401k Plan data: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN plan

STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN
Plan identification number	001

STEVEN S. BROUGHTON, D.D.S., P.S. 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.
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.

401k Sponsoring company profile

STEVEN S. BROUGHTON, D.D.S., P.S. has sponsored the creation of one or more 401k plans.

Company Name: STEVEN S. BROUGHTON, D.D.S., P.S.

Employer identification number (EIN): 911839636

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Additional information about STEVEN S. BROUGHTON, D.D.S., P.S.

Jurisdiction of Incorporation: Washington Secretary of State Corporations Division

Incorporation Date: 1997-07-18

Company Identification Number: 601805460

Legal Registered Office Address: 8012 112TH STREET CT E STE 320

PUYALLUP
United States of America (USA)
983737856

More information about STEVEN S. BROUGHTON, D.D.S., P.S.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 STEVEN S. BROUGHTON
001 2013-01-01 STEVEN S. BROUGHTON
001 2012-01-01 STEVEN S. BROUGHTON
001 2011-01-01 STEVEN S. BROUGHTON
001 2010-01-01 ANN BROUGHTON 2011-04-25 ANN BROUGHTON 2011-04-25

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	STEVEN S. BROUGHTON
001	2013-01-01	STEVEN S. BROUGHTON
001	2012-01-01	STEVEN S. BROUGHTON
001	2011-01-01	STEVEN S. BROUGHTON
001	2010-01-01	ANN BROUGHTON	2011-04-25	ANN BROUGHTON	2011-04-25

Plan Statistics for STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 13
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 7
Total of all active and inactive participants 2014-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 20
Number of participants with account balances 2014-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 10
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 6
Total of all active and inactive participants 2013-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 16
Number of participants with account balances 2013-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 5
2012: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 16
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 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 17
Number of participants with account balances 2012-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 15
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 2
Total of all active and inactive participants 2011-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 17
Number of participants with account balances 2011-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1

Measure	Date	Value
2014: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	13
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	7
Total of all active and inactive participants	2014-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	20
Number of participants with account balances	2014-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	10
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	6
Total of all active and inactive participants	2013-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	16
Number of participants with account balances	2013-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	5
2012: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	16
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	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	17
Number of participants with account balances	2012-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	15
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	2
Total of all active and inactive participants	2011-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	17
Number of participants with account balances	2011-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1

Financial Data on STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 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	$217,735
Expenses. Total of all expenses incurred	2014-12-31	$62,207
Benefits paid (including direct rollovers)	2014-12-31	$52,940
Total plan assets at end of year	2014-12-31	$1,561,649
Total plan assets at beginning of year	2014-12-31	$1,406,121
Value of fidelity bond covering the plan	2014-12-31	$150,000
Total contributions received or receivable from participants	2014-12-31	$73,773
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	$72,775
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$155,528
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,561,649
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,406,121
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$134,400
Total contributions received or receivable from employer(s)	2014-12-31	$71,187
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	$9,267
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2013 401k financial data
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	$266,498
Expenses. Total of all expenses incurred	2013-12-31	$14,140
Benefits paid (including direct rollovers)	2013-12-31	$8,093
Total plan assets at end of year	2013-12-31	$1,406,121
Total plan assets at beginning of year	2013-12-31	$1,153,763
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$59,804
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$135,749
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$252,358
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,406,121
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,153,763
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$125,000
Total contributions received or receivable from employer(s)	2013-12-31	$70,945
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	$6,047
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 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	$635
Total income from all sources	2012-12-31	$199,323
Expenses. Total of all expenses incurred	2012-12-31	$6,876
Benefits paid (including direct rollovers)	2012-12-31	$824
Total plan assets at end of year	2012-12-31	$1,153,763
Total plan assets at beginning of year	2012-12-31	$961,951
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$51,728
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$81,743
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$192,447
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,153,763
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$961,316
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$250,000
Total contributions received or receivable from employer(s)	2012-12-31	$65,852
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	$6,052
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$635
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$90,047
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$961,951
Total plan assets at beginning of year	2011-12-31	$871,269
Value of fidelity bond covering the plan	2011-12-31	$100,000
Total contributions received or receivable from participants	2011-12-31	$46,249
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	$-15,876
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$90,047
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$961,316
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$871,269
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$250,000
Total contributions received or receivable from employer(s)	2011-12-31	$59,674
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	$0

Form 5500 Responses for STEVEN S. BROUGHTON, D.D.S., P.S. 401(K) PROFIT SHARING PLAN

2014: STEVEN S. BROUGHTON, D.D.S., P.S. 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: STEVEN S. BROUGHTON, D.D.S., P.S. 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	Yes
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: STEVEN S. BROUGHTON, D.D.S., P.S. 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	Yes
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: STEVEN S. BROUGHTON, D.D.S., P.S. 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	Yes
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

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Company Name:	STEVEN S. BROUGHTON, D.D.S., P.S.
Employer identification number (EIN):	911839636
NAIC Classification:	621210
NAIC Description:	Offices of Dentists

Jurisdiction of Incorporation:	Washington Secretary of State Corporations Division
Incorporation Date:	1997-07-18
Company Identification Number:	601805460
Legal Registered Office Address:	8012 112TH STREET CT E STE 320 PUYALLUP United States of America (USA) 983737856