401k Plan data: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN plan

UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 401k Plan overview

Plan Name	UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN
Plan identification number	009

UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Money purchase (other than target benefit) 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.

401k Sponsoring company profile

BARRY M CAPLAN has sponsored the creation of one or more 401k plans.

Company Name: BARRY M CAPLAN

Employer identification number (EIN): 161150545

NAIC Classification: 451211
NAIC Description: Book Stores

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
009 2013-01-01 BARRY M CAPLAN
009 2012-01-01 BARRY M CAPLAN
009 2011-01-01 BARRY M CAPLAN
009 2009-01-01 BARRY M CAPLAN
009 2009-01-01 BARRY M CAPLAN
009 2007-01-01 BARRY CAPLAN

Plan id#	Filing Submission Date	Name of Administrator
009	2013-01-01	BARRY M CAPLAN
009	2012-01-01	BARRY M CAPLAN
009	2011-01-01	BARRY M CAPLAN
009	2009-01-01	BARRY M CAPLAN
009	2009-01-01	BARRY M CAPLAN
009	2007-01-01	BARRY CAPLAN

Plan Statistics for UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN

401k plan membership statisitcs for UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN

Measure Date Value
2013: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 3
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 0
Total of all active and inactive participants 2012-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 3
Number of participants with account balances 2012-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
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 0
Total of all active and inactive participants 2011-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 2
Number of participants with account balances 2011-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2
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 0
Total of all active and inactive participants 2009-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2
Number of participants with account balances 2009-01-01 2
2007: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year 2007-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 1
Number of retired or separated participants receiving benefits 2007-01-01 0
Number of other retired or separated participants entitled to future benefits 2007-01-01 0
Total of all active and inactive participants 2007-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 1
Number of participants with account balances 2007-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 0

Measure	Date	Value
2013: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	3
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	0
Total of all active and inactive participants	2012-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	3
Number of participants with account balances	2012-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
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	0
Total of all active and inactive participants	2011-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	2
Number of participants with account balances	2011-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2
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	0
Total of all active and inactive participants	2009-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2
Number of participants with account balances	2009-01-01	2
2007: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year	2007-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	1
Number of retired or separated participants receiving benefits	2007-01-01	0
Number of other retired or separated participants entitled to future benefits	2007-01-01	0
Total of all active and inactive participants	2007-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	1
Number of participants with account balances	2007-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	0

Financial Data on UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN

Measure	Date	Value
2013 : UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$-1,599,481
Total income from all sources	2013-12-31	$64,229
Expenses. Total of all expenses incurred	2013-12-31	$2,957
Total plan assets at end of year	2013-12-31	$0
Total plan assets at beginning of year	2013-12-31	$1,538,209
Other income received	2013-12-31	$64,229
Net income (gross income less expenses)	2013-12-31	$61,272
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,538,209
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$2,957
2012 : UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$119,881
Total income from all sources	2012-12-31	$154,624
Expenses. Total of all expenses incurred	2012-12-31	$10,966
Total plan assets at end of year	2012-12-31	$1,538,209
Total plan assets at beginning of year	2012-12-31	$1,274,670
Other income received	2012-12-31	$154,624
Net income (gross income less expenses)	2012-12-31	$143,658
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,538,209
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,274,670
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$10,966
2011 : UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$35,918
Expenses. Total of all expenses incurred	2011-12-31	$9,908
Total plan assets at end of year	2011-12-31	$1,274,670
Total plan assets at beginning of year	2011-12-31	$1,248,660
Other income received	2011-12-31	$35,918
Net income (gross income less expenses)	2011-12-31	$26,010
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,274,670
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,248,660
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$9,908
2010 : UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$131,683
Expenses. Total of all expenses incurred	2010-12-31	$6,482
Total plan assets at end of year	2010-12-31	$1,248,660
Total plan assets at beginning of year	2010-12-31	$1,123,459
Other income received	2010-12-31	$126,134
Net income (gross income less expenses)	2010-12-31	$125,201
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,248,660
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,123,459
Total contributions received or receivable from employer(s)	2010-12-31	$5,549
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$6,482

Form 5500 Responses for UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN

2013: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	This submission is the final filing	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2007: UBS FINANCIAL SERVICES AS CUSTODIAN FOR BARRY M CAPLAN PROFIT SHARING PLAN 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	No
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BARRY M CAPLAN
Employer identification number (EIN):	161150545
NAIC Classification:	451211
NAIC Description:	Book Stores