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

KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN
Plan identification number	001

KAISER & CAROLIN, 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.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

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

Company Name: KAISER & CAROLIN, P.C.

Employer identification number (EIN): 200426688

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KAISER & CAROLIN, 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
001 2015-01-01 KATHLEEN CAROLIN 2016-05-23
001 2014-01-01 KATHLEEN CAROLIN 2015-10-05
001 2013-01-01 KATHLEEN CAROLIN 2014-10-14
001 2012-01-01 KATHLEEN CAROLIN 2014-10-14
001 2011-01-01 MICHAEL KAISER 2012-10-08
001 2010-01-01 MICHAEL KAISER 2011-10-14
001 2008-01-01 MICHAEL KAISER
001 2007-01-01 MICHAEL KAISER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01	KATHLEEN CAROLIN	2016-05-23
001	2014-01-01	KATHLEEN CAROLIN	2015-10-05
001	2013-01-01	KATHLEEN CAROLIN	2014-10-14
001	2012-01-01	KATHLEEN CAROLIN	2014-10-14
001	2011-01-01	MICHAEL KAISER	2012-10-08
001	2010-01-01	MICHAEL KAISER	2011-10-14
001	2008-01-01	MICHAEL KAISER
001	2007-01-01	MICHAEL KAISER

Plan Statistics for KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2008: KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year 2008-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 3
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 0
Total of all active and inactive participants 2008-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 3
Number of participants with account balances 2008-01-01 3
2007: KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year 2007-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 3
Number of retired or separated participants receiving benefits 2007-01-01 0
Number of other retired or separated participants entitled to future benefits 2007-01-01 0
Total of all active and inactive participants 2007-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 3
Number of participants with account balances 2007-01-01 0

Measure	Date	Value
2008: KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year	2008-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	3
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	0
Total of all active and inactive participants	2008-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	3
Number of participants with account balances	2008-01-01	3
2007: KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year	2007-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	3
Number of retired or separated participants receiving benefits	2007-01-01	0
Number of other retired or separated participants entitled to future benefits	2007-01-01	0
Total of all active and inactive participants	2007-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	3
Number of participants with account balances	2007-01-01	0

Financial Data on KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2008 : KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING 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	$26,703
Expenses. Total of all expenses incurred	2008-12-31	$0
Benefits paid (including direct rollovers)	2008-12-31	$0
Total plan assets at end of year	2008-12-31	$26,703
Total plan assets at beginning of year	2008-12-31	$0
Total contributions received or receivable from participants	2008-12-31	$30,850
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	$-9,147
Noncash contributions received	2008-12-31	$0
Net income (gross income less expenses)	2008-12-31	$26,703
Net plan assets at end of year (total assets less liabilities)	2008-12-31	$26,703
Net plan assets at beginning of year (total assets less liabilities)	2008-12-31	$0
Total contributions received or receivable from employer(s)	2008-12-31	$5,000
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
2007 : KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 2007 401k financial data
Transfers to/from the plan	2007-12-31	$0
Total plan liabilities at end of year	2007-12-31	$0
Total plan liabilities at beginning of year	2007-12-31	$0
Total income from all sources	2007-12-31	$0
Expenses. Total of all expenses incurred	2007-12-31	$0
Benefits paid (including direct rollovers)	2007-12-31	$0
Total plan assets at end of year	2007-12-31	$0
Total plan assets at beginning of year	2007-12-31	$0
Total contributions received or receivable from participants	2007-12-31	$0
Expenses. Other expenses not covered elsewhere	2007-12-31	$0
Contributions received from other sources (not participants or employers)	2007-12-31	$0
Other income received	2007-12-31	$0
Noncash contributions received	2007-12-31	$0
Net income (gross income less expenses)	2007-12-31	$0
Net plan assets at end of year (total assets less liabilities)	2007-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2007-12-31	$0
Total contributions received or receivable from employer(s)	2007-12-31	$0
Value of certain deemed distributions of participant loans	2007-12-31	$0
Value of corrective distributions	2007-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2007-12-31	$0

Form 5500 Responses for KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN

2008: KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	No
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes
2007: KAISER & CAROLIN, P.C. 401(K) PROFIT SHARING PLAN 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	First time form 5500 has been submitted	Yes
2007-01-01	Submission has been amended	No
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	KAISER & CAROLIN, P.C.
Employer identification number (EIN):	200426688
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants