5500 responses
2011-06-01	Type of plan entity	Single employer plan
2011-06-01	Plan funding arrangement – Trust	Yes
2011-06-01	Plan benefit arrangement - Trust	Yes
2010: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2010 form 5500 responses
2010-06-01	Type of plan entity	Single employer plan
2010-06-01	Plan funding arrangement – Trust	Yes
2010-06-01	Plan benefit arrangement - Trust	Yes
2009: D. F. ROSES, M.D., P.C. PROFIT SHARING PLAN AND TRUST 2009 form 5500 responses
2009-06-01	Type of plan entity	Single employer plan
2009-06-01	Plan funding arrangement – Trust	Yes
2009-06-01	Plan benefit arrangement - Trust	Yes

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Company Name:	D. F. ROSES, M.D., P.C.
Employer identification number (EIN):	132711467
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)