401k Plan data: HOWARD E. KAPLAN PROFIT SHARING TRUST plan

HOWARD E. KAPLAN PROFIT SHARING TRUST 401k Plan overview

Plan Name	HOWARD E. KAPLAN PROFIT SHARING TRUST
Plan identification number	001

HOWARD E. KAPLAN PROFIT SHARING TRUST 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.
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.
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

HOWARD E. KAPLAN & COMPANY has sponsored the creation of one or more 401k plans.

Company Name: HOWARD E. KAPLAN & COMPANY

Employer identification number (EIN): 363097806

NAIC Classification: 531390
NAIC Description: Other Activities Related to Real Estate

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HOWARD E. KAPLAN PROFIT SHARING TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-10-01 HOWARD E. KAPLAN
001 2013-10-01 HOWARD E. KAPLAN
001 2012-10-01 HOWARD E. KAPLAN
001 2011-10-01 HOWARD E. KAPLAN
001 2009-10-01 HOWARD E. KAPLAN 2010-11-09 HOWARD E. KAPLAN 2010-11-09

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2014-10-01	HOWARD E. KAPLAN
001	2013-10-01	HOWARD E. KAPLAN
001	2012-10-01	HOWARD E. KAPLAN
001	2011-10-01	HOWARD E. KAPLAN
001	2009-10-01	HOWARD E. KAPLAN	2010-11-09	HOWARD E. KAPLAN	2010-11-09

Plan Statistics for HOWARD E. KAPLAN PROFIT SHARING TRUST

401k plan membership statisitcs for HOWARD E. KAPLAN PROFIT SHARING TRUST

Measure Date Value
2014: HOWARD E. KAPLAN PROFIT SHARING TRUST 2014 401k membership
Total participants, beginning-of-year 2014-10-01 1
Total number of active participants reported on line 7a of the Form 5500 2014-10-01 0
Number of retired or separated participants receiving benefits 2014-10-01 0
Number of other retired or separated participants entitled to future benefits 2014-10-01 0
Total of all active and inactive participants 2014-10-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-10-01 0
Total participants 2014-10-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-10-01 0
2013: HOWARD E. KAPLAN PROFIT SHARING TRUST 2013 401k membership
Total participants, beginning-of-year 2013-10-01 1
Total number of active participants reported on line 7a of the Form 5500 2013-10-01 1
Number of retired or separated participants receiving benefits 2013-10-01 0
Number of other retired or separated participants entitled to future benefits 2013-10-01 0
Total of all active and inactive participants 2013-10-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-10-01 0
Total participants 2013-10-01 1
Number of participants with account balances 2013-10-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-10-01 0
2012: HOWARD E. KAPLAN PROFIT SHARING TRUST 2012 401k membership
Total participants, beginning-of-year 2012-10-01 1
Total number of active participants reported on line 7a of the Form 5500 2012-10-01 1
Number of retired or separated participants receiving benefits 2012-10-01 0
Number of other retired or separated participants entitled to future benefits 2012-10-01 0
Total of all active and inactive participants 2012-10-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-10-01 0
Total participants 2012-10-01 1
Number of participants with account balances 2012-10-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-10-01 0
2011: HOWARD E. KAPLAN PROFIT SHARING TRUST 2011 401k membership
Total participants, beginning-of-year 2011-10-01 1
Total number of active participants reported on line 7a of the Form 5500 2011-10-01 1
Number of retired or separated participants receiving benefits 2011-10-01 0
Number of other retired or separated participants entitled to future benefits 2011-10-01 0
Total of all active and inactive participants 2011-10-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-01 0
Total participants 2011-10-01 1
Number of participants with account balances 2011-10-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-10-01 0
2009: HOWARD E. KAPLAN PROFIT SHARING TRUST 2009 401k membership
Total participants, beginning-of-year 2009-10-01 1
Total number of active participants reported on line 7a of the Form 5500 2009-10-01 1
Number of retired or separated participants receiving benefits 2009-10-01 0
Number of other retired or separated participants entitled to future benefits 2009-10-01 0
Total of all active and inactive participants 2009-10-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-10-01 0
Total participants 2009-10-01 1
Number of participants with account balances 2009-10-01 1

Measure	Date	Value
2014: HOWARD E. KAPLAN PROFIT SHARING TRUST 2014 401k membership
Total participants, beginning-of-year	2014-10-01	1
Total number of active participants reported on line 7a of the Form 5500	2014-10-01	0
Number of retired or separated participants receiving benefits	2014-10-01	0
Number of other retired or separated participants entitled to future benefits	2014-10-01	0
Total of all active and inactive participants	2014-10-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-10-01	0
Total participants	2014-10-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-10-01	0
2013: HOWARD E. KAPLAN PROFIT SHARING TRUST 2013 401k membership
Total participants, beginning-of-year	2013-10-01	1
Total number of active participants reported on line 7a of the Form 5500	2013-10-01	1
Number of retired or separated participants receiving benefits	2013-10-01	0
Number of other retired or separated participants entitled to future benefits	2013-10-01	0
Total of all active and inactive participants	2013-10-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-10-01	0
Total participants	2013-10-01	1
Number of participants with account balances	2013-10-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-10-01	0
2012: HOWARD E. KAPLAN PROFIT SHARING TRUST 2012 401k membership
Total participants, beginning-of-year	2012-10-01	1
Total number of active participants reported on line 7a of the Form 5500	2012-10-01	1
Number of retired or separated participants receiving benefits	2012-10-01	0
Number of other retired or separated participants entitled to future benefits	2012-10-01	0
Total of all active and inactive participants	2012-10-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-10-01	0
Total participants	2012-10-01	1
Number of participants with account balances	2012-10-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-10-01	0
2011: HOWARD E. KAPLAN PROFIT SHARING TRUST 2011 401k membership
Total participants, beginning-of-year	2011-10-01	1
Total number of active participants reported on line 7a of the Form 5500	2011-10-01	1
Number of retired or separated participants receiving benefits	2011-10-01	0
Number of other retired or separated participants entitled to future benefits	2011-10-01	0
Total of all active and inactive participants	2011-10-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-01	0
Total participants	2011-10-01	1
Number of participants with account balances	2011-10-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-10-01	0
2009: HOWARD E. KAPLAN PROFIT SHARING TRUST 2009 401k membership
Total participants, beginning-of-year	2009-10-01	1
Total number of active participants reported on line 7a of the Form 5500	2009-10-01	1
Number of retired or separated participants receiving benefits	2009-10-01	0
Number of other retired or separated participants entitled to future benefits	2009-10-01	0
Total of all active and inactive participants	2009-10-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-10-01	0
Total participants	2009-10-01	1
Number of participants with account balances	2009-10-01	1

Financial Data on HOWARD E. KAPLAN PROFIT SHARING TRUST

Measure	Date	Value
2015 : HOWARD E. KAPLAN PROFIT SHARING TRUST 2015 401k financial data
Total income from all sources	2015-09-30	$-1,683
Expenses. Total of all expenses incurred	2015-09-30	$30,000
Benefits paid (including direct rollovers)	2015-09-30	$30,000
Total plan assets at end of year	2015-09-30	$246,226
Total plan assets at beginning of year	2015-09-30	$277,909
Other income received	2015-09-30	$-1,683
Net income (gross income less expenses)	2015-09-30	$-31,683
Net plan assets at end of year (total assets less liabilities)	2015-09-30	$246,226
Net plan assets at beginning of year (total assets less liabilities)	2015-09-30	$277,909
2014 : HOWARD E. KAPLAN PROFIT SHARING TRUST 2014 401k financial data
Transfers to/from the plan	2014-09-30	$-567,036
Total income from all sources	2014-09-30	$121,999
Expenses. Total of all expenses incurred	2014-09-30	$78,600
Benefits paid (including direct rollovers)	2014-09-30	$78,600
Total plan assets at end of year	2014-09-30	$277,287
Total plan assets at beginning of year	2014-09-30	$800,924
Other income received	2014-09-30	$121,999
Net income (gross income less expenses)	2014-09-30	$43,399
Net plan assets at end of year (total assets less liabilities)	2014-09-30	$277,287
Net plan assets at beginning of year (total assets less liabilities)	2014-09-30	$800,924
2013 : HOWARD E. KAPLAN PROFIT SHARING TRUST 2013 401k financial data
Total income from all sources	2013-09-30	$106,489
Expenses. Total of all expenses incurred	2013-09-30	$77,494
Benefits paid (including direct rollovers)	2013-09-30	$77,494
Total plan assets at end of year	2013-09-30	$800,924
Total plan assets at beginning of year	2013-09-30	$771,929
Other income received	2013-09-30	$106,489
Net income (gross income less expenses)	2013-09-30	$28,995
Net plan assets at end of year (total assets less liabilities)	2013-09-30	$800,924
Net plan assets at beginning of year (total assets less liabilities)	2013-09-30	$771,929
2012 : HOWARD E. KAPLAN PROFIT SHARING TRUST 2012 401k financial data
Total income from all sources	2012-09-30	$84,405
Expenses. Total of all expenses incurred	2012-09-30	$66,395
Benefits paid (including direct rollovers)	2012-09-30	$66,395
Total plan assets at end of year	2012-09-30	$771,929
Total plan assets at beginning of year	2012-09-30	$753,919
Other income received	2012-09-30	$84,405
Net income (gross income less expenses)	2012-09-30	$18,010
Net plan assets at end of year (total assets less liabilities)	2012-09-30	$771,929
Net plan assets at beginning of year (total assets less liabilities)	2012-09-30	$753,919
2011 : HOWARD E. KAPLAN PROFIT SHARING TRUST 2011 401k financial data
Total income from all sources	2011-09-30	$-28,375
Total plan assets at end of year	2011-09-30	$753,919
Total plan assets at beginning of year	2011-09-30	$782,294
Other income received	2011-09-30	$-28,375
Net income (gross income less expenses)	2011-09-30	$-28,375
Net plan assets at end of year (total assets less liabilities)	2011-09-30	$753,919
Net plan assets at beginning of year (total assets less liabilities)	2011-09-30	$782,294

Form 5500 Responses for HOWARD E. KAPLAN PROFIT SHARING TRUST

2014: HOWARD E. KAPLAN PROFIT SHARING TRUST 2014 form 5500 responses
2014-10-01	Type of plan entity	Single employer plan
2014-10-01	Plan funding arrangement – Trust	Yes
2014-10-01	Plan benefit arrangement - Trust	Yes
2013: HOWARD E. KAPLAN PROFIT SHARING TRUST 2013 form 5500 responses
2013-10-01	Type of plan entity	Single employer plan
2013-10-01	Plan funding arrangement – Trust	Yes
2013-10-01	Plan benefit arrangement - Trust	Yes
2012: HOWARD E. KAPLAN PROFIT SHARING TRUST 2012 form 5500 responses
2012-10-01	Type of plan entity	Single employer plan
2012-10-01	Plan funding arrangement – Trust	Yes
2012-10-01	Plan benefit arrangement - Trust	Yes
2011: HOWARD E. KAPLAN PROFIT SHARING TRUST 2011 form 5500 responses
2011-10-01	Type of plan entity	Single employer plan
2011-10-01	Plan funding arrangement – Trust	Yes
2011-10-01	Plan benefit arrangement - Trust	Yes
2009: HOWARD E. KAPLAN PROFIT SHARING TRUST 2009 form 5500 responses
2009-10-01	Type of plan entity	Single employer plan
2009-10-01	Plan funding arrangement – Trust	Yes
2009-10-01	Plan benefit arrangement - Trust	Yes

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Company Name:	HOWARD E. KAPLAN & COMPANY
Employer identification number (EIN):	363097806
NAIC Classification:	531390
NAIC Description:	Other Activities Related to Real Estate