401k Plan data: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN plan

THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

UNIFIED FINANCIAL SERVICES, INC. has sponsored the creation of one or more 401k plans.

Company Name: UNIFIED FINANCIAL SERVICES, INC.

Employer identification number (EIN): 351797759

NAIC Classification: 525990
NAIC Description: Other Financial Vehicles

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2016-01-01 MARTY LAUTNER
002 2015-01-01 MARTY LAUTNER
002 2014-01-01 JACK BROWN

Plan id#	Filing Submission Date	Name of Administrator
002	2016-01-01	MARTY LAUTNER
002	2015-01-01	MARTY LAUTNER
002	2014-01-01	JACK BROWN

Plan Statistics for THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2016: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 101
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 96
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 86
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 15
Total of all active and inactive participants 2015-01-01 101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 101
Number of participants with account balances 2015-01-01 88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 89
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 7
Total of all active and inactive participants 2014-01-01 96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 96
Number of participants with account balances 2014-01-01 85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2016: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	101
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	96
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	86
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	15
Total of all active and inactive participants	2015-01-01	101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	101
Number of participants with account balances	2015-01-01	88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	89
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	7
Total of all active and inactive participants	2014-01-01	96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	96
Number of participants with account balances	2014-01-01	85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2016 : THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Transfers to/from the plan	2016-02-11	$-498,411
Total income from all sources	2016-02-11	$88
Expenses. Total of all expenses incurred	2016-02-11	$0
Total plan assets at end of year	2016-02-11	$0
Total plan assets at beginning of year	2016-02-11	$498,323
Value of fidelity bond covering the plan	2016-02-11	$49,833
Other income received	2016-02-11	$88
Net income (gross income less expenses)	2016-02-11	$88
Net plan assets at end of year (total assets less liabilities)	2016-02-11	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-02-11	$498,323
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-02-11	$0
2015 : THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$248,694
Expenses. Total of all expenses incurred	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$498,323
Total plan assets at beginning of year	2015-12-31	$249,629
Value of fidelity bond covering the plan	2015-12-31	$1,000,000
Other income received	2015-12-31	$7,920
Net income (gross income less expenses)	2015-12-31	$248,694
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$498,323
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$249,629
Total contributions received or receivable from employer(s)	2015-12-31	$240,774
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$249,629
Expenses. Total of all expenses incurred	2014-12-31	$0
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$249,629
Total plan assets at beginning of year	2014-12-31	$0
Value of fidelity bond covering the plan	2014-12-31	$5,000,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Other income received	2014-12-31	$2,513
Net income (gross income less expenses)	2014-12-31	$249,629
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$249,629
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$0
Total contributions received or receivable from employer(s)	2014-12-31	$247,116
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0

Form 5500 Responses for THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN

2016: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: THE UNIFIED COMPANIES EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	First time form 5500 has been submitted	Yes
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

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Company Name:	UNIFIED FINANCIAL SERVICES, INC.
Employer identification number (EIN):	351797759
NAIC Classification:	525990
NAIC Description:	Other Financial Vehicles