401k Plan data: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN plan

DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 401k Plan overview

Plan Name	DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN
Plan identification number	001

DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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.
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

DRS. PFAHL & SCHILD, INC has sponsored the creation of one or more 401k plans.

Company Name: DRS. PFAHL & SCHILD, INC

Employer identification number (EIN): 341812750

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-10-01 HARRIS SCHILD, MD 2017-07-06 HARRIS SCHILD, MD 2017-07-06
001 2015-10-01 HARRIS S. SCHILD, MD 2017-06-30 HARRIS S. SCHILD, MD 2017-06-30
001 2015-10-01 HARRIS S. SCHILD, MD 2016-11-07 HARRIS S. SCHILD, MD 2016-11-07
001 2014-10-01 HARRIS S. SCHILD, MD 2016-02-10 HARRIS S. SCHILD, MD 2016-02-10
001 2013-10-01 HARRIS S. SCHILD, MD 2015-01-14
001 2012-10-01 HARRIS S. SCHILD HARRIS S. SCHILD 2013-11-20
001 2011-10-01 HARRIS SCHILD HARRIS SCHILD 2014-06-12
001 2009-10-01 HARRIS S. SCHILD HARRIS S. SCHILD 2011-05-26
001 2009-10-01 HARRIS S. SCHILD HARRIS S. SCHILD 2011-06-07
001 2008-10-01 HARRIS SCHILD HARRIS SCHILD 2013-11-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-10-01	HARRIS SCHILD, MD	2017-07-06	HARRIS SCHILD, MD	2017-07-06
001	2015-10-01	HARRIS S. SCHILD, MD	2017-06-30	HARRIS S. SCHILD, MD	2017-06-30
001	2015-10-01	HARRIS S. SCHILD, MD	2016-11-07	HARRIS S. SCHILD, MD	2016-11-07
001	2014-10-01	HARRIS S. SCHILD, MD	2016-02-10	HARRIS S. SCHILD, MD	2016-02-10
001	2013-10-01	HARRIS S. SCHILD, MD	2015-01-14
001	2012-10-01	HARRIS S. SCHILD		HARRIS S. SCHILD	2013-11-20
001	2011-10-01	HARRIS SCHILD		HARRIS SCHILD	2014-06-12
001	2009-10-01	HARRIS S. SCHILD		HARRIS S. SCHILD	2011-05-26
001	2009-10-01	HARRIS S. SCHILD		HARRIS S. SCHILD	2011-06-07
001	2008-10-01	HARRIS SCHILD		HARRIS SCHILD	2013-11-21

Plan Statistics for DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN

401k plan membership statisitcs for DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN

Measure Date Value
2012: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-10-01 16
Total number of active participants reported on line 7a of the Form 5500 2012-10-01 16
Number of retired or separated participants receiving benefits 2012-10-01 0
Number of other retired or separated participants entitled to future benefits 2012-10-01 0
Total of all active and inactive participants 2012-10-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-10-01 0
Total participants 2012-10-01 16
Number of participants with account balances 2012-10-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-10-01 0
2011: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-10-01 16
Total number of active participants reported on line 7a of the Form 5500 2011-10-01 16
Number of retired or separated participants receiving benefits 2011-10-01 0
Number of other retired or separated participants entitled to future benefits 2011-10-01 0
Total of all active and inactive participants 2011-10-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-01 0
Total participants 2011-10-01 16
Number of participants with account balances 2011-10-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-10-01 0
2009: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-10-01 16
Total number of active participants reported on line 7a of the Form 5500 2009-10-01 16
Number of retired or separated participants receiving benefits 2009-10-01 0
Number of other retired or separated participants entitled to future benefits 2009-10-01 0
Total of all active and inactive participants 2009-10-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-10-01 0
Total participants 2009-10-01 16
Number of participants with account balances 2009-10-01 16
2008: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year 2008-10-01 16
Total number of active participants reported on line 7a of the Form 5500 2008-10-01 16
Number of retired or separated participants receiving benefits 2008-10-01 0
Number of other retired or separated participants entitled to future benefits 2008-10-01 0
Total of all active and inactive participants 2008-10-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-10-01 0
Total participants 2008-10-01 16
Number of participants with account balances 2008-10-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-10-01 0

Measure	Date	Value
2012: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-10-01	16
Total number of active participants reported on line 7a of the Form 5500	2012-10-01	16
Number of retired or separated participants receiving benefits	2012-10-01	0
Number of other retired or separated participants entitled to future benefits	2012-10-01	0
Total of all active and inactive participants	2012-10-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-10-01	0
Total participants	2012-10-01	16
Number of participants with account balances	2012-10-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-10-01	0
2011: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-10-01	16
Total number of active participants reported on line 7a of the Form 5500	2011-10-01	16
Number of retired or separated participants receiving benefits	2011-10-01	0
Number of other retired or separated participants entitled to future benefits	2011-10-01	0
Total of all active and inactive participants	2011-10-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-01	0
Total participants	2011-10-01	16
Number of participants with account balances	2011-10-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-10-01	0
2009: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-10-01	16
Total number of active participants reported on line 7a of the Form 5500	2009-10-01	16
Number of retired or separated participants receiving benefits	2009-10-01	0
Number of other retired or separated participants entitled to future benefits	2009-10-01	0
Total of all active and inactive participants	2009-10-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-10-01	0
Total participants	2009-10-01	16
Number of participants with account balances	2009-10-01	16
2008: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year	2008-10-01	16
Total number of active participants reported on line 7a of the Form 5500	2008-10-01	16
Number of retired or separated participants receiving benefits	2008-10-01	0
Number of other retired or separated participants entitled to future benefits	2008-10-01	0
Total of all active and inactive participants	2008-10-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-10-01	0
Total participants	2008-10-01	16
Number of participants with account balances	2008-10-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-10-01	0

Financial Data on DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN

Measure	Date	Value
2013 : DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-09-30	$-34,494
Total plan assets at end of year	2013-09-30	$544,161
Total plan assets at beginning of year	2013-09-30	$578,655
Total contributions received or receivable from participants	2013-09-30	$23,300
Other income received	2013-09-30	$-73,641
Net income (gross income less expenses)	2013-09-30	$-34,494
Net plan assets at end of year (total assets less liabilities)	2013-09-30	$544,161
Net plan assets at beginning of year (total assets less liabilities)	2013-09-30	$578,655
Total contributions received or receivable from employer(s)	2013-09-30	$15,847
2012 : DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-09-30	$168,231
Expenses. Total of all expenses incurred	2012-09-30	$0
Total plan assets at end of year	2012-09-30	$695,904
Total plan assets at beginning of year	2012-09-30	$527,673
Total contributions received or receivable from participants	2012-09-30	$51,177
Other income received	2012-09-30	$103,701
Net income (gross income less expenses)	2012-09-30	$168,231
Net plan assets at end of year (total assets less liabilities)	2012-09-30	$695,904
Net plan assets at beginning of year (total assets less liabilities)	2012-09-30	$527,673
Total contributions received or receivable from employer(s)	2012-09-30	$13,353
2011 : DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-09-30	$48,825
Expenses. Total of all expenses incurred	2011-09-30	$78,290
Benefits paid (including direct rollovers)	2011-09-30	$78,290
Total plan assets at end of year	2011-09-30	$527,673
Total plan assets at beginning of year	2011-09-30	$557,138
Total contributions received or receivable from participants	2011-09-30	$55,469
Other income received	2011-09-30	$-21,685
Net income (gross income less expenses)	2011-09-30	$-29,465
Net plan assets at end of year (total assets less liabilities)	2011-09-30	$527,673
Net plan assets at beginning of year (total assets less liabilities)	2011-09-30	$557,138
Total contributions received or receivable from employer(s)	2011-09-30	$15,041
2009 : DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2009 401k financial data
Total income from all sources	2009-09-30	$-34,494
Total plan assets at end of year	2009-09-30	$544,161
Total plan assets at beginning of year	2009-09-30	$578,655
Total contributions received or receivable from participants	2009-09-30	$23,300
Other income received	2009-09-30	$-73,641
Net income (gross income less expenses)	2009-09-30	$-34,494
Net plan assets at end of year (total assets less liabilities)	2009-09-30	$544,161
Net plan assets at beginning of year (total assets less liabilities)	2009-09-30	$578,655
Total contributions received or receivable from employer(s)	2009-09-30	$15,847

Form 5500 Responses for DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN

2012: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2012 form 5500 responses
2012-10-01	Type of plan entity	Single employer plan
2012-10-01	Plan funding arrangement – Insurance	Yes
2012-10-01	Plan benefit arrangement – Insurance	Yes
2011: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2011 form 5500 responses
2011-10-01	Type of plan entity	Single employer plan
2011-10-01	First time form 5500 has been submitted	Yes
2011-10-01	Submission has been amended	No
2011-10-01	This submission is the final filing	No
2011-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-10-01	Plan is a collectively bargained plan	No
2011-10-01	Plan funding arrangement – Insurance	Yes
2011-10-01	Plan benefit arrangement – Insurance	Yes
2009: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2009 form 5500 responses
2009-10-01	Type of plan entity	Single employer plan
2009-10-01	Submission has been amended	Yes
2009-10-01	Plan funding arrangement – Insurance	Yes
2009-10-01	Plan benefit arrangement – Insurance	Yes
2008: DRS. PFAHL & SCHILD, INC. PROFIT SHARING PLAN 2008 form 5500 responses
2008-10-01	Type of plan entity	Single employer plan
2008-10-01	Submission has been amended	No
2008-10-01	This submission is the final filing	No
2008-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-10-01	Plan is a collectively bargained plan	No
2008-10-01	Plan funding arrangement – Insurance	Yes
2008-10-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-54-P676

Policy instance

Insurance contract or identification number	GAP-54-P676
Number of Individuals Covered	16
Insurance policy start date	2012-10-01
Insurance policy end date	2013-09-30
Total amount of commissions paid to insurance broker	USD $2,620
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $2,620
Insurance broker organization code?	4
Insurance broker name	AMERIPRISE FINANCIAL

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-54-P676

Policy instance

Insurance contract or identification number	GAP-54-P676
Number of Individuals Covered	16
Insurance policy start date	2011-10-01
Insurance policy end date	2012-09-30
Total amount of commissions paid to insurance broker	USD $2,620
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-54-P676

Policy instance

Insurance contract or identification number	GAP-54-P676
Number of Individuals Covered	16
Insurance policy start date	2010-10-01
Insurance policy end date	2011-09-30
Total amount of commissions paid to insurance broker	USD $2,615
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-54-P676

Policy instance

Insurance contract or identification number	GAP-54-P676
Number of Individuals Covered	16
Insurance policy start date	2008-10-01
Insurance policy end date	2009-09-30
Total amount of commissions paid to insurance broker	USD $2,620
Total amount of fees paid to insurance company	USD $0
Commission paid to Insurance Broker	USD $2,620
Insurance broker organization code?	4
Insurance broker name	AMERIPRISE FINANCIAL SERVICES

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Company Name:	DRS. PFAHL & SCHILD, INC
Employer identification number (EIN):	341812750
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)