401k Plan data: SMARTCOMP, LLC 401(K) PLAN plan

SMARTCOMP, LLC 401(K) PLAN 401k Plan overview

Plan Name	SMARTCOMP, LLC 401(K) PLAN
Plan identification number	001

SMARTCOMP, LLC 401(K) PLAN 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.
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

SMARTCOMP, LLC has sponsored the creation of one or more 401k plans.

Company Name: SMARTCOMP, LLC

Employer identification number (EIN): 300469665

NAIC Classification: 621340
NAIC Description: Offices of Physical, Occupational and Speech Therapists, and Audiologists

Additional information about SMARTCOMP, LLC

Jurisdiction of Incorporation: Colorado Department of State

Incorporation Date: 1995-10-25

Company Identification Number: 19951131086

Legal Registered Office Address: 1407 LARIMER STE 202

Denver
United States of America (USA)
80202

More information about SMARTCOMP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMARTCOMP, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 KEN HANNIGAN KEN HANNIGAN 2013-07-28
001 2011-01-01 KENNETH HANNIGAN KENNETH HANNIGAN 2012-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	KEN HANNIGAN		KEN HANNIGAN	2013-07-28
001	2011-01-01	KENNETH HANNIGAN		KENNETH HANNIGAN	2012-10-15

Plan Statistics for SMARTCOMP, LLC 401(K) PLAN

401k plan membership statisitcs for SMARTCOMP, LLC 401(K) PLAN

Measure Date Value
2012: SMARTCOMP, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 195
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 199
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 31
Total of all active and inactive participants 2012-01-01 230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 230
Number of participants with account balances 2012-01-01 166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SMARTCOMP, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 162
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 150
Number of other retired or separated participants entitled to future benefits 2011-01-01 26
Total of all active and inactive participants 2011-01-01 176
Total participants 2011-01-01 176
Number of participants with account balances 2011-01-01 124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2012: SMARTCOMP, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	195
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	199
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	31
Total of all active and inactive participants	2012-01-01	230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	230
Number of participants with account balances	2012-01-01	166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SMARTCOMP, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	162
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	150
Number of other retired or separated participants entitled to future benefits	2011-01-01	26
Total of all active and inactive participants	2011-01-01	176
Total participants	2011-01-01	176
Number of participants with account balances	2011-01-01	124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on SMARTCOMP, LLC 401(K) PLAN

Measure	Date	Value
2012 : SMARTCOMP, LLC 401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$934,317
Total of all expenses incurred	2012-12-31	$468,567
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$467,292
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$678,450
Value of total assets at end of year	2012-12-31	$2,191,430
Value of total assets at beginning of year	2012-12-31	$1,725,680
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,275
Total interest from all sources	2012-12-31	$33
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$412,714
Participant contributions at end of year	2012-12-31	$4,486
Participant contributions at beginning of year	2012-12-31	$1,652
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$10,309
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$7,063
Administrative expenses (other) incurred	2012-12-31	$1,275
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$465,750
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$2,191,430
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,725,680
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in pooled separate accounts at end of year	2012-12-31	$2,116,271
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$1,643,850
Interest on participant loans	2012-12-31	$33
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$69,444
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$62,209
Net investment gain/loss from pooled separate accounts	2012-12-31	$255,834
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$258,673
Employer contributions (assets) at end of year	2012-12-31	$1,229
Employer contributions (assets) at beginning of year	2012-12-31	$7,660
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$467,292
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	LBA CERTIFIED PUBLIC ACCOUNTS, P.A.
Accountancy firm EIN	2012-12-31	591302284
2011 : SMARTCOMP, LLC 401(K) PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$463,289
Total of all expenses incurred	2011-12-31	$249,366
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$240,800
Expenses. Certain deemed distributions of participant loans	2011-12-31	$6,054
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$538,552
Value of total assets at end of year	2011-12-31	$1,725,680
Value of total assets at beginning of year	2011-12-31	$1,511,757
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,512
Total interest from all sources	2011-12-31	$140
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$800
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$100,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$326,373
Participant contributions at end of year	2011-12-31	$1,652
Participant contributions at beginning of year	2011-12-31	$1,365
Participant contributions at end of year	2011-12-31	$10,309
Participant contributions at beginning of year	2011-12-31	$9,268
Administrative expenses (other) incurred	2011-12-31	$1,162
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$213,923
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,725,680
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$1,511,757
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,643,850
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$1,383,851
Interest on participant loans	2011-12-31	$133
Interest earned on other investments	2011-12-31	$7
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$62,209
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$110,626
Net investment gain/loss from pooled separate accounts	2011-12-31	$-75,403
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$212,179
Employer contributions (assets) at end of year	2011-12-31	$7,660
Employer contributions (assets) at beginning of year	2011-12-31	$6,647
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$240,800
Contract administrator fees	2011-12-31	$550
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	BDO USA, LLP
Accountancy firm EIN	2011-12-31	135381590
2010 : SMARTCOMP, LLC 401(K) PLAN 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$636,246
Total of all expenses incurred	2010-12-31	$25,363
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$22,084
Expenses. Certain deemed distributions of participant loans	2010-12-31	$1,394
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$459,622
Value of total assets at end of year	2010-12-31	$1,511,757
Value of total assets at beginning of year	2010-12-31	$900,874
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,885
Total interest from all sources	2010-12-31	$108
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$100,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$279,620
Participant contributions at end of year	2010-12-31	$1,365
Participant contributions at beginning of year	2010-12-31	$3,459
Participant contributions at end of year	2010-12-31	$9,268
Participant contributions at beginning of year	2010-12-31	$7,948
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$2,456
Other income not declared elsewhere	2010-12-31	$3,785
Administrative expenses (other) incurred	2010-12-31	$550
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$610,883
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$1,511,757
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$900,874
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in pooled separate accounts at end of year	2010-12-31	$1,383,851
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$846,190
Interest on participant loans	2010-12-31	$108
Interest earned on other investments	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$110,626
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$38,271
Net investment gain/loss from pooled separate accounts	2010-12-31	$172,731
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$177,546
Employer contributions (assets) at end of year	2010-12-31	$6,647
Employer contributions (assets) at beginning of year	2010-12-31	$5,006
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$22,084
Contract administrator fees	2010-12-31	$1,335
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	Yes
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	BDO USA, LLP
Accountancy firm EIN	2010-12-31	135381590

Form 5500 Responses for SMARTCOMP, LLC 401(K) PLAN

2012: SMARTCOMP, LLC 401(K) PLAN 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SMARTCOMP, LLC 401(K) PLAN 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 – Insurance	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes

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Company Name:	SMARTCOMP, LLC
Employer identification number (EIN):	300469665
NAIC Classification:	621340
NAIC Description:	Offices of Physical, Occupational and Speech Therapists, and Audiologists

Jurisdiction of Incorporation:	Colorado Department of State
Incorporation Date:	1995-10-25
Company Identification Number:	19951131086
Legal Registered Office Address:	1407 LARIMER STE 202 Denver United States of America (USA) 80202