401k Plan data: D L BAKER & CO INCORPORATED plan

D L BAKER & CO INCORPORATED 401k Plan overview

Plan Name	D L BAKER & CO INCORPORATED
Plan identification number	001

D L BAKER & CO INCORPORATED Benefits

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

401k Sponsoring company profile

D L BAKER & CO INCORPORATED has sponsored the creation of one or more 401k plans.

Company Name: D L BAKER & CO INCORPORATED

Employer identification number (EIN): 341087614

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan D L BAKER & CO INCORPORATED

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 MELISSA HENAHAN
001 2013-01-01 MELISSA HENAHAN
001 2012-01-01 MELISSA HENAHAN
001 2011-01-01 MELISSA HENAHAN
001 2010-01-01 MELISSA HENAHAN
001 2009-01-01 MELISSA HENAHAN
001 2009-01-01 2010-07-07
001 2009-01-01 2010-07-07

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2014-01-01	MELISSA HENAHAN
001	2013-01-01	MELISSA HENAHAN
001	2012-01-01	MELISSA HENAHAN
001	2011-01-01	MELISSA HENAHAN
001	2010-01-01	MELISSA HENAHAN
001	2009-01-01	MELISSA HENAHAN
001	2009-01-01		2010-07-07
001	2009-01-01		2010-07-07

Plan Statistics for D L BAKER & CO INCORPORATED

401k plan membership statisitcs for D L BAKER & CO INCORPORATED

Measure Date Value
2014: D L BAKER & CO INCORPORATED 2014 401k membership
Total participants, beginning-of-year 2014-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Total participants 2014-01-01 0
2013: D L BAKER & CO INCORPORATED 2013 401k membership
Total participants, beginning-of-year 2013-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 8
Number of retired or separated participants receiving benefits 2013-01-01 1
Total of all active and inactive participants 2013-01-01 9
Total participants 2013-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: D L BAKER & CO INCORPORATED 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 8
Number of retired or separated participants receiving benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 9
Total participants 2012-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: D L BAKER & CO INCORPORATED 2011 401k membership
Total participants, beginning-of-year 2011-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 9
Total of all active and inactive participants 2011-01-01 9
Total participants 2011-01-01 9
2010: D L BAKER & CO INCORPORATED 2010 401k membership
Total participants, beginning-of-year 2010-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 9
Total of all active and inactive participants 2010-01-01 9
Total participants 2010-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: D L BAKER & CO INCORPORATED 2009 401k membership
Total participants, beginning-of-year 2009-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 11
Total of all active and inactive participants 2009-01-01 11
Total participants 2009-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: D L BAKER & CO INCORPORATED 2014 401k membership
Total participants, beginning-of-year	2014-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Total participants	2014-01-01	0
2013: D L BAKER & CO INCORPORATED 2013 401k membership
Total participants, beginning-of-year	2013-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	8
Number of retired or separated participants receiving benefits	2013-01-01	1
Total of all active and inactive participants	2013-01-01	9
Total participants	2013-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: D L BAKER & CO INCORPORATED 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	8
Number of retired or separated participants receiving benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	9
Total participants	2012-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: D L BAKER & CO INCORPORATED 2011 401k membership
Total participants, beginning-of-year	2011-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	9
Total of all active and inactive participants	2011-01-01	9
Total participants	2011-01-01	9
2010: D L BAKER & CO INCORPORATED 2010 401k membership
Total participants, beginning-of-year	2010-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	9
Total of all active and inactive participants	2010-01-01	9
Total participants	2010-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: D L BAKER & CO INCORPORATED 2009 401k membership
Total participants, beginning-of-year	2009-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	11
Total of all active and inactive participants	2009-01-01	11
Total participants	2009-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on D L BAKER & CO INCORPORATED

Measure	Date	Value
2014 : D L BAKER & CO INCORPORATED 2014 401k financial data
Total income from all sources	2014-12-31	$-56,748
Expenses. Total of all expenses incurred	2014-12-31	$789,092
Benefits paid (including direct rollovers)	2014-12-31	$789,092
Total plan assets at end of year	2014-12-31	$0
Total plan assets at beginning of year	2014-12-31	$845,840
Value of fidelity bond covering the plan	2014-12-31	$120,000
Other income received	2014-12-31	$-56,748
Net income (gross income less expenses)	2014-12-31	$-845,840
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$845,840
2013 : D L BAKER & CO INCORPORATED 2013 401k financial data
Total income from all sources	2013-12-31	$14,069
Expenses. Total of all expenses incurred	2013-12-31	$15,081
Benefits paid (including direct rollovers)	2013-12-31	$15,081
Total plan assets at end of year	2013-12-31	$845,840
Total plan assets at beginning of year	2013-12-31	$846,852
Value of fidelity bond covering the plan	2013-12-31	$120,000
Other income received	2013-12-31	$14,069
Net income (gross income less expenses)	2013-12-31	$-1,012
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$845,840
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$846,852
2012 : D L BAKER & CO INCORPORATED 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$143,470
Expenses. Total of all expenses incurred	2012-12-31	$12,759
Benefits paid (including direct rollovers)	2012-12-31	$12,759
Total plan assets at end of year	2012-12-31	$846,846
Total plan assets at beginning of year	2012-12-31	$716,135
Value of fidelity bond covering the plan	2012-12-31	$120,000
Other income received	2012-12-31	$143,470
Net income (gross income less expenses)	2012-12-31	$130,711
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$846,846
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$716,135
2011 : D L BAKER & CO INCORPORATED 2011 401k financial data
Total income from all sources	2011-12-31	$-119,514
Expenses. Total of all expenses incurred	2011-12-31	$15,269
Benefits paid (including direct rollovers)	2011-12-31	$15,269
Total plan assets at end of year	2011-12-31	$716,136
Total plan assets at beginning of year	2011-12-31	$850,920
Value of fidelity bond covering the plan	2011-12-31	$120,000
Other income received	2011-12-31	$-119,514
Net income (gross income less expenses)	2011-12-31	$-134,783
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$716,136
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$850,920
2010 : D L BAKER & CO INCORPORATED 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$134,477
Expenses. Total of all expenses incurred	2010-12-31	$49,360
Benefits paid (including direct rollovers)	2010-12-31	$49,360
Total plan assets at end of year	2010-12-31	$850,920
Total plan assets at beginning of year	2010-12-31	$779,204
Value of fidelity bond covering the plan	2010-12-31	$120,000
Other income received	2010-12-31	$134,477
Net income (gross income less expenses)	2010-12-31	$85,117
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$850,920
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$779,204

Form 5500 Responses for D L BAKER & CO INCORPORATED

2014: D L BAKER & CO INCORPORATED 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	Yes
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
2013: D L BAKER & CO INCORPORATED 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: D L BAKER & CO INCORPORATED 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: D L BAKER & CO INCORPORATED 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: D L BAKER & CO INCORPORATED 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: D L BAKER & CO INCORPORATED 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:	D L BAKER & CO INCORPORATED
Employer identification number (EIN):	341087614
NAIC Classification:	523120
NAIC Description:	Securities Brokerage