401k Plan data: JOHN R. SMITH, DDS, PA 401(K) PLAN plan

JOHN R. SMITH, DDS, PA 401(K) PLAN 401k Plan overview

Plan Name	JOHN R. SMITH, DDS, PA 401(K) PLAN
Plan identification number	004

JOHN R. SMITH, DDS, PA 401(K) 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
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.
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

JOHN R. SMITH, DDS, PA has sponsored the creation of one or more 401k plans.

Company Name: JOHN R. SMITH, DDS, PA

Employer identification number (EIN): 592058808

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JOHN R. SMITH, DDS, PA 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2019-01-01 JOHN R. SMITH, DDS 2019-01-31
004 2018-01-01 JOHN R. SMITH, DDS 2019-01-31
004 2017-01-01 JOHN R. SMITH, DDS 2018-07-11
004 2016-01-01 JOHN R. SMITH, DDS 2017-10-08
004 2015-01-01 JOHN R. SMITH, DDS 2016-09-22
004 2014-01-01 JOHN R. SMITH, DDS 2015-10-14
004 2013-01-01 JOHN R. SMITH, DDS
004 2012-01-01 JOHN R. SMITH, DDS
004 2011-01-01 JOHN R. SMITH, DDS
004 2010-01-01 JOHN R. SMITH, DDS
004 2009-01-01 JOHN R. SMITH, DDS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
004	2019-01-01	JOHN R. SMITH, DDS	2019-01-31
004	2018-01-01	JOHN R. SMITH, DDS	2019-01-31
004	2017-01-01	JOHN R. SMITH, DDS	2018-07-11
004	2016-01-01	JOHN R. SMITH, DDS	2017-10-08
004	2015-01-01	JOHN R. SMITH, DDS	2016-09-22
004	2014-01-01	JOHN R. SMITH, DDS	2015-10-14
004	2013-01-01	JOHN R. SMITH, DDS
004	2012-01-01	JOHN R. SMITH, DDS
004	2011-01-01	JOHN R. SMITH, DDS
004	2010-01-01	JOHN R. SMITH, DDS
004	2009-01-01	JOHN R. SMITH, DDS

Plan Statistics for JOHN R. SMITH, DDS, PA 401(K) PLAN

401k plan membership statisitcs for JOHN R. SMITH, DDS, PA 401(K) PLAN

Measure Date Value
2013: JOHN R. SMITH, DDS, PA 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 5
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 2
Total of all active and inactive participants 2013-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 7
Number of participants with account balances 2013-01-01 7
2012: JOHN R. SMITH, DDS, PA 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 11
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 0
Total of all active and inactive participants 2012-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 10
Number of participants with account balances 2012-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: JOHN R. SMITH, DDS, PA 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 14
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 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 14
Number of participants with account balances 2011-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: JOHN R. SMITH, DDS, PA 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 13
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 2
Total of all active and inactive participants 2010-01-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 15
Number of participants with account balances 2010-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: JOHN R. SMITH, DDS, PA 401(K) 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 10
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
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 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: JOHN R. SMITH, DDS, PA 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5
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	2
Total of all active and inactive participants	2013-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	7
Number of participants with account balances	2013-01-01	7
2012: JOHN R. SMITH, DDS, PA 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	11
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	0
Total of all active and inactive participants	2012-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	10
Number of participants with account balances	2012-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: JOHN R. SMITH, DDS, PA 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	14
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	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	14
Number of participants with account balances	2011-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: JOHN R. SMITH, DDS, PA 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	13
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	2
Total of all active and inactive participants	2010-01-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	15
Number of participants with account balances	2010-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: JOHN R. SMITH, DDS, PA 401(K) 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	10
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
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	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on JOHN R. SMITH, DDS, PA 401(K) PLAN

Measure	Date	Value
2013 : JOHN R. SMITH, DDS, PA 401(K) PLAN 2013 401k financial data
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$338,337
Expenses. Total of all expenses incurred	2013-12-31	$168,665
Benefits paid (including direct rollovers)	2013-12-31	$168,665
Total plan assets at end of year	2013-12-31	$1,739,895
Total plan assets at beginning of year	2013-12-31	$1,570,223
Other income received	2013-12-31	$334,686
Net income (gross income less expenses)	2013-12-31	$169,672
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,739,895
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,570,223
Total contributions received or receivable from employer(s)	2013-12-31	$3,651
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : JOHN R. SMITH, DDS, PA 401(K) PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$11,415
Total income from all sources	2012-12-31	$256,469
Expenses. Total of all expenses incurred	2012-12-31	$6,167
Benefits paid (including direct rollovers)	2012-12-31	$6,167
Total plan assets at end of year	2012-12-31	$1,570,223
Total plan assets at beginning of year	2012-12-31	$1,331,336
Other income received	2012-12-31	$232,469
Net income (gross income less expenses)	2012-12-31	$250,302
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,570,223
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,319,921
Total contributions received or receivable from employer(s)	2012-12-31	$24,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : JOHN R. SMITH, DDS, PA 401(K) PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$11,415
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$92,640
Expenses. Total of all expenses incurred	2011-12-31	$6,456
Benefits paid (including direct rollovers)	2011-12-31	$6,456
Total plan assets at end of year	2011-12-31	$1,331,336
Total plan assets at beginning of year	2011-12-31	$1,233,737
Value of fidelity bond covering the plan	2011-12-31	$124,000
Other income received	2011-12-31	$80,055
Net income (gross income less expenses)	2011-12-31	$86,184
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,319,921
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,233,737
Total contributions received or receivable from employer(s)	2011-12-31	$12,585
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : JOHN R. SMITH, DDS, PA 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$194,957
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,233,737
Total plan assets at beginning of year	2010-12-31	$1,038,780
Value of fidelity bond covering the plan	2010-12-31	$124,000
Other income received	2010-12-31	$168,957
Net income (gross income less expenses)	2010-12-31	$194,957
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,233,737
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,038,780
Total contributions received or receivable from employer(s)	2010-12-31	$26,000
2009 : JOHN R. SMITH, DDS, PA 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for JOHN R. SMITH, DDS, PA 401(K) PLAN

2013: JOHN R. SMITH, DDS, PA 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: JOHN R. SMITH, DDS, PA 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: JOHN R. SMITH, DDS, PA 401(K) 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
2010: JOHN R. SMITH, DDS, PA 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: JOHN R. SMITH, DDS, PA 401(K) 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:	JOHN R. SMITH, DDS, PA
Employer identification number (EIN):	592058808
NAIC Classification:	621210
NAIC Description:	Offices of Dentists