401k Plan data: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST plan

STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 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.
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

STEVEN A SMITH MD DERMATOLOGY has sponsored the creation of one or more 401k plans.

Company Name: STEVEN A SMITH MD DERMATOLOGY

Employer identification number (EIN): 731333842

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 STEVEN SMITH 2013-09-09 STEVEN SMITH 2013-09-09
001 2011-01-01 STEVEN SMITH 2012-07-12
001 2010-01-01 STEVEN A SMITH MD DERMATOLOGY 2011-07-20
001 2008-01-01 STEVEN SMITH
001 2007-01-01 STEVEN SMITH
001 2006-01-01 STEVEN SMITH

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	STEVEN SMITH	2013-09-09	STEVEN SMITH	2013-09-09
001	2011-01-01	STEVEN SMITH	2012-07-12
001	2010-01-01	STEVEN A SMITH MD DERMATOLOGY	2011-07-20
001	2008-01-01	STEVEN SMITH
001	2007-01-01	STEVEN SMITH
001	2006-01-01	STEVEN SMITH

Plan Statistics for STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2008: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2008 401k membership
Total participants, beginning-of-year 2008-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 18
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 12
Total of all active and inactive participants 2008-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 30
Number of participants with account balances 2008-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-01-01 5
2007: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2007 401k membership
Total participants, beginning-of-year 2007-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 18
Number of retired or separated participants receiving benefits 2007-01-01 0
Number of other retired or separated participants entitled to future benefits 2007-01-01 4
Total of all active and inactive participants 2007-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 22
Number of participants with account balances 2007-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 0
2006: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2006 401k membership
Total participants, beginning-of-year 2006-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2006-01-01 15
Number of retired or separated participants receiving benefits 2006-01-01 0
Number of other retired or separated participants entitled to future benefits 2006-01-01 4
Total of all active and inactive participants 2006-01-01 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2006-01-01 0
Total participants 2006-01-01 19
Number of participants with account balances 2006-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2006-01-01 3

Measure	Date	Value
2008: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2008 401k membership
Total participants, beginning-of-year	2008-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	18
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	12
Total of all active and inactive participants	2008-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	30
Number of participants with account balances	2008-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-01-01	5
2007: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2007 401k membership
Total participants, beginning-of-year	2007-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	18
Number of retired or separated participants receiving benefits	2007-01-01	0
Number of other retired or separated participants entitled to future benefits	2007-01-01	4
Total of all active and inactive participants	2007-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	22
Number of participants with account balances	2007-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	0
2006: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2006 401k membership
Total participants, beginning-of-year	2006-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2006-01-01	15
Number of retired or separated participants receiving benefits	2006-01-01	0
Number of other retired or separated participants entitled to future benefits	2006-01-01	4
Total of all active and inactive participants	2006-01-01	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2006-01-01	0
Total participants	2006-01-01	19
Number of participants with account balances	2006-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2006-01-01	3

Financial Data on STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2008 : STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2008 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2008-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2008-12-31	$0
Minimum employer required contribution for this plan year	2008-12-31	$0
Amount contributed by the employer to the plan for this plan year	2008-12-31	$0
2007 : STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2007 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2007-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2007-12-31	$0
Minimum employer required contribution for this plan year	2007-12-31	$0
Amount contributed by the employer to the plan for this plan year	2007-12-31	$0
2006 : STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2006 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2006-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2006-12-31	$0
Minimum employer required contribution for this plan year	2006-12-31	$0
Amount contributed by the employer to the plan for this plan year	2006-12-31	$0

Form 5500 Responses for STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST

2008: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	No
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes
2007: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	No
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes
2006: STEVEN A. SMITH MD DERMATOLOGY 401 (K) PROFIT SHARING PLAN & TRUST 2006 form 5500 responses
2006-01-01	Type of plan entity	Single employer plan
2006-01-01	Submission has been amended	No
2006-01-01	This submission is the final filing	No
2006-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2006-01-01	Plan is a collectively bargained plan	No
2006-01-01	Plan funding arrangement – Trust	Yes
2006-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	STEVEN A SMITH MD DERMATOLOGY
Employer identification number (EIN):	731333842
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)