401k Plan data: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC plan

401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 401k Plan overview

Plan Name	401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC
Plan identification number	001

401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

APPLE/OAKS PARTNERS LLC has sponsored the creation of one or more 401k plans.

Company Name: APPLE/OAKS PARTNERS LLC

Employer identification number (EIN): 954582516

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC

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 2019-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 TIMOTHY M. PENNINGTON, III TIMOTHY M. PENNINGTON, III 2013-07-24
001 2011-01-01 TIMOTHY M. PENNINGTON, III 2012-05-30 TIMOTHY M. PENNINGTON, III 2012-05-30
001 2010-01-01 TIMOTHY M. PENNINGTON, III 2011-09-23 TIMOTHY M. PENNINGTON, III 2011-09-23

Plan Statistics for 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC

401k plan membership statisitcs for 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC

Measure Date Value
2014: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2014 401k membership
Total participants, beginning-of-year 2014-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 4
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 4
Number of participants with account balances 2014-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2013 401k membership
Total participants, beginning-of-year 2013-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 4
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 0
Total of all active and inactive participants 2013-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 4
Number of participants with account balances 2013-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 4
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 0
Total of all active and inactive participants 2012-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 4
Number of participants with account balances 2012-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2014: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2014 401k membership
Total participants, beginning-of-year	2014-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	4
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	4
Number of participants with account balances	2014-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2013 401k membership
Total participants, beginning-of-year	2013-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	4
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	0
Total of all active and inactive participants	2013-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	4
Number of participants with account balances	2013-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	4
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	0
Total of all active and inactive participants	2012-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	4
Number of participants with account balances	2012-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC

Measure	Date	Value
2014 : 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2014 401k financial data
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$112,149
Expenses. Total of all expenses incurred	2014-12-31	$529,145
Benefits paid (including direct rollovers)	2014-12-31	$518,427
Total plan assets at end of year	2014-12-31	$3,291,274
Total plan assets at beginning of year	2014-12-31	$3,708,270
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$35,000
Assets. Value of loans (other than to participants)	2014-12-31	$0
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	$77,149
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$-416,996
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$3,291,274
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,708,270
Total contributions received or receivable from employer(s)	2014-12-31	$0
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	$10,718
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 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	$478,937
Expenses. Total of all expenses incurred	2013-12-31	$287,995
Benefits paid (including direct rollovers)	2013-12-31	$281,308
Total plan assets at end of year	2013-12-31	$3,708,270
Total plan assets at beginning of year	2013-12-31	$3,517,328
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$20,706
Assets. Value of loans (other than to participants)	2013-12-31	$70,596
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	$458,231
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$190,942
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,708,270
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,517,328
Total contributions received or receivable from employer(s)	2013-12-31	$0
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	$6,687
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
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	$817,340
Expenses. Total of all expenses incurred	2012-12-31	$73,758
Benefits paid (including direct rollovers)	2012-12-31	$67,984
Total plan assets at end of year	2012-12-31	$3,517,328
Total plan assets at beginning of year	2012-12-31	$2,773,746
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$33,700
Assets. Value of loans (other than to participants)	2012-12-31	$80,400
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$363,893
Other income received	2012-12-31	$419,747
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$743,582
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,517,328
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,773,746
Total contributions received or receivable from employer(s)	2012-12-31	$0
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	$5,774
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0

Form 5500 Responses for 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC

2014: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 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: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 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: 401(K) PROFIT SHARING PLAN OF APPLE OAKS PARTNERS LLC 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

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Company Name:	APPLE/OAKS PARTNERS LLC
Employer identification number (EIN):	954582516
NAIC Classification:	523900

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	2019-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	TIMOTHY M. PENNINGTON, III		TIMOTHY M. PENNINGTON, III	2013-07-24
001	2011-01-01	TIMOTHY M. PENNINGTON, III	2012-05-30	TIMOTHY M. PENNINGTON, III	2012-05-30
001	2010-01-01	TIMOTHY M. PENNINGTON, III	2011-09-23	TIMOTHY M. PENNINGTON, III	2011-09-23