401k Plan data: RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN plan

RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 401k Plan overview

Plan Name	RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN
Plan identification number	002

RONALD G. PESTINE & ASSOCIATES 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
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

RONALD G. PESTINE & ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name: RONALD G. PESTINE & ASSOCIATES

Employer identification number (EIN): 363004380

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 RONALD PESTINE 2014-05-28 RONALD PESTINE 2014-05-28
002 2012-01-01 RONALD PESTINE RONALD PESTINE 2013-10-14
002 2011-01-01 RONALD PESTINE RONALD PESTINE 2012-10-03
002 2009-01-01 RONALD PESTINE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2013-01-01	RONALD PESTINE	2014-05-28	RONALD PESTINE	2014-05-28
002	2012-01-01	RONALD PESTINE		RONALD PESTINE	2013-10-14
002	2011-01-01	RONALD PESTINE		RONALD PESTINE	2012-10-03
002	2009-01-01	RONALD PESTINE

Plan Statistics for RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN

401k plan membership statisitcs for RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN

Measure Date Value
2012: RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2
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 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 3
Number of participants with account balances 2012-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
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 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 3
Number of participants with account balances 2011-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 3
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 4
Number of participants with account balances 2009-01-01 3
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: RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2
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	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	3
Number of participants with account balances	2012-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
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	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	3
Number of participants with account balances	2011-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	3
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	4
Number of participants with account balances	2009-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN

Measure	Date	Value
2012 : RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$-8,342
Expenses. Total of all expenses incurred	2012-12-31	$83,852
Benefits paid (including direct rollovers)	2012-12-31	$83,852
Total plan assets at end of year	2012-12-31	$4,080
Total plan assets at beginning of year	2012-12-31	$96,274
Assets. Value of tangible personal property	2012-12-31	$0
Total contributions received or receivable from participants	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$-8,342
Net income (gross income less expenses)	2012-12-31	$-92,194
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$4,080
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$96,274
Assets. Value of real-estate (other than employer real property)	2012-12-31	$0
Total contributions received or receivable from employer(s)	2012-12-31	$0
2011 : RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$4,846
Expenses. Total of all expenses incurred	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$96,274
Total plan assets at beginning of year	2011-12-31	$91,428
Assets. Value of tangible personal property	2011-12-31	$83,794
Total contributions received or receivable from participants	2011-12-31	$0
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	$4,846
Net income (gross income less expenses)	2011-12-31	$4,846
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$96,274
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$91,428
Assets. Value of real-estate (other than employer real property)	2011-12-31	$10,298
Total contributions received or receivable from employer(s)	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$4,248
Expenses. Total of all expenses incurred	2010-12-31	$100,000
Benefits paid (including direct rollovers)	2010-12-31	$50,000
Total plan assets at end of year	2010-12-31	$91,428
Total plan assets at beginning of year	2010-12-31	$187,180
Assets. Value of tangible personal property	2010-12-31	$77,504
Total contributions received or receivable from participants	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$4,248
Net income (gross income less expenses)	2010-12-31	$-95,752
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$91,428
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$187,180
Assets. Value of participant loans	2010-12-31	$0
Assets. Value of real-estate (other than employer real property)	2010-12-31	$10,763
Total contributions received or receivable from employer(s)	2010-12-31	$0
Value of certain deemed distributions of participant loans	2010-12-31	$50,000

Form 5500 Responses for RONALD G. PESTINE & ASSOCIATES PROFIT SHARING PLAN

2012: RONALD G. PESTINE & ASSOCIATES 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: RONALD G. PESTINE & ASSOCIATES 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: RONALD G. PESTINE & ASSOCIATES 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:	RONALD G. PESTINE & ASSOCIATES
Employer identification number (EIN):	363004380
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers