401k Plan data: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN plan

NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.

401k Sponsoring company profile

NICHOLAS CAPLANIS, D.M.D., M.S., INC. has sponsored the creation of one or more 401k plans.

Company Name: NICHOLAS CAPLANIS, D.M.D., M.S., INC.

Employer identification number (EIN): 330849970

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Additional information about NICHOLAS CAPLANIS, D.M.D., M.S., INC.

Jurisdiction of Incorporation: California Department of State

Incorporation Date: 1999-01-08

Company Identification Number: C2133262

Legal Registered Office Address: 23131 Lake Center Dr Ste #1

Lake Forest
United States of America (USA)
92630

More information about NICHOLAS CAPLANIS, D.M.D., M.S., INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
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 RITA KALRA 2016-10-10
001 2014-01-01 RITA KALRA 2015-09-17
001 2013-01-01 RITA KALRA 2014-10-16
001 2012-01-01 NICHOLAS CAPLANIS DMD MS NICHOLAS CAPLANIS DMD MS 2013-04-30
001 2011-01-01 NICHOLAS CAPLANIS NICHOLAS CAPLANIS 2012-04-17
001 2009-01-01 NICHOLAS CAPLANIS NICHOLAS CAPLANIS 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
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	RITA KALRA	2016-10-10
001	2014-01-01	RITA KALRA	2015-09-17
001	2013-01-01	RITA KALRA	2014-10-16
001	2012-01-01	NICHOLAS CAPLANIS DMD MS		NICHOLAS CAPLANIS DMD MS	2013-04-30
001	2011-01-01	NICHOLAS CAPLANIS		NICHOLAS CAPLANIS	2012-04-17
001	2009-01-01	NICHOLAS CAPLANIS		NICHOLAS CAPLANIS	2010-10-15

Plan Statistics for NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 10
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 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 11
Number of participants with account balances 2012-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 13
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 0
Total of all active and inactive participants 2011-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 13
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 12
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 0
Total of all active and inactive participants 2009-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 12
Number of participants with account balances 2009-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	10
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	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	11
Number of participants with account balances	2012-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	13
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	0
Total of all active and inactive participants	2011-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	13
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	12
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	0
Total of all active and inactive participants	2009-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	12
Number of participants with account balances	2009-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$88,068
Expenses. Total of all expenses incurred	2012-12-31	$39,823
Benefits paid (including direct rollovers)	2012-12-31	$39,823
Total plan assets at end of year	2012-12-31	$757,669
Total plan assets at beginning of year	2012-12-31	$709,424
Total contributions received or receivable from participants	2012-12-31	$34,071
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	$43,973
Net income (gross income less expenses)	2012-12-31	$48,245
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$757,669
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$709,424
Assets. Value of participant loans	2012-12-31	$31,285
Total contributions received or receivable from employer(s)	2012-12-31	$10,024
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
2011 : NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$64,355
Expenses. Total of all expenses incurred	2011-12-31	$35,927
Benefits paid (including direct rollovers)	2011-12-31	$35,927
Total plan assets at end of year	2011-12-31	$709,424
Total plan assets at beginning of year	2011-12-31	$680,996
Total contributions received or receivable from participants	2011-12-31	$51,352
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$675
Net income (gross income less expenses)	2011-12-31	$28,428
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$709,424
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$680,996
Assets. Value of participant loans	2011-12-31	$11,539
Total contributions received or receivable from employer(s)	2011-12-31	$12,328
2010 : NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$153,777
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$680,996
Total plan assets at beginning of year	2010-12-31	$527,219
Total contributions received or receivable from participants	2010-12-31	$60,500
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$78,336
Net income (gross income less expenses)	2010-12-31	$153,777
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$680,996
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$527,219
Total contributions received or receivable from employer(s)	2010-12-31	$14,941

Form 5500 Responses for NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN

2012: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 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	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
2011: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 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	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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: NICHOLAS CAPLANIS, D.M.D., M.S., INC. 401(K) PROFIT SHARING PLAN 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:	NICHOLAS CAPLANIS, D.M.D., M.S., INC.
Employer identification number (EIN):	330849970
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:	1999-01-08
Company Identification Number:	C2133262
Legal Registered Office Address:	23131 Lake Center Dr Ste #1 Lake Forest United States of America (USA) 92630