401k Plan data: BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN plan

BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN
Plan identification number	001

BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 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.
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

J.A. BATRUS, PH.D. & C.L. HOLLWEG, PH.D., INC. has sponsored the creation of one or more 401k plans.

Company Name: J.A. BATRUS, PH.D. & C.L. HOLLWEG, PH.D., INC.

Employer identification number (EIN): 751396327

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 BILL LAUZUS 2013-01-11
001 2011-01-01 BILL LAUZUS
001 2010-01-01 CHARLES LEWIS HOLLWEG

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2012-01-01	BILL LAUZUS	2013-01-11
001	2011-01-01	BILL LAUZUS
001	2010-01-01	CHARLES LEWIS HOLLWEG

Plan Statistics for BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN

Measure Date Value
2011: BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 28
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 12
Total of all active and inactive participants 2011-01-01 40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 40
Number of participants with account balances 2011-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 4
2010: BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 32
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 8
Total of all active and inactive participants 2010-01-01 40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 40
Number of participants with account balances 2010-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 2

Measure	Date	Value
2011: BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	28
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	12
Total of all active and inactive participants	2011-01-01	40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	40
Number of participants with account balances	2011-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	4
2010: BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	32
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	8
Total of all active and inactive participants	2010-01-01	40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	40
Number of participants with account balances	2010-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	2

Financial Data on BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2011 : BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$142,313
Expenses. Total of all expenses incurred	2011-12-31	$43,949
Benefits paid (including direct rollovers)	2011-12-31	$39,989
Total plan assets at end of year	2011-12-31	$2,109,680
Total plan assets at beginning of year	2011-12-31	$2,011,316
Value of fidelity bond covering the plan	2011-12-31	$210,968
Total contributions received or receivable from participants	2011-12-31	$142,835
Other income received	2011-12-31	$-522
Net income (gross income less expenses)	2011-12-31	$98,364
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,109,680
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,011,316
Assets. Value of participant loans	2011-12-31	$15,112
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$100,000
Total contributions received or receivable from employer(s)	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$3,960
2010 : BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$406,750
Expenses. Total of all expenses incurred	2010-12-31	$26,508
Benefits paid (including direct rollovers)	2010-12-31	$20,409
Total plan assets at end of year	2010-12-31	$2,011,316
Total plan assets at beginning of year	2010-12-31	$1,631,074
Value of fidelity bond covering the plan	2010-12-31	$195,000
Total contributions received or receivable from participants	2010-12-31	$109,631
Contributions received from other sources (not participants or employers)	2010-12-31	$30,140
Other income received	2010-12-31	$266,979
Net income (gross income less expenses)	2010-12-31	$380,242
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,011,316
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,631,074
Assets. Value of participant loans	2010-12-31	$18,617
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$60,364
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$6,099
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for BATRUS HOLLWEG 401(K) PROFIT SHARING PLAN

2011: BATRUS HOLLWEG 401(K) PROFIT SHARING 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: BATRUS HOLLWEG 401(K) PROFIT SHARING 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 – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

160-00695

Policy instance

Insurance contract or identification number	160-00695
Number of Individuals Covered	36
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $2,515
Total amount of fees paid to insurance company	USD $1,068
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

160-00695

Policy instance

Insurance contract or identification number	160-00695
Number of Individuals Covered	34
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $2,067
Total amount of fees paid to insurance company	USD $809
Commission paid to Insurance Broker	USD $2,067
Insurance broker organization code?	4
Amount paid for insurance broker fees	809
Additional information about fees paid to insurance broker	ADMINISTRATIVE OVERRIDE
Insurance broker name	MICHAEL DUKE

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Company Name:	J.A. BATRUS, PH.D. & C.L. HOLLWEG, PH.D., INC.
Employer identification number (EIN):	751396327
NAIC Classification:	541600