401k Plan data: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN plan

KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN
Plan identification number	001

KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING 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
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

KEITH A. ROYAL, ATTORNEY AT LAW has sponsored the creation of one or more 401k plans.

Company Name: KEITH A. ROYAL, ATTORNEY AT LAW

Employer identification number (EIN): 581933398

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 SUSAN P. ROYAL
001 2016-01-01 SUSAN P. ROYAL SUSAN P. ROYAL 2017-04-05
001 2015-01-01 SUSAN P. ROYAL SUSAN P. ROYAL 2016-04-13
001 2014-01-01 SUSAN P. ROYAL SUSAN P. ROYAL 2015-03-26
001 2013-01-01 SUSAN P. ROYAL
001 2012-01-01 SUSAN P. ROYAL
001 2011-01-01 SUSAN P. ROYAL
001 2010-01-01 SUSAN P. ROYAL
001 2009-01-01 SUSAN P. ROYAL

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	SUSAN P. ROYAL
001	2016-01-01	SUSAN P. ROYAL	SUSAN P. ROYAL	2017-04-05
001	2015-01-01	SUSAN P. ROYAL	SUSAN P. ROYAL	2016-04-13
001	2014-01-01	SUSAN P. ROYAL	SUSAN P. ROYAL	2015-03-26
001	2013-01-01	SUSAN P. ROYAL
001	2012-01-01	SUSAN P. ROYAL
001	2011-01-01	SUSAN P. ROYAL
001	2010-01-01	SUSAN P. ROYAL
001	2009-01-01	SUSAN P. ROYAL

Financial Data on KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2017 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$224,569
Expenses. Total of all expenses incurred	2017-12-31	$3,716
Total plan assets at end of year	2017-12-31	$1,019,052
Total plan assets at beginning of year	2017-12-31	$798,199
Value of fidelity bond covering the plan	2017-12-31	$150,000
Total contributions received or receivable from participants	2017-12-31	$48,861
Other income received	2017-12-31	$140,796
Net income (gross income less expenses)	2017-12-31	$220,853
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$1,019,052
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$798,199
Total contributions received or receivable from employer(s)	2017-12-31	$34,912
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$3,716
2016 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$131,270
Expenses. Total of all expenses incurred	2016-12-31	$3,143
Total plan assets at end of year	2016-12-31	$798,199
Total plan assets at beginning of year	2016-12-31	$670,072
Value of fidelity bond covering the plan	2016-12-31	$150,000
Total contributions received or receivable from participants	2016-12-31	$49,078
Other income received	2016-12-31	$43,032
Net income (gross income less expenses)	2016-12-31	$128,127
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$798,199
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$670,072
Total contributions received or receivable from employer(s)	2016-12-31	$39,160
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$3,143
2015 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total plan liabilities at beginning of year	2015-12-31	$55
Total income from all sources	2015-12-31	$74,342
Expenses. Total of all expenses incurred	2015-12-31	$2,876
Total plan assets at end of year	2015-12-31	$670,072
Total plan assets at beginning of year	2015-12-31	$598,661
Value of fidelity bond covering the plan	2015-12-31	$100,000
Total contributions received or receivable from participants	2015-12-31	$49,099
Other income received	2015-12-31	$-13,744
Net income (gross income less expenses)	2015-12-31	$71,466
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$670,072
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$598,606
Total contributions received or receivable from employer(s)	2015-12-31	$38,987
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$2,876
2014 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$55
Total income from all sources	2014-12-31	$77,133
Expenses. Total of all expenses incurred	2014-12-31	$2,702
Total plan assets at end of year	2014-12-31	$598,661
Total plan assets at beginning of year	2014-12-31	$524,175
Value of fidelity bond covering the plan	2014-12-31	$100,000
Total contributions received or receivable from participants	2014-12-31	$48,043
Other income received	2014-12-31	$19,277
Net income (gross income less expenses)	2014-12-31	$74,431
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$598,606
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$524,175
Total contributions received or receivable from employer(s)	2014-12-31	$9,813
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$2,702
2013 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$152,952
Expenses. Total of all expenses incurred	2013-12-31	$2,241
Total plan assets at end of year	2013-12-31	$524,175
Total plan assets at beginning of year	2013-12-31	$373,464
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$48,038
Expenses. Other expenses not covered elsewhere	2013-12-31	$2,241
Other income received	2013-12-31	$78,286
Net income (gross income less expenses)	2013-12-31	$150,711
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$524,175
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$373,464
Total contributions received or receivable from employer(s)	2013-12-31	$26,628
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$120,650
Expenses. Total of all expenses incurred	2012-12-31	$2,459
Benefits paid (including direct rollovers)	2012-12-31	$744
Total plan assets at end of year	2012-12-31	$373,464
Total plan assets at beginning of year	2012-12-31	$255,273
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$47,039
Other income received	2012-12-31	$36,493
Net income (gross income less expenses)	2012-12-31	$118,191
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$373,464
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$255,273
Total contributions received or receivable from employer(s)	2012-12-31	$37,118
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$1,715
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$67,966
Expenses. Total of all expenses incurred	2011-12-31	$46,236
Benefits paid (including direct rollovers)	2011-12-31	$44,732
Total plan assets at end of year	2011-12-31	$255,273
Total plan assets at beginning of year	2011-12-31	$233,543
Value of fidelity bond covering the plan	2011-12-31	$100,000
Total contributions received or receivable from participants	2011-12-31	$47,192
Expenses. Other expenses not covered elsewhere	2011-12-31	$1,504
Other income received	2011-12-31	$-17,397
Net income (gross income less expenses)	2011-12-31	$21,730
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$255,273
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$233,543
Total contributions received or receivable from employer(s)	2011-12-31	$38,171
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at beginning of year	2010-12-31	$1,485
Total income from all sources	2010-12-31	$131,280
Expenses. Total of all expenses incurred	2010-12-31	$1,064
Total plan assets at end of year	2010-12-31	$233,543
Total plan assets at beginning of year	2010-12-31	$104,812
Total contributions received or receivable from participants	2010-12-31	$62,460
Expenses. Other expenses not covered elsewhere	2010-12-31	$1,064
Other income received	2010-12-31	$24,688
Net income (gross income less expenses)	2010-12-31	$130,216
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$233,543
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$103,327
Total contributions received or receivable from employer(s)	2010-12-31	$44,132

Form 5500 Responses for KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN

2017: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 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 – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: KEITH A. ROYAL, ATTORNEY AT LAW 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	First time form 5500 has been submitted	Yes
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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	93573
Policy instance	1

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Company Name:	KEITH A. ROYAL, ATTORNEY AT LAW
Employer identification number (EIN):	581933398
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers