401k Plan data: CAPSTONE FINANCIAL SERVICES INC. 401K PROFIT SHARING PLAN plan

CAPSTONE FINANCIAL SERVICES INC. 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	CAPSTONE FINANCIAL SERVICES INC. 401K PROFIT SHARING PLAN
Plan identification number	001

CAPSTONE FINANCIAL SERVICES INC. 401K 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.
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.

401k Sponsoring company profile

CAPSTONE FINANCIAL SERVICES INC. has sponsored the creation of one or more 401k plans.

Company Name: CAPSTONE FINANCIAL SERVICES INC.

Employer identification number (EIN): 760228360

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPSTONE FINANCIAL SERVICES INC. 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 ANDREW JACOBSON 2017-09-07
001 2015-01-01 ANDREW JACOBSON 2016-07-25
001 2014-10-01 BOBBY LAMB 2015-10-13 BOBBY LAMB 2015-10-13
001 2013-10-01 BOBBY LAMB 2015-07-15 BOBBY LAMB 2015-07-15
001 2012-10-01 CHANTELL CORGILL 2014-07-01 CHANTELL CORGILL 2014-07-01
001 2011-10-01 CHANTELL CORGILL 2013-07-11 CHANTELL CORGILL 2013-07-11
001 2010-10-01 JOEL KENNEDY 2012-04-19 JOEL KENNEDY 2012-04-19

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01	ANDREW JACOBSON	2017-09-07
001	2015-01-01	ANDREW JACOBSON	2016-07-25
001	2014-10-01	BOBBY LAMB	2015-10-13	BOBBY LAMB	2015-10-13
001	2013-10-01	BOBBY LAMB	2015-07-15	BOBBY LAMB	2015-07-15
001	2012-10-01	CHANTELL CORGILL	2014-07-01	CHANTELL CORGILL	2014-07-01
001	2011-10-01	CHANTELL CORGILL	2013-07-11	CHANTELL CORGILL	2013-07-11
001	2010-10-01	JOEL KENNEDY	2012-04-19	JOEL KENNEDY	2012-04-19

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Company Name:	CAPSTONE FINANCIAL SERVICES INC.
Employer identification number (EIN):	760228360
NAIC Classification:	523900