401k Plan data: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN plan

NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 401k Plan overview

Plan Name	NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN
Plan identification number	001

NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
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

NORTH RIVERS DENTAL ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: NORTH RIVERS DENTAL ASSOCIATES, INC.

Employer identification number (EIN): 571101685

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 L. RILEY CATES 2016-06-02
001 2014-01-01 L. RILEY CATES 2015-05-28
001 2013-01-01 L. RILEY CATES
001 2012-01-01 L. RILEY CATES
001 2011-01-01 L. RILEY CATES

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01	L. RILEY CATES	2016-06-02
001	2014-01-01	L. RILEY CATES	2015-05-28
001	2013-01-01	L. RILEY CATES
001	2012-01-01	L. RILEY CATES
001	2011-01-01	L. RILEY CATES

Plan Statistics for NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN

401k plan membership statisitcs for NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN

Measure Date Value
2013: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 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 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 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 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 other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 9
Total participants 2012-01-01 9
Number of participants with account balances 2012-01-01 9
2011: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 9
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 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 9
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2013: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 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	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	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 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 other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	9
Total participants	2012-01-01	9
Number of participants with account balances	2012-01-01	9
2011: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	9
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	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	9
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN

Measure	Date	Value
2013 : NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$112,192
Expenses. Total of all expenses incurred	2013-12-31	$7,989
Benefits paid (including direct rollovers)	2013-12-31	$636
Total plan assets at end of year	2013-12-31	$689,306
Total plan assets at beginning of year	2013-12-31	$585,103
Total contributions received or receivable from participants	2013-12-31	$36,291
Expenses. Other expenses not covered elsewhere	2013-12-31	$7,353
Other income received	2013-12-31	$35,029
Net income (gross income less expenses)	2013-12-31	$104,203
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$689,306
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$585,103
Total contributions received or receivable from employer(s)	2013-12-31	$40,872
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$122,002
Expenses. Total of all expenses incurred	2012-12-31	$9,083
Total plan assets at end of year	2012-12-31	$585,103
Total plan assets at beginning of year	2012-12-31	$472,184
Total contributions received or receivable from participants	2012-12-31	$33,664
Other income received	2012-12-31	$43,707
Net income (gross income less expenses)	2012-12-31	$112,919
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$585,103
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$472,184
Total contributions received or receivable from employer(s)	2012-12-31	$44,631
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$9,083
2011 : NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$65,242
Expenses. Total of all expenses incurred	2011-12-31	$16,863
Benefits paid (including direct rollovers)	2011-12-31	$10,773
Total plan assets at end of year	2011-12-31	$472,184
Total plan assets at beginning of year	2011-12-31	$423,805
Total contributions received or receivable from participants	2011-12-31	$17,012
Other income received	2011-12-31	$5,154
Net income (gross income less expenses)	2011-12-31	$48,379
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$472,184
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$423,805
Total contributions received or receivable from employer(s)	2011-12-31	$43,076
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$6,090
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 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	$4,635
Total income from all sources	2010-12-31	$72,665
Expenses. Total of all expenses incurred	2010-12-31	$2,633
Total plan assets at end of year	2010-12-31	$423,805
Total plan assets at beginning of year	2010-12-31	$358,408
Other income received	2010-12-31	$19,665
Net income (gross income less expenses)	2010-12-31	$70,032
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$423,805
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$353,773
Assets. Value of real-estate (other than employer real property)	2010-12-31	$106,109
Total contributions received or receivable from employer(s)	2010-12-31	$53,000
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$2,633

Form 5500 Responses for NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN

2013: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) 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: NORTH RIVERS DENTAL ASSOCIATES, INC. 401(K) 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

Potentially related plans

NORTH RIVERS DENTAL ASSOCIATES, LLC 401(K) PLAN [EIN = 461650418]

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Company Name:	NORTH RIVERS DENTAL ASSOCIATES, INC.
Employer identification number (EIN):	571101685
NAIC Classification:	621210
NAIC Description:	Offices of Dentists