401k Plan data: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST plan

RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 401k Plan overview

Plan Name	RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST
Plan identification number	002

RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 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
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

RICHARD J. WOLTERMAN, D.M.D., INC. has sponsored the creation of one or more 401k plans.

Company Name: RICHARD J. WOLTERMAN, D.M.D., INC.

Employer identification number (EIN): 311020324

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01
002 2017-01-01
002 2016-01-01 RICHARD J. WOLTERMAN, D.M.D. 2017-09-05
002 2015-01-01 RICHARD J. WOLTERMAN, D.M.D. 2016-08-03
002 2014-01-01 RICHARD J. WOLTERMAN, D.M.D. 2015-10-04
002 2013-01-01 RICHARD J. WOLTERMAN, D.M.D.
002 2012-01-01 RICHARD J. WOLTERMAN, D.M.D.
002 2011-01-01 RICHARD J. WOLTERMAN, D.M.D.
002 2009-01-01 RICHARD J. WOLTERMAN RICHARD J. WOLTERMAN 2010-07-20

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2018-01-01
002	2017-01-01
002	2016-01-01	RICHARD J. WOLTERMAN, D.M.D.	2017-09-05
002	2015-01-01	RICHARD J. WOLTERMAN, D.M.D.	2016-08-03
002	2014-01-01	RICHARD J. WOLTERMAN, D.M.D.	2015-10-04
002	2013-01-01	RICHARD J. WOLTERMAN, D.M.D.
002	2012-01-01	RICHARD J. WOLTERMAN, D.M.D.
002	2011-01-01	RICHARD J. WOLTERMAN, D.M.D.
002	2009-01-01	RICHARD J. WOLTERMAN		RICHARD J. WOLTERMAN	2010-07-20

Plan Statistics for RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST

401k plan membership statisitcs for RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST

Measure Date Value
2013: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 15
Number of retired or separated participants receiving benefits 2013-01-01 2
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 17
Number of participants with account balances 2013-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 16
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 1
Total of all active and inactive participants 2012-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 17
Number of participants with account balances 2012-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 16
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 0
Total of all active and inactive participants 2011-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 16
Number of participants with account balances 2011-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 15
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 3
Total of all active and inactive participants 2009-01-01 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 18
Number of participants with account balances 2009-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	15
Number of retired or separated participants receiving benefits	2013-01-01	2
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	17
Number of participants with account balances	2013-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	16
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	1
Total of all active and inactive participants	2012-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	17
Number of participants with account balances	2012-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	16
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	0
Total of all active and inactive participants	2011-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	16
Number of participants with account balances	2011-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	15
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	3
Total of all active and inactive participants	2009-01-01	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	18
Number of participants with account balances	2009-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST

Measure	Date	Value
2013 : RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$623,057
Expenses. Total of all expenses incurred	2013-12-31	$47,833
Benefits paid (including direct rollovers)	2013-12-31	$20,714
Total plan assets at end of year	2013-12-31	$3,743,910
Total plan assets at beginning of year	2013-12-31	$3,168,686
Value of fidelity bond covering the plan	2013-12-31	$1,400,000
Total contributions received or receivable from participants	2013-12-31	$63,313
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$507,686
Net income (gross income less expenses)	2013-12-31	$575,224
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,743,910
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,168,686
Assets. Value of participant loans	2013-12-31	$40,002
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	2013-12-31	$712
Total contributions received or receivable from employer(s)	2013-12-31	$52,058
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$27,119
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$380,978
Expenses. Total of all expenses incurred	2012-12-31	$48,823
Benefits paid (including direct rollovers)	2012-12-31	$29,750
Total plan assets at end of year	2012-12-31	$3,168,686
Total plan assets at beginning of year	2012-12-31	$2,836,531
Value of fidelity bond covering the plan	2012-12-31	$1,400,000
Total contributions received or receivable from participants	2012-12-31	$64,174
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$266,532
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$332,155
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,168,686
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,836,531
Assets. Value of participant loans	2012-12-31	$53,172
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$1,192,121
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	$35,310
Total contributions received or receivable from employer(s)	2012-12-31	$50,272
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$19,073
2011 : RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$12,582
Expenses. Total of all expenses incurred	2011-12-31	$30,747
Benefits paid (including direct rollovers)	2011-12-31	$12,215
Total plan assets at end of year	2011-12-31	$2,836,531
Total plan assets at beginning of year	2011-12-31	$2,854,696
Value of fidelity bond covering the plan	2011-12-31	$1,400,000
Total contributions received or receivable from participants	2011-12-31	$51,167
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-88,666
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$-18,165
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,836,531
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,854,696
Assets. Value of participant loans	2011-12-31	$68,606
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$1,100,515
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	2011-12-31	$36,268
Total contributions received or receivable from employer(s)	2011-12-31	$50,081
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$18,532
2010 : RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$150
Total income from all sources	2010-12-31	$349,216
Expenses. Total of all expenses incurred	2010-12-31	$182,841
Benefits paid (including direct rollovers)	2010-12-31	$164,468
Total plan assets at end of year	2010-12-31	$2,854,696
Total plan assets at beginning of year	2010-12-31	$2,688,471
Value of fidelity bond covering the plan	2010-12-31	$400,000
Total contributions received or receivable from participants	2010-12-31	$19,759
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$264,905
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$166,375
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,854,696
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,688,321
Assets. Value of participant loans	2010-12-31	$24,652
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$1,080,841
Total contributions received or receivable from employer(s)	2010-12-31	$64,552
Value of certain deemed distributions of participant loans	2010-12-31	$3,629
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$14,744

Form 5500 Responses for RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST

2013: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 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: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 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: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 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
2009: RICHARD J. WOLTERMAN, D.M.D., INC. PROFIT SHARING SAVINGS PLAN & TRUST 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	RICHARD J. WOLTERMAN, D.M.D., INC.
Employer identification number (EIN):	311020324
NAIC Classification:	621210
NAIC Description:	Offices of Dentists