401k Plan data: THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN plan

THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 401k Plan overview

Plan Name	THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN
Plan identification number	002

THE SM BEAUTY 401(K) AND 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.
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

SM BEAUTY, INC. has sponsored the creation of one or more 401k plans.

Company Name: SM BEAUTY, INC.

Employer identification number (EIN): 460988531

NAIC Classification: 812990
NAIC Description: All Other Personal Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-01-01 BOKHWA KIM
002 2013-01-01 BOKHWA KIM

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2014-01-01	BOKHWA KIM
002	2013-01-01	BOKHWA KIM

Plan Statistics for THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN

401k plan membership statisitcs for THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2014: THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 341
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 220
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 94
Total of all active and inactive participants 2014-01-01 314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 315
Number of participants with account balances 2014-01-01 315
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 11
2013: THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 337
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 243
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 81
Total of all active and inactive participants 2013-01-01 324
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 325
Number of participants with account balances 2013-01-01 310
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 27

Measure	Date	Value
2014: THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	341
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	220
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	94
Total of all active and inactive participants	2014-01-01	314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	315
Number of participants with account balances	2014-01-01	315
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	11
2013: THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	337
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	243
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	81
Total of all active and inactive participants	2013-01-01	324
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	325
Number of participants with account balances	2013-01-01	310
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	27

Financial Data on THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN

Measure	Date	Value
2014 : THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,928,422
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,648,676
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,647,031
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,852,282
Value of total assets at end of year	2014-12-31	$19,795,394
Value of total assets at beginning of year	2014-12-31	$18,515,648
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$1,645
Total interest from all sources	2014-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$859,907
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$988,539
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$45,103
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,279,746
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$19,795,394
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$18,515,648
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$18,795,394
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$18,515,648
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$216,233
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,818,640
Employer contributions (assets) at end of year	2014-12-31	$1,000,000
Income. Dividends from common stock	2014-12-31	$859,907
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,647,031
Contract administrator fees	2014-12-31	$1,645
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	GRASSI & CO., CPAS, PC
Accountancy firm EIN	2014-12-31	113266576
2013 : THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$15,623
Total income from all sources (including contributions)	2013-12-31	$3,609,339
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$872,108
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$871,058
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,572,614
Value of total assets at end of year	2013-12-31	$18,515,648
Value of total assets at beginning of year	2013-12-31	$15,794,040
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,050
Total interest from all sources	2013-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$691,282
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$906,415
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$233,042
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,603
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$26,983
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$15,623
Other income not declared elsewhere	2013-12-31	$10,340
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,737,231
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$18,515,648
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$15,778,417
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$18,515,648
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$13,734,015
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,335,103
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$664,596
Employer contributions (assets) at beginning of year	2013-12-31	$1,800,000
Income. Dividends from common stock	2013-12-31	$691,282
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$871,058
Contract administrator fees	2013-12-31	$1,050
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	GRASSI & CO, CPAS, PC
Accountancy firm EIN	2013-12-31	113266576

Form 5500 Responses for THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN

2014: THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
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
2013: THE SM BEAUTY 401(K) AND PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

VARIOUS

Policy instance

Insurance contract or identification number	VARIOUS
Number of Individuals Covered	0
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

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Company Name:	SM BEAUTY, INC.
Employer identification number (EIN):	460988531
NAIC Classification:	812990
NAIC Description:	All Other Personal Services