401k Plan data: SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST plan

SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST 401k Plan overview

Plan Name	SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST
Plan identification number	001

SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST 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.
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.

401k Sponsoring company profile

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

Company Name: SMITH SERVICES, INC.

Employer identification number (EIN): 550615032

NAIC Classification: 335900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 VICTORIA LUBLINER 2014-07-07
001 2013-01-01 VICTORIA LUBLINER 2014-07-07
001 2012-01-01 VICTORIA LUBLINER 2013-07-31
001 2011-01-01 VICTORIA LUBLINER 2012-09-12
001 2009-01-01 VICTORIA LUBLINER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2014-01-01	VICTORIA LUBLINER	2014-07-07
001	2013-01-01	VICTORIA LUBLINER	2014-07-07
001	2012-01-01	VICTORIA LUBLINER	2013-07-31
001	2011-01-01	VICTORIA LUBLINER	2012-09-12
001	2009-01-01	VICTORIA LUBLINER

Plan Statistics for SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST

401k plan membership statisitcs for SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST

Measure Date Value
2009: SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 67
Number of other retired or separated participants entitled to future benefits 2009-01-01 34
Total of all active and inactive participants 2009-01-01 101
Total participants 2009-01-01 101
Number of participants with account balances 2009-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2009: SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	67
Number of other retired or separated participants entitled to future benefits	2009-01-01	34
Total of all active and inactive participants	2009-01-01	101
Total participants	2009-01-01	101
Number of participants with account balances	2009-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST

Measure	Date	Value
2010 : SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$410,506
Total of all expenses incurred	2010-12-31	$630,574
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$628,864
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$198,597
Value of total assets at end of year	2010-12-31	$3,025,332
Value of total assets at beginning of year	2010-12-31	$3,245,400
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,710
Total interest from all sources	2010-12-31	$54,193
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	$350,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$164,907
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	$-220,068
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,025,332
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,245,400
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	$987,697
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$1,250,065
Interest earned on other investments	2010-12-31	$54,193
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$2,037,635
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,995,335
Net investment gain/loss from pooled separate accounts	2010-12-31	$157,716
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	No
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	$33,690
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$628,864
Contract administrator fees	2010-12-31	$1,710
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	No
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	CARR, RIGGS & INGRAM, LLC
Accountancy firm EIN	2010-12-31	721396621

Form 5500 Responses for SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST

2009: SMITH SERVICES, INC. RETIREMENT PLAN AND TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )

Policy contract number

016887-G

Policy instance

Insurance contract or identification number	016887-G
Number of Individuals Covered	93
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $291
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	97
Additional information about fees paid to insurance broker	COMPENSATION
Insurance broker organization code?	3
Insurance broker name	JOHN HILZENDEGER

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Company Name:	SMITH SERVICES, INC.
Employer identification number (EIN):	550615032
NAIC Classification:	335900