401k Plan data: ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN plan

ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN
Plan identification number	003

ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING 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.
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.

401k Sponsoring company profile

ALTFELD & BATTAILE, P.C. has sponsored the creation of one or more 401k plans.

Company Name: ALTFELD & BATTAILE, P.C.

Employer identification number (EIN): 860255729

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2015-01-01 JOHN BATTAILE JOHN BATTAILE 2016-01-19
003 2014-01-01 JOHN BATTAILE JOHN BATTAILE 2015-10-12
003 2013-01-01 CLIFFORD ALTFELD CLIFFORD ALTFELD 2014-10-07
003 2012-01-01 CLIFFORD ALTFELD CLIFFORD ALTFELD 2013-10-02
003 2011-01-01 CLIFFORD ALTFELD CLIFFORD ALTFELD 2012-10-09
003 2010-01-01 CLIFFORD ALTFELD CLIFFORD ALTFELD 2011-09-27
003 2009-01-01 CLIFFORD ALTFELD CLIFFORD ALTFELD 2010-10-08

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2015-01-01	JOHN BATTAILE	JOHN BATTAILE	2016-01-19
003	2014-01-01	JOHN BATTAILE	JOHN BATTAILE	2015-10-12
003	2013-01-01	CLIFFORD ALTFELD	CLIFFORD ALTFELD	2014-10-07
003	2012-01-01	CLIFFORD ALTFELD	CLIFFORD ALTFELD	2013-10-02
003	2011-01-01	CLIFFORD ALTFELD	CLIFFORD ALTFELD	2012-10-09
003	2010-01-01	CLIFFORD ALTFELD	CLIFFORD ALTFELD	2011-09-27
003	2009-01-01	CLIFFORD ALTFELD	CLIFFORD ALTFELD	2010-10-08

Financial Data on ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2015 : ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-03	$0
Total plan liabilities at beginning of year	2015-12-03	$785
Total income from all sources	2015-12-03	$-6,243
Expenses. Total of all expenses incurred	2015-12-03	$2,808,586
Benefits paid (including direct rollovers)	2015-12-03	$2,793,550
Total plan assets at end of year	2015-12-03	$0
Total plan assets at beginning of year	2015-12-03	$2,815,614
Value of fidelity bond covering the plan	2015-12-03	$250,000
Total contributions received or receivable from participants	2015-12-03	$400
Other income received	2015-12-03	$-6,643
Net income (gross income less expenses)	2015-12-03	$-2,814,829
Net plan assets at end of year (total assets less liabilities)	2015-12-03	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-12-03	$2,814,829
Assets. Value of assets in partnership/joint-venture interests	2015-12-03	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-03	$15,036
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-03	$0
2014 : ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$785
Total income from all sources	2014-12-31	$182,904
Expenses. Total of all expenses incurred	2014-12-31	$43,071
Benefits paid (including direct rollovers)	2014-12-31	$10,000
Total plan assets at end of year	2014-12-31	$2,815,614
Total plan assets at beginning of year	2014-12-31	$2,674,996
Value of fidelity bond covering the plan	2014-12-31	$250,000
Total contributions received or receivable from participants	2014-12-31	$27,900
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$131,296
Net income (gross income less expenses)	2014-12-31	$139,833
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,814,829
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,674,996
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$15,604
Total contributions received or receivable from employer(s)	2014-12-31	$23,708
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$33,071
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$427,033
Expenses. Total of all expenses incurred	2013-12-31	$76,020
Benefits paid (including direct rollovers)	2013-12-31	$52,489
Total plan assets at end of year	2013-12-31	$2,674,996
Total plan assets at beginning of year	2013-12-31	$2,323,983
Value of fidelity bond covering the plan	2013-12-31	$250,000
Total contributions received or receivable from participants	2013-12-31	$48,400
Other income received	2013-12-31	$350,723
Net income (gross income less expenses)	2013-12-31	$351,013
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$2,674,996
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,323,983
Assets. Value of participant loans	2013-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$42,904
Total contributions received or receivable from employer(s)	2013-12-31	$27,910
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$23,531
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$262,459
Expenses. Total of all expenses incurred	2012-12-31	$223,962
Benefits paid (including direct rollovers)	2012-12-31	$201,651
Total plan assets at end of year	2012-12-31	$2,323,983
Total plan assets at beginning of year	2012-12-31	$2,285,486
Value of fidelity bond covering the plan	2012-12-31	$250,000
Total contributions received or receivable from participants	2012-12-31	$47,400
Other income received	2012-12-31	$190,059
Net income (gross income less expenses)	2012-12-31	$38,497
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,323,983
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,285,486
Assets. Value of participant loans	2012-12-31	$1,432
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$104,633
Total contributions received or receivable from employer(s)	2012-12-31	$25,000
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$22,311
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$1,200,856
Expenses. Total of all expenses incurred	2011-12-31	$108,871
Benefits paid (including direct rollovers)	2011-12-31	$93,397
Total plan assets at end of year	2011-12-31	$2,285,486
Total plan assets at beginning of year	2011-12-31	$1,193,501
Value of fidelity bond covering the plan	2011-12-31	$250,000
Total contributions received or receivable from participants	2011-12-31	$46,500
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$1,126,613
Other income received	2011-12-31	$5,321
Net income (gross income less expenses)	2011-12-31	$1,091,985
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,285,486
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,193,501
Assets. Value of participant loans	2011-12-31	$3,807
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$97,509
Total contributions received or receivable from employer(s)	2011-12-31	$22,422
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$15,474
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$231,357
Expenses. Total of all expenses incurred	2010-12-31	$339,786
Benefits paid (including direct rollovers)	2010-12-31	$323,957
Total plan assets at end of year	2010-12-31	$1,193,501
Total plan assets at beginning of year	2010-12-31	$1,301,930
Value of fidelity bond covering the plan	2010-12-31	$250,000
Total contributions received or receivable from participants	2010-12-31	$87,780
Other income received	2010-12-31	$104,829
Net income (gross income less expenses)	2010-12-31	$-108,429
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,193,501
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,301,930
Assets. Value of participant loans	2010-12-31	$6,083
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$105,000
Total contributions received or receivable from employer(s)	2010-12-31	$38,748
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$15,829
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING 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 ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN

2015: ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ALTFELD & BATTAILE, P.C. 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: ALTFELD & BATTAILE, P.C. 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
2009: ALTFELD & BATTAILE, P.C. 401(K) PROFIT SHARING 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

ING USA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 80942 )
Policy contract number	C005583-SI
Policy instance	1
ING USA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 80942 )
Policy contract number	C005583-SI
Policy instance	1
ING USA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 80942 )
Policy contract number	C005583-SI
Policy instance	1

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Company Name:	ALTFELD & BATTAILE, P.C.
Employer identification number (EIN):	860255729
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers