401k Plan data: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN plan

D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 401k Plan overview

Plan Name	D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN
Plan identification number	001

D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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

D. ALLEN BROTHERS, INC. has sponsored the creation of one or more 401k plans.

Company Name: D. ALLEN BROTHERS, INC.

Employer identification number (EIN): 231904820

NAIC Classification: 238300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 DENNIS ALLEN 2013-10-09
001 2011-01-01 DENNIS ALLEN 2012-03-25
001 2010-01-01 DENNIS ALLEN 2012-03-09
001 2008-01-01 DENNIS ALLEN
001 2007-01-01 DENNIS ALLEN
001 2006-01-01 DENNIS ALLEN
001 2005-01-01 DENNIS ALLEN
001 2004-01-01 DENNIS ALLEN
001 2003-01-01 DENNIS ALLEN
001 2002-01-01 DENNIS ALLEN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2012-01-01	DENNIS ALLEN	2013-10-09
001	2011-01-01	DENNIS ALLEN	2012-03-25
001	2010-01-01	DENNIS ALLEN	2012-03-09
001	2008-01-01	DENNIS ALLEN
001	2007-01-01	DENNIS ALLEN
001	2006-01-01	DENNIS ALLEN
001	2005-01-01	DENNIS ALLEN
001	2004-01-01	DENNIS ALLEN
001	2003-01-01	DENNIS ALLEN
001	2002-01-01	DENNIS ALLEN

Plan Statistics for D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN

401k plan membership statisitcs for D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN

Measure Date Value
2008: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year 2008-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 5
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 3
Total of all active and inactive participants 2008-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 8
Number of participants with account balances 2008-01-01 8
2007: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year 2007-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 5
Number of retired or separated participants receiving benefits 2007-01-01 1
Number of other retired or separated participants entitled to future benefits 2007-01-01 3
Total of all active and inactive participants 2007-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 9
Number of participants with account balances 2007-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 1
2006: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2006 401k membership
Total participants, beginning-of-year 2006-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2006-01-01 4
Number of retired or separated participants receiving benefits 2006-01-01 0
Number of other retired or separated participants entitled to future benefits 2006-01-01 4
Total of all active and inactive participants 2006-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2006-01-01 0
Total participants 2006-01-01 8
Number of participants with account balances 2006-01-01 8
2005: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2005 401k membership
Total participants, beginning-of-year 2005-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2005-01-01 6
Number of retired or separated participants receiving benefits 2005-01-01 3
Number of other retired or separated participants entitled to future benefits 2005-01-01 3
Total of all active and inactive participants 2005-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2005-01-01 0
Total participants 2005-01-01 12
Number of participants with account balances 2005-01-01 6
2004: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2004 401k membership
Total participants, beginning-of-year 2004-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2004-01-01 7
Number of retired or separated participants receiving benefits 2004-01-01 0
Number of other retired or separated participants entitled to future benefits 2004-01-01 5
Total of all active and inactive participants 2004-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2004-01-01 0
Total participants 2004-01-01 12
Number of participants with account balances 2004-01-01 12
2003: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2003 401k membership
Total participants, beginning-of-year 2003-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2003-01-01 8
Number of retired or separated participants receiving benefits 2003-01-01 0
Number of other retired or separated participants entitled to future benefits 2003-01-01 4
Total of all active and inactive participants 2003-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2003-01-01 0
Total participants 2003-01-01 12
Number of participants with account balances 2003-01-01 12
2002: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2002 401k membership
Total participants, beginning-of-year 2002-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2002-01-01 9
Number of retired or separated participants receiving benefits 2002-01-01 0
Number of other retired or separated participants entitled to future benefits 2002-01-01 3
Total of all active and inactive participants 2002-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2002-01-01 0
Total participants 2002-01-01 12
Number of participants with account balances 2002-01-01 12

Measure	Date	Value
2008: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year	2008-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	5
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	3
Total of all active and inactive participants	2008-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	8
Number of participants with account balances	2008-01-01	8
2007: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year	2007-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	5
Number of retired or separated participants receiving benefits	2007-01-01	1
Number of other retired or separated participants entitled to future benefits	2007-01-01	3
Total of all active and inactive participants	2007-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	9
Number of participants with account balances	2007-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	1
2006: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2006 401k membership
Total participants, beginning-of-year	2006-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2006-01-01	4
Number of retired or separated participants receiving benefits	2006-01-01	0
Number of other retired or separated participants entitled to future benefits	2006-01-01	4
Total of all active and inactive participants	2006-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2006-01-01	0
Total participants	2006-01-01	8
Number of participants with account balances	2006-01-01	8
2005: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2005 401k membership
Total participants, beginning-of-year	2005-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2005-01-01	6
Number of retired or separated participants receiving benefits	2005-01-01	3
Number of other retired or separated participants entitled to future benefits	2005-01-01	3
Total of all active and inactive participants	2005-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2005-01-01	0
Total participants	2005-01-01	12
Number of participants with account balances	2005-01-01	6
2004: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2004 401k membership
Total participants, beginning-of-year	2004-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2004-01-01	7
Number of retired or separated participants receiving benefits	2004-01-01	0
Number of other retired or separated participants entitled to future benefits	2004-01-01	5
Total of all active and inactive participants	2004-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2004-01-01	0
Total participants	2004-01-01	12
Number of participants with account balances	2004-01-01	12
2003: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2003 401k membership
Total participants, beginning-of-year	2003-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2003-01-01	8
Number of retired or separated participants receiving benefits	2003-01-01	0
Number of other retired or separated participants entitled to future benefits	2003-01-01	4
Total of all active and inactive participants	2003-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2003-01-01	0
Total participants	2003-01-01	12
Number of participants with account balances	2003-01-01	12
2002: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2002 401k membership
Total participants, beginning-of-year	2002-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2002-01-01	9
Number of retired or separated participants receiving benefits	2002-01-01	0
Number of other retired or separated participants entitled to future benefits	2002-01-01	3
Total of all active and inactive participants	2002-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2002-01-01	0
Total participants	2002-01-01	12
Number of participants with account balances	2002-01-01	12

Financial Data on D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN

Measure	Date	Value
2008 : D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2008 401k financial data
Total income from all sources	2008-12-31	$-199,280
Expenses. Total of all expenses incurred	2008-12-31	$0
Total plan assets at end of year	2008-12-31	$462,035
Total plan assets at beginning of year	2008-12-31	$661,315
Value of fidelity bond covering the plan	2008-12-31	$70,000
Other income received	2008-12-31	$-199,280
Net income (gross income less expenses)	2008-12-31	$-199,280
Net plan assets at end of year (total assets less liabilities)	2008-12-31	$462,035
Net plan assets at beginning of year (total assets less liabilities)	2008-12-31	$661,315
Assets. Value of participant loans	2008-12-31	$33,000
2007 : D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2007 401k financial data
Total income from all sources	2007-12-31	$82,067
Expenses. Total of all expenses incurred	2007-12-31	$39,709
Benefits paid (including direct rollovers)	2007-12-31	$39,709
Total plan assets at end of year	2007-12-31	$661,315
Total plan assets at beginning of year	2007-12-31	$618,957
Value of fidelity bond covering the plan	2007-12-31	$70,000
Other income received	2007-12-31	$82,067
Net income (gross income less expenses)	2007-12-31	$42,358
Net plan assets at end of year (total assets less liabilities)	2007-12-31	$661,315
Net plan assets at beginning of year (total assets less liabilities)	2007-12-31	$618,957
Assets. Value of participant loans	2007-12-31	$23,000
2006 : D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2006 401k financial data
Total income from all sources	2006-12-31	$79,151
Expenses. Total of all expenses incurred	2006-12-31	$0
Total plan assets at end of year	2006-12-31	$618,957
Total plan assets at beginning of year	2006-12-31	$539,806
Value of fidelity bond covering the plan	2006-12-31	$61,000
Other income received	2006-12-31	$79,151
Net income (gross income less expenses)	2006-12-31	$79,151
Net plan assets at end of year (total assets less liabilities)	2006-12-31	$618,957
Net plan assets at beginning of year (total assets less liabilities)	2006-12-31	$539,806
Assets. Value of participant loans	2006-12-31	$16,000
2005 : D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2005 401k financial data
Total income from all sources	2005-12-31	$38,383
Expenses. Total of all expenses incurred	2005-12-31	$105,174
Benefits paid (including direct rollovers)	2005-12-31	$105,174
Total plan assets at end of year	2005-12-31	$539,806
Total plan assets at beginning of year	2005-12-31	$606,597
Value of fidelity bond covering the plan	2005-12-31	$61,000
Other income received	2005-12-31	$38,383
Net income (gross income less expenses)	2005-12-31	$-66,791
Net plan assets at end of year (total assets less liabilities)	2005-12-31	$539,806
Net plan assets at beginning of year (total assets less liabilities)	2005-12-31	$606,597
Assets. Value of participant loans	2005-12-31	$16,000
2004 : D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2004 401k financial data
Total income from all sources	2004-12-31	$58,187
Expenses. Total of all expenses incurred	2004-12-31	$0
Total plan assets at end of year	2004-12-31	$606,597
Total plan assets at beginning of year	2004-12-31	$548,410
Value of fidelity bond covering the plan	2004-12-31	$61,000
Other income received	2004-12-31	$58,187
Net income (gross income less expenses)	2004-12-31	$58,187
Net plan assets at end of year (total assets less liabilities)	2004-12-31	$606,597
Net plan assets at beginning of year (total assets less liabilities)	2004-12-31	$548,410
Assets. Value of participant loans	2004-12-31	$16,000
2003 : D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2003 401k financial data
Total income from all sources	2003-12-31	$95,583
Expenses. Total of all expenses incurred	2003-12-31	$0
Total plan assets at end of year	2003-12-31	$548,410
Total plan assets at beginning of year	2003-12-31	$452,827
Value of fidelity bond covering the plan	2003-12-31	$61,000
Other income received	2003-12-31	$95,583
Net income (gross income less expenses)	2003-12-31	$95,583
Net plan assets at end of year (total assets less liabilities)	2003-12-31	$548,410
Net plan assets at beginning of year (total assets less liabilities)	2003-12-31	$452,827
2002 : D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2002 401k financial data
Total income from all sources	2002-12-31	$-122,272
Expenses. Total of all expenses incurred	2002-12-31	$31,910
Benefits paid (including direct rollovers)	2002-12-31	$31,910
Total plan assets at end of year	2002-12-31	$452,827
Total plan assets at beginning of year	2002-12-31	$607,009
Value of fidelity bond covering the plan	2002-12-31	$61,000
Other income received	2002-12-31	$-122,272
Net income (gross income less expenses)	2002-12-31	$-154,182
Net plan assets at end of year (total assets less liabilities)	2002-12-31	$452,827
Net plan assets at beginning of year (total assets less liabilities)	2002-12-31	$607,009

Form 5500 Responses for D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN

2008: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	No
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes
2007: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	No
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes
2006: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2006 form 5500 responses
2006-01-01	Type of plan entity	Single employer plan
2006-01-01	Submission has been amended	Yes
2006-01-01	This submission is the final filing	No
2006-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2006-01-01	Plan is a collectively bargained plan	No
2006-01-01	Plan funding arrangement – Trust	Yes
2006-01-01	Plan benefit arrangement - Trust	Yes
2005: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2005 form 5500 responses
2005-01-01	Type of plan entity	Single employer plan
2005-01-01	Submission has been amended	Yes
2005-01-01	This submission is the final filing	No
2005-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2005-01-01	Plan is a collectively bargained plan	No
2005-01-01	Plan funding arrangement – Trust	Yes
2005-01-01	Plan benefit arrangement - Trust	Yes
2004: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2004 form 5500 responses
2004-01-01	Type of plan entity	Single employer plan
2004-01-01	Submission has been amended	Yes
2004-01-01	This submission is the final filing	No
2004-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2004-01-01	Plan is a collectively bargained plan	No
2004-01-01	Plan funding arrangement – Trust	Yes
2004-01-01	Plan benefit arrangement - Trust	Yes
2003: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2003 form 5500 responses
2003-01-01	Type of plan entity	Single employer plan
2003-01-01	Submission has been amended	Yes
2003-01-01	This submission is the final filing	No
2003-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2003-01-01	Plan is a collectively bargained plan	No
2003-01-01	Plan funding arrangement – Trust	Yes
2003-01-01	Plan benefit arrangement - Trust	Yes
2002: D. ALLEN BROTHERS, INC. PROFIT SHARING PLAN 2002 form 5500 responses
2002-01-01	Type of plan entity	Single employer plan
2002-01-01	Submission has been amended	Yes
2002-01-01	This submission is the final filing	No
2002-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2002-01-01	Plan is a collectively bargained plan	No
2002-01-01	Plan funding arrangement – Trust	Yes
2002-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	D. ALLEN BROTHERS, INC.
Employer identification number (EIN):	231904820
NAIC Classification:	238300