401k Plan data: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN plan

SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 401k Plan overview

Plan Name	SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN
Plan identification number	002

SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).

401k Sponsoring company profile

MICHAEL K. SCHWARTZ, D.D.S. AND JULIUS HYATT, D.D.S., P.A. has sponsored the creation of one or more 401k plans.

Company Name: MICHAEL K. SCHWARTZ, D.D.S. AND JULIUS HYATT, D.D.S., P.A.

Employer identification number (EIN): 521297864

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2019-01-01
002 2018-01-01
002 2017-01-01
002 2016-01-01
002 2015-01-01
002 2014-01-01
002 2013-01-01
002 2011-01-01 MICHAEL K SCHWARTZ DDS MICHAEL K SCHWARTZ DDS 2012-10-15
002 2009-01-01 MICHAEL K SCHWARTZ DDS MICHAEL K SCHWARTZ DDS 2010-10-15

Plan Statistics for SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN

401k plan membership statisitcs for SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN

Measure Date Value
2016: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2016 401k membership
Market value of plan assets 2016-12-31 4,219,995
Acturial value of plan assets 2016-12-31 4,219,995
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 0
Number of terminated vested participants 2016-12-31 24
Fundng target for terminated vested participants 2016-12-31 317,183
Active participant vested funding target 2016-12-31 3,902,442
Number of active participants 2016-12-31 19
Total funding liabilities for active participants 2016-12-31 3,902,442
Total participant count 2016-12-31 43
Total funding target for all participants 2016-12-31 4,219,625
Balance at beginning of prior year after applicable adjustments 2016-12-31 20,797
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 0
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 0
Amount remaining of carryover balance 2016-12-31 20,797
Amount remaining of prefunding balance 2016-12-31 0
Present value of excess contributions 2016-12-31 0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 20,443
Balance of prefunding at beginning of current year 2016-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 0
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 0
Net shortfall amortization installment of oustanding balance 2016-12-31 0
Waiver amortization installment 2016-12-31 0
Waived amount of outstanding balance 2016-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 0
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 0
Additional cash requirement 2016-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0
2014: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 49
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 0
Total of all active and inactive participants 2014-01-01 49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 30
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 32
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 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2011: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 31
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 1
Total of all active and inactive participants 2011-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 8
2009: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 8
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 8
Total of all active and inactive participants 2009-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2016: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2016 401k membership
Market value of plan assets	2016-12-31	4,219,995
Acturial value of plan assets	2016-12-31	4,219,995
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	0
Number of terminated vested participants	2016-12-31	24
Fundng target for terminated vested participants	2016-12-31	317,183
Active participant vested funding target	2016-12-31	3,902,442
Number of active participants	2016-12-31	19
Total funding liabilities for active participants	2016-12-31	3,902,442
Total participant count	2016-12-31	43
Total funding target for all participants	2016-12-31	4,219,625
Balance at beginning of prior year after applicable adjustments	2016-12-31	20,797
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	0
Amount remaining of carryover balance	2016-12-31	20,797
Amount remaining of prefunding balance	2016-12-31	0
Present value of excess contributions	2016-12-31	0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	20,443
Balance of prefunding at beginning of current year	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	0
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	0
Net shortfall amortization installment of oustanding balance	2016-12-31	0
Waiver amortization installment	2016-12-31	0
Waived amount of outstanding balance	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	0
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	0
Additional cash requirement	2016-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0
2014: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	49
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	0
Total of all active and inactive participants	2014-01-01	49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	30
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	32
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	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2011: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	31
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	1
Total of all active and inactive participants	2011-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	8
2009: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	8
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	8
Total of all active and inactive participants	2009-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN

Measure	Date	Value
2014 : SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$94,597
Expenses. Total of all expenses incurred	2014-12-31	$0
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$4,373,943
Total plan assets at beginning of year	2014-12-31	$4,279,346
Value of fidelity bond covering the plan	2014-12-31	$450,000
Total contributions received or receivable from participants	2014-12-31	$0
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$94,597
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$94,597
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$4,373,943
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$4,279,346
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$939,427
Expenses. Total of all expenses incurred	2013-12-31	$0
Benefits paid (including direct rollovers)	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$4,279,346
Total plan assets at beginning of year	2013-12-31	$3,339,919
Value of fidelity bond covering the plan	2013-12-31	$2,800,000
Total contributions received or receivable from participants	2013-12-31	$0
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$525,427
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$939,427
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$4,279,346
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,339,919
Total contributions received or receivable from employer(s)	2013-12-31	$414,000
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2011 : SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$408,201
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$2,735,757
Total plan assets at beginning of year	2011-12-31	$2,327,556
Value of fidelity bond covering the plan	2011-12-31	$2,800,000
Total contributions received or receivable from participants	2011-12-31	$0
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-35,419
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$408,201
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,735,757
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,327,556
Total contributions received or receivable from employer(s)	2011-12-31	$443,620
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
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	$688,991
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$2,327,556
Total plan assets at beginning of year	2010-12-31	$1,638,565
Value of fidelity bond covering the plan	2010-12-31	$2,400,000
Total contributions received or receivable from participants	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$223,059
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$688,991
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,327,556
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,638,565
Total contributions received or receivable from employer(s)	2010-12-31	$465,932
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN

2014: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION 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
2013: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 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
2011: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION PLAN 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
2009: SCHWARTZ & HYATT, D.D.S., P.A. CASH BALANCE PENSION 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:	MICHAEL K. SCHWARTZ, D.D.S. AND JULIUS HYATT, D.D.S., P.A.
Employer identification number (EIN):	521297864
NAIC Classification:	621210
NAIC Description:	Offices of Dentists

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2019-01-01
002	2018-01-01
002	2017-01-01
002	2016-01-01
002	2015-01-01
002	2014-01-01
002	2013-01-01
002	2011-01-01	MICHAEL K SCHWARTZ DDS	MICHAEL K SCHWARTZ DDS	2012-10-15
002	2009-01-01	MICHAEL K SCHWARTZ DDS	MICHAEL K SCHWARTZ DDS	2010-10-15