401k Plan data: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST plan

EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 401k Plan overview

Plan Name	EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST
Plan identification number	001

EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SHERMAN, SHERMAN AND BRISCOE ORTHODONTICS PARTNERSHIP has sponsored the creation of one or more 401k plans.

Company Name: SHERMAN, SHERMAN AND BRISCOE ORTHODONTICS PARTNERSHIP

Employer identification number (EIN): 820543565

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01 DARREL R. SHERMAN, D.D.S., M.S.
001 2015-01-01 DARREL R. SHERMAN, D.D.S., M.S.
001 2014-01-01 DARREL R. SHERMAN, D.D.S., M.S.
001 2013-01-01 DARREL R. SHERMAN, D.D.S., M.S.
001 2012-01-01 DARREL R. SHERMAN, D.D.S., M.S.
001 2011-01-01 DARREL R. SHERMAN, D.D.S., M.S.
001 2010-01-01 DARRELL R. SHERMAN, D.D.S., M.S.

Plan Statistics for EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST

401k plan membership statisitcs for EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST

Measure Date Value
2017: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2017 401k membership
Total participants, beginning-of-year 2017-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 22
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 5
Total of all active and inactive participants 2017-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 28
Number of participants with account balances 2017-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2016 401k membership
Total participants, beginning-of-year 2016-01-01 30
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 18
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 11
Total of all active and inactive participants 2016-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 30
Number of participants with account balances 2016-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 25
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 2
Total of all active and inactive participants 2015-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 28
Number of participants with account balances 2015-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 25
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 1
Total of all active and inactive participants 2014-01-01 27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 27
Number of participants with account balances 2014-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 24
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 25
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 2
Total of all active and inactive participants 2013-01-01 27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 27
Number of participants with account balances 2013-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 19
Number of retired or separated participants receiving benefits 2012-01-01 0
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 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 20
Number of participants with account balances 2012-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 20
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 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 20
Number of participants with account balances 2011-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 17
Number of retired or separated participants receiving benefits 2010-01-01 0
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 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 18
Number of participants with account balances 2010-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1

Measure	Date	Value
2017: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2017 401k membership
Total participants, beginning-of-year	2017-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	22
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	5
Total of all active and inactive participants	2017-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	28
Number of participants with account balances	2017-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2016 401k membership
Total participants, beginning-of-year	2016-01-01	30
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	18
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	11
Total of all active and inactive participants	2016-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	30
Number of participants with account balances	2016-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	25
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	2
Total of all active and inactive participants	2015-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	28
Number of participants with account balances	2015-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	25
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	1
Total of all active and inactive participants	2014-01-01	27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	27
Number of participants with account balances	2014-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	24
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	25
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	2
Total of all active and inactive participants	2013-01-01	27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	27
Number of participants with account balances	2013-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	19
Number of retired or separated participants receiving benefits	2012-01-01	0
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	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	20
Number of participants with account balances	2012-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	20
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	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	20
Number of participants with account balances	2011-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	17
Number of retired or separated participants receiving benefits	2010-01-01	0
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	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	18
Number of participants with account balances	2010-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1

Financial Data on EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST

Measure	Date	Value
2017 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2017 401k financial data
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$727,746
Expenses. Total of all expenses incurred	2017-12-31	$94,237
Benefits paid (including direct rollovers)	2017-12-31	$70,092
Total plan assets at end of year	2017-12-31	$3,205,301
Total plan assets at beginning of year	2017-12-31	$2,571,792
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$86,410
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$541,219
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$633,509
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$3,205,301
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,571,792
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$0
Total contributions received or receivable from employer(s)	2017-12-31	$100,117
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$24,145
2016 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$207,771
Expenses. Total of all expenses incurred	2016-12-31	$89,294
Benefits paid (including direct rollovers)	2016-12-31	$68,239
Total plan assets at end of year	2016-12-31	$2,571,792
Total plan assets at beginning of year	2016-12-31	$2,453,315
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$88,122
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$2,358
Other income received	2016-12-31	$27,594
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$118,477
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,571,792
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,453,315
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$1,146
Total contributions received or receivable from employer(s)	2016-12-31	$89,697
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$21,055
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$109,016
Expenses. Total of all expenses incurred	2015-12-31	$41,190
Benefits paid (including direct rollovers)	2015-12-31	$19,394
Total plan assets at end of year	2015-12-31	$2,453,315
Total plan assets at beginning of year	2015-12-31	$2,385,489
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$92,764
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$-87,764
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$67,826
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,453,315
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,385,489
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$26,018
Total contributions received or receivable from employer(s)	2015-12-31	$104,016
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$21,796
2014 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$204,320
Expenses. Total of all expenses incurred	2014-12-31	$24,672
Benefits paid (including direct rollovers)	2014-12-31	$5,014
Total plan assets at end of year	2014-12-31	$2,385,489
Total plan assets at beginning of year	2014-12-31	$2,205,841
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$95,170
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$3,344
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$179,648
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,385,489
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,205,841
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$93,182
Total contributions received or receivable from employer(s)	2014-12-31	$105,806
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$19,658
2013 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$786,151
Expenses. Total of all expenses incurred	2013-12-31	$15,851
Benefits paid (including direct rollovers)	2013-12-31	$866
Total plan assets at end of year	2013-12-31	$2,205,841
Total plan assets at beginning of year	2013-12-31	$1,435,541
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$91,284
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$135,000
Other income received	2013-12-31	$454,681
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$770,300
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$2,205,841
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,435,541
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$113,317
Total contributions received or receivable from employer(s)	2013-12-31	$105,186
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$14,985
2012 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$267,577
Expenses. Total of all expenses incurred	2012-12-31	$9,251
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$1,435,541
Total plan assets at beginning of year	2012-12-31	$1,177,215
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$83,950
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$90,278
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$258,326
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,435,541
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,177,215
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$116,497
Total contributions received or receivable from employer(s)	2012-12-31	$93,349
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$9,251
2011 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$170,473
Expenses. Total of all expenses incurred	2011-12-31	$10,139
Benefits paid (including direct rollovers)	2011-12-31	$977
Total plan assets at end of year	2011-12-31	$1,177,215
Total plan assets at beginning of year	2011-12-31	$1,016,881
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$80,660
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-3,002
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$160,334
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,177,215
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,016,881
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$114,965
Total contributions received or receivable from employer(s)	2011-12-31	$92,815
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$9,162
2010 : EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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	$0
Total income from all sources	2010-12-31	$208,449
Expenses. Total of all expenses incurred	2010-12-31	$297,004
Benefits paid (including direct rollovers)	2010-12-31	$288,104
Total plan assets at end of year	2010-12-31	$1,016,881
Total plan assets at beginning of year	2010-12-31	$1,105,436
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$63,005
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$84,038
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$-88,555
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,016,881
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,105,436
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$113,124
Total contributions received or receivable from employer(s)	2010-12-31	$61,406
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$8,900

Form 5500 Responses for EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST

2017: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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 – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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: EAST TEXAS ORTHODONTIC ASSOCIATES RETIREMENT PLAN & TRUST 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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SHERMAN, SHERMAN AND BRISCOE ORTHODONTICS PARTNERSHIP
Employer identification number (EIN):	820543565
NAIC Classification:	621210
NAIC Description:	Offices of Dentists

Plan id#	Filing Submission Date	Name of Administrator
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01	DARREL R. SHERMAN, D.D.S., M.S.
001	2015-01-01	DARREL R. SHERMAN, D.D.S., M.S.
001	2014-01-01	DARREL R. SHERMAN, D.D.S., M.S.
001	2013-01-01	DARREL R. SHERMAN, D.D.S., M.S.
001	2012-01-01	DARREL R. SHERMAN, D.D.S., M.S.
001	2011-01-01	DARREL R. SHERMAN, D.D.S., M.S.
001	2010-01-01	DARRELL R. SHERMAN, D.D.S., M.S.