401k Plan data: DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN plan

DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

DANIEL A. PAUL, O.D., INC. 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.
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.
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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

DANIEL A. PAUL, O.D., INC. has sponsored the creation of one or more 401k plans.

Company Name: DANIEL A. PAUL, O.D., INC.

Employer identification number (EIN): 330467592

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 DANIEL A. PAUL 2020-10-05
001 2019-01-01 DANIEL A. PAUL 2020-10-01
001 2018-01-01 DANIEL A. PAUL 2019-08-11
001 2017-01-01 DANIEL A. PAUL 2018-08-17
001 2016-01-01 DANIEL A. PAUL 2017-10-03
001 2015-01-01 DANIEL A. PAUL 2016-09-06
001 2014-01-01 DANIEL A. PAUL 2015-09-14
001 2013-01-01 DANIEL A. PAUL 2014-09-29
001 2012-01-01 DANIEL PAUL DANIEL PAUL 2013-02-26
001 2011-01-01 DANIEL PAUL DANIEL PAUL 2012-04-26
001 2009-01-01 DANIEL AUSTIN PAUL DANIEL AUSTIN PAUL 2010-06-28

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	DANIEL A. PAUL	2020-10-05
001	2019-01-01	DANIEL A. PAUL	2020-10-01
001	2018-01-01	DANIEL A. PAUL	2019-08-11
001	2017-01-01	DANIEL A. PAUL	2018-08-17
001	2016-01-01	DANIEL A. PAUL	2017-10-03
001	2015-01-01	DANIEL A. PAUL	2016-09-06
001	2014-01-01	DANIEL A. PAUL	2015-09-14
001	2013-01-01	DANIEL A. PAUL	2014-09-29
001	2012-01-01	DANIEL PAUL		DANIEL PAUL	2013-02-26
001	2011-01-01	DANIEL PAUL		DANIEL PAUL	2012-04-26
001	2009-01-01	DANIEL AUSTIN PAUL		DANIEL AUSTIN PAUL	2010-06-28

Plan Statistics for DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 4
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 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 5
Number of participants with account balances 2012-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 4
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 1
Total of all active and inactive participants 2011-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 5
Number of participants with account balances 2011-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 4
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 1
Total of all active and inactive participants 2009-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 5
Number of participants with account balances 2009-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	4
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	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	5
Number of participants with account balances	2012-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	4
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	1
Total of all active and inactive participants	2011-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	5
Number of participants with account balances	2011-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	4
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	1
Total of all active and inactive participants	2009-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	5
Number of participants with account balances	2009-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$58,788
Expenses. Total of all expenses incurred	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$632,438
Total plan assets at beginning of year	2012-12-31	$573,650
Value of fidelity bond covering the plan	2012-12-31	$50,000
Total contributions received or receivable from participants	2012-12-31	$27,700
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	$20,549
Net income (gross income less expenses)	2012-12-31	$58,788
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$632,438
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$573,650
Total contributions received or receivable from employer(s)	2012-12-31	$10,539
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
2011 : DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$-5,350
Expenses. Total of all expenses incurred	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$573,650
Total plan assets at beginning of year	2011-12-31	$579,000
Value of fidelity bond covering the plan	2011-12-31	$50,000
Total contributions received or receivable from participants	2011-12-31	$5,200
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-10,550
Net income (gross income less expenses)	2011-12-31	$-5,350
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$573,650
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$579,000
Total contributions received or receivable from employer(s)	2011-12-31	$0
2010 : DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$38,081
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$579,000
Total plan assets at beginning of year	2010-12-31	$540,919
Value of fidelity bond covering the plan	2010-12-31	$50,000
Total contributions received or receivable from participants	2010-12-31	$5,200
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$32,881
Net income (gross income less expenses)	2010-12-31	$38,081
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$579,000
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$540,919
Assets. Value of participant loans	2010-12-31	$405
Total contributions received or receivable from employer(s)	2010-12-31	$0

Form 5500 Responses for DANIEL A. PAUL, O.D., INC. 401(K) PROFIT SHARING PLAN

2012: DANIEL A. PAUL, O.D., INC. 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DANIEL A. PAUL, O.D., INC. 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: DANIEL A. PAUL, O.D., INC. 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DANIEL A. PAUL, O.D., INC.
Employer identification number (EIN):	330467592
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)