401k Plan data: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN plan

OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 401k Plan overview

Plan Name	OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN
Plan identification number	002

OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily flat dollar (includes dollars per year of service)
Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

PATRICK S. OTTINGER, APLC has sponsored the creation of one or more 401k plans.

Company Name: PATRICK S. OTTINGER, APLC

Employer identification number (EIN): 720955520

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01 PAUL J. HEBERT 2019-10-04
002 2012-01-01 PARICK OTTINGER
002 2011-01-01 PAUL HEBERT PAUL HEBERT 2012-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2018-01-01	PAUL J. HEBERT	2019-10-04
002	2012-01-01	PARICK OTTINGER
002	2011-01-01	PAUL HEBERT		PAUL HEBERT	2012-10-15

Plan Statistics for OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN

401k plan membership statisitcs for OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN

Measure Date Value
2018: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2018 401k membership
Market value of plan assets 2018-12-31 3,830,579
Acturial value of plan assets 2018-12-31 3,830,579
Funding target for retired participants and beneficiaries receiving payment 2018-12-31 0
Number of terminated vested participants 2018-12-31 8
Fundng target for terminated vested participants 2018-12-31 740,165
Active participant vested funding target 2018-12-31 3,094,548
Number of active participants 2018-12-31 18
Total funding liabilities for active participants 2018-12-31 3,094,548
Total participant count 2018-12-31 26
Total funding target for all participants 2018-12-31 3,834,713
Balance at beginning of prior year after applicable adjustments 2018-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2018-12-31 0
Carryover balanced portion elected for use to offset prior years funding requirement 2018-12-31 0
Prefunding balanced used to offset prior years funding requirement 2018-12-31 0
Amount remaining of carryover balance 2018-12-31 0
Amount remaining of prefunding balance 2018-12-31 0
Present value of excess contributions 2018-12-31 1,853
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2018-12-31 1,951
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2018-12-31 0
Reductions in caryover balances due to elections or deemed elections 2018-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2018-12-31 0
Balance of carryovers at beginning of current year 2018-12-31 0
Balance of prefunding at beginning of current year 2018-12-31 0
Total employer contributions 2018-12-31 98,097
Total employee contributions 2018-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2018-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2018-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2018-12-31 90,550
Unpaid minimum required contributions for all prior years 2018-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2018-12-31 0
Remaining amount of unpaid minimum required contributions 2018-12-31 0
Minimum required contributions for current year target normal cost 2018-12-31 0
Net shortfall amortization installment of oustanding balance 2018-12-31 4,133
Waiver amortization installment 2018-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2018-12-31 4,378
Carryover balance elected to use to offset funding requirement 2018-12-31 0
Prefunding balance elected to use to offset funding requirement 2018-12-31 0
Additional cash requirement 2018-12-31 4,378
Contributions allocatedtoward minimum required contributions for current year 2018-12-31 90,550
Unpaid minimum required contributions for current year 2018-12-31 0
Unpaid minimum required contributions for all years 2018-12-31 0
2012: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 23
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 8
Total of all active and inactive participants 2012-01-01 31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 31
Number of participants with account balances 2012-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 23
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 6
Total of all active and inactive participants 2011-01-01 29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 29
Number of participants with account balances 2011-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 3

Measure	Date	Value
2018: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2018 401k membership
Market value of plan assets	2018-12-31	3,830,579
Acturial value of plan assets	2018-12-31	3,830,579
Funding target for retired participants and beneficiaries receiving payment	2018-12-31	0
Number of terminated vested participants	2018-12-31	8
Fundng target for terminated vested participants	2018-12-31	740,165
Active participant vested funding target	2018-12-31	3,094,548
Number of active participants	2018-12-31	18
Total funding liabilities for active participants	2018-12-31	3,094,548
Total participant count	2018-12-31	26
Total funding target for all participants	2018-12-31	3,834,713
Balance at beginning of prior year after applicable adjustments	2018-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2018-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2018-12-31	0
Prefunding balanced used to offset prior years funding requirement	2018-12-31	0
Amount remaining of carryover balance	2018-12-31	0
Amount remaining of prefunding balance	2018-12-31	0
Present value of excess contributions	2018-12-31	1,853
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2018-12-31	1,951
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2018-12-31	0
Reductions in caryover balances due to elections or deemed elections	2018-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2018-12-31	0
Balance of carryovers at beginning of current year	2018-12-31	0
Balance of prefunding at beginning of current year	2018-12-31	0
Total employer contributions	2018-12-31	98,097
Total employee contributions	2018-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2018-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2018-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2018-12-31	90,550
Unpaid minimum required contributions for all prior years	2018-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2018-12-31	0
Remaining amount of unpaid minimum required contributions	2018-12-31	0
Minimum required contributions for current year target normal cost	2018-12-31	0
Net shortfall amortization installment of oustanding balance	2018-12-31	4,133
Waiver amortization installment	2018-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2018-12-31	4,378
Carryover balance elected to use to offset funding requirement	2018-12-31	0
Prefunding balance elected to use to offset funding requirement	2018-12-31	0
Additional cash requirement	2018-12-31	4,378
Contributions allocatedtoward minimum required contributions for current year	2018-12-31	90,550
Unpaid minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for all years	2018-12-31	0
2012: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	23
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	8
Total of all active and inactive participants	2012-01-01	31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	31
Number of participants with account balances	2012-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	23
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	6
Total of all active and inactive participants	2011-01-01	29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	29
Number of participants with account balances	2011-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	3

Financial Data on OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN

Measure	Date	Value
2012 : OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$149
Total plan liabilities at beginning of year	2012-12-31	$923
Total income from all sources	2012-12-31	$738,509
Expenses. Total of all expenses incurred	2012-12-31	$71,576
Benefits paid (including direct rollovers)	2012-12-31	$71,576
Total plan assets at end of year	2012-12-31	$3,871,711
Total plan assets at beginning of year	2012-12-31	$3,205,552
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$124,411
Other income received	2012-12-31	$437,376
Net income (gross income less expenses)	2012-12-31	$666,933
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,871,562
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$3,204,629
Assets. Value of participant loans	2012-12-31	$24,608
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$29,059
Assets. Value of real-estate (other than employer real property)	2012-12-31	$653,333
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2012-12-31	$68,044
Total contributions received or receivable from employer(s)	2012-12-31	$176,722
2011 : OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$923
Total income from all sources	2011-12-31	$255,680
Expenses. Total of all expenses incurred	2011-12-31	$720
Benefits paid (including direct rollovers)	2011-12-31	$720
Total plan assets at end of year	2011-12-31	$3,205,552
Total plan assets at beginning of year	2011-12-31	$2,949,669
Value of fidelity bond covering the plan	2011-12-31	$325,000
Total contributions received or receivable from participants	2011-12-31	$122,346
Other income received	2011-12-31	$-41,273
Net income (gross income less expenses)	2011-12-31	$254,960
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,204,629
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,949,669
Assets. Value of participant loans	2011-12-31	$30,917
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$29,587
Assets. Value of real-estate (other than employer real property)	2011-12-31	$562,500
Total contributions received or receivable from employer(s)	2011-12-31	$174,607

Form 5500 Responses for OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN

2012: OTTINGER HEBERT, LLC PROFIT SHARING 401K PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: OTTINGER HEBERT, LLC PROFIT SHARING 401K 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

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Company Name:	PATRICK S. OTTINGER, APLC
Employer identification number (EIN):	720955520
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers