401k Plan data: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING plan

UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 401k Plan overview

Plan Name	UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING
Plan identification number	005

UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
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

RICHARD W. PIERCE LAW OFFICE LLC has sponsored the creation of one or more 401k plans.

Company Name: RICHARD W. PIERCE LAW OFFICE LLC

Employer identification number (EIN): 660680563

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2014-01-01 RICHARD W. PIERCE RICHARD W. PIERCE 2016-09-14
005 2013-01-01 RICHARD W. PIERCE
005 2012-01-01 RICHARD W. PIERCE
005 2011-01-01 RICHARD W. PIERCE
005 2010-01-01 RICHARD W. PIERCE
005 2009-01-01 RICHARD W. PIERCE

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
005	2014-01-01	RICHARD W. PIERCE	RICHARD W. PIERCE	2016-09-14
005	2013-01-01	RICHARD W. PIERCE
005	2012-01-01	RICHARD W. PIERCE
005	2011-01-01	RICHARD W. PIERCE
005	2010-01-01	RICHARD W. PIERCE
005	2009-01-01	RICHARD W. PIERCE

Plan Statistics for UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING

401k plan membership statisitcs for UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING

Measure Date Value
2014: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2
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
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2013 401k membership
Total participants, beginning-of-year 2013-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2
Total of all active and inactive participants 2013-01-01 2
Total participants 2013-01-01 2
Number of participants with account balances 2013-01-01 2
2012: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 3
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 4
Total participants 2012-01-01 4
Number of participants with account balances 2012-01-01 4
2011: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2011 401k membership
Total participants, beginning-of-year 2011-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 3
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 4
Total participants 2011-01-01 4
Number of participants with account balances 2011-01-01 4
2010: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2010 401k membership
Total participants, beginning-of-year 2010-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 3
Number of other retired or separated participants entitled to future benefits 2010-01-01 1
Total of all active and inactive participants 2010-01-01 4
Total participants 2010-01-01 4
Number of participants with account balances 2010-01-01 4
2009: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2009 401k membership
Total participants, beginning-of-year 2009-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 3
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 4
Total participants 2009-01-01 4
Number of participants with account balances 2009-01-01 4

Measure	Date	Value
2014: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2
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
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2013 401k membership
Total participants, beginning-of-year	2013-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2
Total of all active and inactive participants	2013-01-01	2
Total participants	2013-01-01	2
Number of participants with account balances	2013-01-01	2
2012: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	3
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	4
Total participants	2012-01-01	4
Number of participants with account balances	2012-01-01	4
2011: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2011 401k membership
Total participants, beginning-of-year	2011-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	3
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	4
Total participants	2011-01-01	4
Number of participants with account balances	2011-01-01	4
2010: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2010 401k membership
Total participants, beginning-of-year	2010-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	3
Number of other retired or separated participants entitled to future benefits	2010-01-01	1
Total of all active and inactive participants	2010-01-01	4
Total participants	2010-01-01	4
Number of participants with account balances	2010-01-01	4
2009: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2009 401k membership
Total participants, beginning-of-year	2009-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	3
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	4
Total participants	2009-01-01	4
Number of participants with account balances	2009-01-01	4

Financial Data on UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING

Measure	Date	Value
2014 : UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total income from all sources	2014-12-31	$0
Expenses. Total of all expenses incurred	2014-12-31	$238,232
Benefits paid (including direct rollovers)	2014-12-31	$238,232
Total plan assets at end of year	2014-12-31	$0
Total plan assets at beginning of year	2014-12-31	$238,232
Total contributions received or receivable from participants	2014-12-31	$0
Other income received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$-238,232
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	$238,232
2013 : UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2013 401k financial data
Total income from all sources	2013-12-31	$26,974
Expenses. Total of all expenses incurred	2013-12-31	$26,560
Benefits paid (including direct rollovers)	2013-12-31	$26,510
Total plan assets at end of year	2013-12-31	$238,232
Total plan assets at beginning of year	2013-12-31	$237,818
Total contributions received or receivable from participants	2013-12-31	$3,369
Expenses. Other expenses not covered elsewhere	2013-12-31	$50
Other income received	2013-12-31	$23,605
Net income (gross income less expenses)	2013-12-31	$414
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$238,232
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$237,818
2012 : UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2012 401k financial data
Total income from all sources	2012-12-31	$24,928
Expenses. Total of all expenses incurred	2012-12-31	$20,000
Benefits paid (including direct rollovers)	2012-12-31	$20,000
Total plan assets at end of year	2012-12-31	$237,818
Total plan assets at beginning of year	2012-12-31	$232,890
Total contributions received or receivable from participants	2012-12-31	$9,357
Other income received	2012-12-31	$15,571
Net income (gross income less expenses)	2012-12-31	$4,928
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$237,818
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$232,890
2011 : UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2011 401k financial data
Total income from all sources	2011-12-31	$666
Expenses. Total of all expenses incurred	2011-12-31	$150
Total plan assets at end of year	2011-12-31	$232,890
Total plan assets at beginning of year	2011-12-31	$232,374
Total contributions received or receivable from participants	2011-12-31	$16,882
Other income received	2011-12-31	$-19,023
Net income (gross income less expenses)	2011-12-31	$516
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$232,890
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$232,374
Total contributions received or receivable from employer(s)	2011-12-31	$2,807
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$150
2010 : UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2010 401k financial data
Total income from all sources	2010-12-31	$25,115
Expenses. Total of all expenses incurred	2010-12-31	$161
Total plan assets at end of year	2010-12-31	$232,374
Total plan assets at beginning of year	2010-12-31	$207,420
Total contributions received or receivable from participants	2010-12-31	$18,900
Other income received	2010-12-31	$1,615
Net income (gross income less expenses)	2010-12-31	$24,954
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$232,374
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$207,420
Total contributions received or receivable from employer(s)	2010-12-31	$4,600
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$161

Form 5500 Responses for UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING

2014: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 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: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 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: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 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: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 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: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
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: UBS FINANCIAL SERVICES INC. STANDARDIZED 401 K PROFIT SHARING 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:	RICHARD W. PIERCE LAW OFFICE LLC
Employer identification number (EIN):	660680563
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers