401k Plan data: THE PENSION CENTER, INC. PROFIT SHARING AND EMPLOYEE SAVINGS PLAN plan

THE PENSION CENTER, INC. PROFIT SHARING AND EMPLOYEE SAVINGS PLAN 401k Plan overview

Plan Name	THE PENSION CENTER, INC. PROFIT SHARING AND EMPLOYEE SAVINGS PLAN
Plan identification number	003

THE PENSION CENTER, INC. PROFIT SHARING AND EMPLOYEE SAVINGS 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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
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

THE PENSION CENTER, INC. has sponsored the creation of one or more 401k plans.

Company Name: THE PENSION CENTER, INC.

Employer identification number (EIN): 710599934

NAIC Classification: 524290

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE PENSION CENTER, INC. PROFIT SHARING AND EMPLOYEE SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2015-01-01 DANA BAXLEY 2015-07-08 DANA BAXLEY 2015-07-08
003 2014-01-01 DANA BAXLEY 2015-07-08 DANA BAXLEY 2015-07-08
003 2013-01-01 DANA BAXLEY 2014-07-30 DANA BAXLEY 2014-07-30
003 2012-01-01 DANA BAXLEY 2013-07-29 DANA BAXLEY 2013-07-29
003 2011-01-01 THOMAS L. BAXLEY 2012-10-04 THOMAS L. BAXLEY 2012-10-04
003 2010-01-01 THOMAS L. BAXLEY 2011-09-16 THOMAS L. BAXLEY 2011-09-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2015-01-01	DANA BAXLEY	2015-07-08	DANA BAXLEY	2015-07-08
003	2014-01-01	DANA BAXLEY	2015-07-08	DANA BAXLEY	2015-07-08
003	2013-01-01	DANA BAXLEY	2014-07-30	DANA BAXLEY	2014-07-30
003	2012-01-01	DANA BAXLEY	2013-07-29	DANA BAXLEY	2013-07-29
003	2011-01-01	THOMAS L. BAXLEY	2012-10-04	THOMAS L. BAXLEY	2012-10-04
003	2010-01-01	THOMAS L. BAXLEY	2011-09-16	THOMAS L. BAXLEY	2011-09-16

Financial Data on THE PENSION CENTER, INC. PROFIT SHARING AND EMPLOYEE SAVINGS PLAN

Measure	Date	Value
2008 : THE PENSION CENTER, INC. PROFIT SHARING AND EMPLOYEE SAVINGS PLAN 2008 401k financial data
Transfers to/from the plan	2008-12-31	$0
Total plan liabilities at end of year	2008-12-31	$0
Total plan liabilities at beginning of year	2008-12-31	$0
Total income from all sources	2008-12-31	$-260,206
Expenses. Total of all expenses incurred	2008-12-31	$29,225
Benefits paid (including direct rollovers)	2008-12-31	$29,225
Total plan assets at end of year	2008-12-31	$676,470
Total plan assets at beginning of year	2008-12-31	$965,901
Value of fidelity bond covering the plan	2008-12-31	$68,000
Total contributions received or receivable from participants	2008-12-31	$5,750
Expenses. Other expenses not covered elsewhere	2008-12-31	$0
Contributions received from other sources (not participants or employers)	2008-12-31	$0
Other income received	2008-12-31	$-320,706
Noncash contributions received	2008-12-31	$0
Net income (gross income less expenses)	2008-12-31	$-289,431
Net plan assets at end of year (total assets less liabilities)	2008-12-31	$676,470
Net plan assets at beginning of year (total assets less liabilities)	2008-12-31	$965,901
Total contributions received or receivable from employer(s)	2008-12-31	$54,750
Value of certain deemed distributions of participant loans	2008-12-31	$0
Value of corrective distributions	2008-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2008-12-31	$0

Insurance Providers Used on plan

UNION CENTRAL LIFE INSURANCE CO. (National Association of Insurance Commissioners NAIC id number: 80837 )

Policy contract number

ESP 5467

Policy instance

Insurance contract or identification number	ESP 5467
Number of Individuals Covered	3
Insurance policy start date	2008-01-01
Insurance policy end date	2008-12-31
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	1
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

Potentially related plans

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Company Name:	THE PENSION CENTER, INC.
Employer identification number (EIN):	710599934
NAIC Classification:	524290