401k Plan data: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST plan

AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

AMERICAN BOARD OF ORTHODONTICS has sponsored the creation of one or more 401k plans.

Company Name: AMERICAN BOARD OF ORTHODONTICS

Employer identification number (EIN): 916029544

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AMERICAN BOARD OF ORTHODONTICS 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 2022-01-01 CAROLE NEWPORT 2023-06-19
001 2021-01-01 CAROLE NEWPORT 2022-07-05
001 2020-01-01 CAROLE NEWPORT 2021-05-18
001 2018-01-01 CAROLE NEWPORT 2019-06-14
001 2017-01-01 CAROLE NEWPORT 2018-06-19
001 2016-01-01 CAROLE NEWPORT 2017-09-06
001 2015-01-01 CAROLE NEWPORT
001 2014-01-01 CAROLE NEWPORT
001 2013-01-01 CAROLE NEWPORT
001 2012-01-01 AMERICAN BOARD OF ORTHODONTICS 2013-06-17
001 2011-01-01 AMERICAN BOARD OF ORTHODONTICS 2012-05-23
001 2010-01-01 AMERICAN BOARD OF ORTHODONTICS 2012-09-05
001 2009-01-01 AMERICAN BOARD OF ORTHODONTICS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	CAROLE NEWPORT	2023-06-19
001	2021-01-01	CAROLE NEWPORT	2022-07-05
001	2020-01-01	CAROLE NEWPORT	2021-05-18
001	2018-01-01	CAROLE NEWPORT	2019-06-14
001	2017-01-01	CAROLE NEWPORT	2018-06-19
001	2016-01-01	CAROLE NEWPORT	2017-09-06
001	2015-01-01	CAROLE NEWPORT
001	2014-01-01	CAROLE NEWPORT
001	2013-01-01	CAROLE NEWPORT
001	2012-01-01	AMERICAN BOARD OF ORTHODONTICS	2013-06-17
001	2011-01-01	AMERICAN BOARD OF ORTHODONTICS	2012-05-23
001	2010-01-01	AMERICAN BOARD OF ORTHODONTICS	2012-09-05
001	2009-01-01	AMERICAN BOARD OF ORTHODONTICS

Plan Statistics for AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2015: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 7
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 7
Number of participants with account balances 2015-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 7
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 0
Total of all active and inactive participants 2014-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 7
Number of participants with account balances 2014-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 7
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 1
Total of all active and inactive participants 2013-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 8
Number of participants with account balances 2013-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2009: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 5
Number of retired or separated participants receiving benefits 2009-01-01 0
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 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 6
Number of participants with account balances 2009-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	7
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	7
Number of participants with account balances	2015-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	7
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	0
Total of all active and inactive participants	2014-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	7
Number of participants with account balances	2014-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	7
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	1
Total of all active and inactive participants	2013-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	8
Number of participants with account balances	2013-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2009: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	5
Number of retired or separated participants receiving benefits	2009-01-01	0
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	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	6
Number of participants with account balances	2009-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2015 : AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING 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	$91,845
Expenses. Total of all expenses incurred	2015-12-31	$2,256
Benefits paid (including direct rollovers)	2015-12-31	$404
Total plan assets at end of year	2015-12-31	$577,504
Total plan assets at beginning of year	2015-12-31	$487,915
Value of fidelity bond covering the plan	2015-12-31	$60,000
Total contributions received or receivable from participants	2015-12-31	$51,997
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$10,000
Other income received	2015-12-31	$-4,963
Net income (gross income less expenses)	2015-12-31	$89,589
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$577,504
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$487,915
Assets. Value of participant loans	2015-12-31	$4,526
Total contributions received or receivable from employer(s)	2015-12-31	$34,811
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	$1,852
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2015-12-31	$0
Minimum employer required contribution for this plan year	2015-12-31	$0
Amount contributed by the employer to the plan for this plan year	2015-12-31	$0
2014 : AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING 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	$139,686
Expenses. Total of all expenses incurred	2014-12-31	$329,131
Benefits paid (including direct rollovers)	2014-12-31	$327,037
Total plan assets at end of year	2014-12-31	$487,915
Total plan assets at beginning of year	2014-12-31	$677,360
Value of fidelity bond covering the plan	2014-12-31	$67,736
Total contributions received or receivable from participants	2014-12-31	$67,225
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	$39,279
Net income (gross income less expenses)	2014-12-31	$-189,445
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$487,915
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$677,360
Total contributions received or receivable from employer(s)	2014-12-31	$33,182
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	$2,094
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2013 : AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING 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	$190,286
Expenses. Total of all expenses incurred	2013-12-31	$0
Benefits paid (including direct rollovers)	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$677,360
Total plan assets at beginning of year	2013-12-31	$487,074
Value of fidelity bond covering the plan	2013-12-31	$60,000
Total contributions received or receivable from participants	2013-12-31	$59,399
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	$103,977
Net income (gross income less expenses)	2013-12-31	$190,286
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$677,360
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$487,074
Total contributions received or receivable from employer(s)	2013-12-31	$26,910
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	$0

Form 5500 Responses for AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST

2015: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING 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: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING 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: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING 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
2009: AMERICAN BOARD OF ORTHODONTICS 401(K) PROFIT SHARING PLAN & TRUST 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:	AMERICAN BOARD OF ORTHODONTICS
Employer identification number (EIN):	916029544
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services