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S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 401k Plan overview

Plan NameS.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN
Plan identification number 003

S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily pay related
  • 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

STEVEN J. SMITH, D.D.S., P.C. has sponsored the creation of one or more 401k plans.

Company Name:STEVEN J. SMITH, D.D.S., P.C.
Employer identification number (EIN):870342782
NAIC Classification:621210
NAIC Description:Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032015-10-01STEVEN J. SMITH2017-03-27
0032014-10-01STEVEN J. SMITH
0032013-10-01STEVEN J. SMITH
0032012-10-01STEVEN J. SMITH
0032011-10-01STEVEN J. SMITH
0032010-10-01STEVEN J. SMITH
0032009-10-01STEVEN J. SMITH
0032008-10-01

Plan Statistics for S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN

401k plan membership statisitcs for S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN

Measure Date Value
2014: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2014 401k membership
Total participants, beginning-of-year2014-10-017
Total number of active participants reported on line 7a of the Form 55002014-10-0110
Number of retired or separated participants receiving benefits2014-10-010
Number of other retired or separated participants entitled to future benefits2014-10-010
Total of all active and inactive participants2014-10-0110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-10-010
Total participants2014-10-0110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-10-010
2013: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2013 401k membership
Total participants, beginning-of-year2013-10-017
Total number of active participants reported on line 7a of the Form 55002013-10-017
Number of retired or separated participants receiving benefits2013-10-010
Number of other retired or separated participants entitled to future benefits2013-10-010
Total of all active and inactive participants2013-10-017
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-10-010
Total participants2013-10-017
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-10-010
2012: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2012 401k membership
Total participants, beginning-of-year2012-10-015
Total number of active participants reported on line 7a of the Form 55002012-10-017
Number of retired or separated participants receiving benefits2012-10-010
Number of other retired or separated participants entitled to future benefits2012-10-010
Total of all active and inactive participants2012-10-017
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-10-010
Total participants2012-10-017
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-10-010
2011: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2011 401k membership
Total participants, beginning-of-year2011-10-015
Total number of active participants reported on line 7a of the Form 55002011-10-015
Number of retired or separated participants receiving benefits2011-10-010
Number of other retired or separated participants entitled to future benefits2011-10-010
Total of all active and inactive participants2011-10-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-10-010
Total participants2011-10-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-10-010
2010: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2010 401k membership
Total participants, beginning-of-year2010-10-018
Total number of active participants reported on line 7a of the Form 55002010-10-015
Number of retired or separated participants receiving benefits2010-10-010
Number of other retired or separated participants entitled to future benefits2010-10-010
Total of all active and inactive participants2010-10-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-10-010
Total participants2010-10-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-10-010
2009: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2009 401k membership
Total participants, beginning-of-year2009-10-017
Total number of active participants reported on line 7a of the Form 55002009-10-015
Number of retired or separated participants receiving benefits2009-10-010
Number of other retired or separated participants entitled to future benefits2009-10-013
Total of all active and inactive participants2009-10-018
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-10-010
Total participants2009-10-018
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-10-010

Financial Data on S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN

Measure Date Value
2015 : S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2015 401k financial data
Transfers to/from the plan2015-09-30$0
Total plan liabilities at end of year2015-09-30$0
Total plan liabilities at beginning of year2015-09-30$0
Total income from all sources2015-09-30$248,335
Expenses. Total of all expenses incurred2015-09-30$0
Benefits paid (including direct rollovers)2015-09-30$0
Total plan assets at end of year2015-09-30$1,868,871
Total plan assets at beginning of year2015-09-30$1,620,536
Value of fidelity bond covering the plan2015-09-30$60,000
Total contributions received or receivable from participants2015-09-30$0
Expenses. Other expenses not covered elsewhere2015-09-30$0
Contributions received from other sources (not participants or employers)2015-09-30$0
Other income received2015-09-30$-5,811
Noncash contributions received2015-09-30$0
Net income (gross income less expenses)2015-09-30$248,335
Net plan assets at end of year (total assets less liabilities)2015-09-30$1,868,871
Net plan assets at beginning of year (total assets less liabilities)2015-09-30$1,620,536
Total contributions received or receivable from employer(s)2015-09-30$254,146
Value of certain deemed distributions of participant loans2015-09-30$0
Value of corrective distributions2015-09-30$0
Expenses. Administrative service providers (salaries,fees and commissions)2015-09-30$0
2014 : S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2014 401k financial data
Transfers to/from the plan2014-09-30$0
Total plan liabilities at end of year2014-09-30$0
Total plan liabilities at beginning of year2014-09-30$0
Total income from all sources2014-09-30$113,113
Expenses. Total of all expenses incurred2014-09-30$0
Benefits paid (including direct rollovers)2014-09-30$0
Total plan assets at end of year2014-09-30$1,620,536
Total plan assets at beginning of year2014-09-30$1,507,423
Value of fidelity bond covering the plan2014-09-30$60,000
Total contributions received or receivable from participants2014-09-30$0
Expenses. Other expenses not covered elsewhere2014-09-30$0
Contributions received from other sources (not participants or employers)2014-09-30$0
Other income received2014-09-30$-90,557
Noncash contributions received2014-09-30$0
Net income (gross income less expenses)2014-09-30$113,113
Net plan assets at end of year (total assets less liabilities)2014-09-30$1,620,536
Net plan assets at beginning of year (total assets less liabilities)2014-09-30$1,507,423
Total contributions received or receivable from employer(s)2014-09-30$203,670
Value of certain deemed distributions of participant loans2014-09-30$0
Value of corrective distributions2014-09-30$0
Expenses. Administrative service providers (salaries,fees and commissions)2014-09-30$0
2013 : S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2013 401k financial data
Transfers to/from the plan2013-09-30$0
Total plan liabilities at end of year2013-09-30$0
Total plan liabilities at beginning of year2013-09-30$0
Total income from all sources2013-09-30$352,743
Expenses. Total of all expenses incurred2013-09-30$0
Benefits paid (including direct rollovers)2013-09-30$0
Total plan assets at end of year2013-09-30$1,507,423
Total plan assets at beginning of year2013-09-30$1,154,680
Value of fidelity bond covering the plan2013-09-30$60,000
Total contributions received or receivable from participants2013-09-30$0
Expenses. Other expenses not covered elsewhere2013-09-30$0
Contributions received from other sources (not participants or employers)2013-09-30$0
Other income received2013-09-30$142,743
Noncash contributions received2013-09-30$0
Net income (gross income less expenses)2013-09-30$352,743
Net plan assets at end of year (total assets less liabilities)2013-09-30$1,507,423
Net plan assets at beginning of year (total assets less liabilities)2013-09-30$1,154,680
Total contributions received or receivable from employer(s)2013-09-30$210,000
Value of certain deemed distributions of participant loans2013-09-30$0
Value of corrective distributions2013-09-30$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-09-30$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-09-30$0
2012 : S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2012 401k financial data
Transfers to/from the plan2012-09-30$0
Total plan liabilities at end of year2012-09-30$0
Total plan liabilities at beginning of year2012-09-30$0
Total income from all sources2012-09-30$302,017
Expenses. Total of all expenses incurred2012-09-30$18,554
Benefits paid (including direct rollovers)2012-09-30$18,554
Total plan assets at end of year2012-09-30$1,154,680
Total plan assets at beginning of year2012-09-30$871,217
Total contributions received or receivable from participants2012-09-30$0
Expenses. Other expenses not covered elsewhere2012-09-30$0
Contributions received from other sources (not participants or employers)2012-09-30$0
Other income received2012-09-30$84,743
Noncash contributions received2012-09-30$0
Net income (gross income less expenses)2012-09-30$283,463
Net plan assets at end of year (total assets less liabilities)2012-09-30$1,154,680
Net plan assets at beginning of year (total assets less liabilities)2012-09-30$871,217
Total contributions received or receivable from employer(s)2012-09-30$217,274
Value of certain deemed distributions of participant loans2012-09-30$0
Value of corrective distributions2012-09-30$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-09-30$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-09-30$0
2011 : S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2011 401k financial data
Transfers to/from the plan2011-09-30$0
Total plan liabilities at end of year2011-09-30$0
Total plan liabilities at beginning of year2011-09-30$0
Total income from all sources2011-09-30$227,313
Expenses. Total of all expenses incurred2011-09-30$125
Benefits paid (including direct rollovers)2011-09-30$125
Total plan assets at end of year2011-09-30$871,217
Total plan assets at beginning of year2011-09-30$644,029
Total contributions received or receivable from participants2011-09-30$0
Expenses. Other expenses not covered elsewhere2011-09-30$0
Contributions received from other sources (not participants or employers)2011-09-30$0
Other income received2011-09-30$-9,696
Noncash contributions received2011-09-30$0
Net income (gross income less expenses)2011-09-30$227,188
Net plan assets at end of year (total assets less liabilities)2011-09-30$871,217
Net plan assets at beginning of year (total assets less liabilities)2011-09-30$644,029
Total contributions received or receivable from employer(s)2011-09-30$237,009
Value of certain deemed distributions of participant loans2011-09-30$0
Value of corrective distributions2011-09-30$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-09-30$0

Form 5500 Responses for S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN

2014: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2014 form 5500 responses
2014-10-01Type of plan entitySingle employer plan
2014-10-01Plan funding arrangement – TrustYes
2014-10-01Plan benefit arrangement - TrustYes
2013: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2013 form 5500 responses
2013-10-01Type of plan entitySingle employer plan
2013-10-01Plan funding arrangement – TrustYes
2013-10-01Plan benefit arrangement - TrustYes
2012: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2012 form 5500 responses
2012-10-01Type of plan entitySingle employer plan
2012-10-01Plan funding arrangement – TrustYes
2012-10-01Plan benefit arrangement - TrustYes
2011: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2011 form 5500 responses
2011-10-01Type of plan entitySingle employer plan
2011-10-01Plan funding arrangement – TrustYes
2011-10-01Plan benefit arrangement - TrustYes
2010: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2010 form 5500 responses
2010-10-01Type of plan entitySingle employer plan
2010-10-01Plan funding arrangement – InsuranceYes
2010-10-01Plan funding arrangement – TrustYes
2010-10-01Plan benefit arrangement – InsuranceYes
2010-10-01Plan benefit arrangement - TrustYes
2009: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2009 form 5500 responses
2009-10-01Type of plan entitySingle employer plan
2009-10-01Plan funding arrangement – TrustYes
2009-10-01Plan benefit arrangement - TrustYes
2008: S.J.S., D.D.S., P.C. DEFINED BENEFIT PLAN 2008 form 5500 responses
2008-10-01Type of plan entitySingle employer plan
2008-10-01Submission has been amendedNo
2008-10-01This submission is the final filingNo
2008-10-01This return/report is a short plan year return/report (less than 12 months)No
2008-10-01Plan is a collectively bargained planNo

Insurance Providers Used on plan

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberEO930388
Policy instance 1
Insurance contract or identification numberEO930388
Number of Individuals Covered10
Insurance policy start date2014-10-01
Insurance policy end date2015-09-30
Insurance broker nameKIMBALL DOXEY
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberEO930388
Policy instance 2
Insurance contract or identification numberEO930388
Number of Individuals Covered10
Insurance policy start date2014-10-01
Insurance policy end date2015-09-30
Insurance broker nameKIMBALL DOXEY
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberEO930388
Policy instance 1
Insurance contract or identification numberEO930388
Number of Individuals Covered7
Insurance policy start date2013-10-01
Insurance policy end date2014-09-30
Total amount of commissions paid to insurance brokerUSD $6,110
Commission paid to Insurance BrokerUSD $6,110
Insurance broker organization code?3
Insurance broker nameKIMBALL DOXEY
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberEO930388
Policy instance 2
Insurance contract or identification numberEO930388
Number of Individuals Covered7
Insurance policy start date2013-10-01
Insurance policy end date2014-09-30
Total amount of commissions paid to insurance brokerUSD $6,110
Commission paid to Insurance BrokerUSD $6,110
Insurance broker organization code?3
Insurance broker nameKIMBALL DOXEY
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberEO930388
Policy instance 1
Insurance contract or identification numberEO930388
Number of Individuals Covered5
Insurance policy start date2012-10-01
Insurance policy end date2013-09-30
Total amount of commissions paid to insurance brokerUSD $6,300
Commission paid to Insurance BrokerUSD $6,300
Insurance broker organization code?3
Insurance broker nameKIMBALL DOXEY
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberEO930388
Policy instance 1
Insurance contract or identification numberEO930388
Number of Individuals Covered5
Insurance policy start date2011-10-01
Insurance policy end date2012-09-30
Total amount of commissions paid to insurance brokerUSD $6,518
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberE0930388
Policy instance 1
Insurance contract or identification numberE0930388
Number of Individuals Covered4
Insurance policy start date2010-10-01
Insurance policy end date2011-09-30
Total amount of commissions paid to insurance brokerUSD $17,320

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