401k Plan data: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN plan

JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 401k Plan overview

Plan Name	JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN
Plan identification number	001

JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Profit-sharing Plan covering Self-Employed individuals. 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

JAMES R. SPEARS, O.D., L.L.C. has sponsored the creation of one or more 401k plans.

Company Name: JAMES R. SPEARS, O.D., L.L.C.

Employer identification number (EIN): 382323712

NAIC Classification: 621320
NAIC Description: Offices of Optometrists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01
001 2013-01-01
001 2012-01-01 JAMES R. SPEARS JAMES R. SPEARS 2013-06-07
001 2011-01-01 JAMES R. SPEARS JAMES R. SPEARS 2012-07-13
001 2009-01-01 JAMES R. SPEARS JAMES R. SPEARS 2010-09-24

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01
001	2013-01-01
001	2012-01-01	JAMES R. SPEARS	JAMES R. SPEARS	2013-06-07
001	2011-01-01	JAMES R. SPEARS	JAMES R. SPEARS	2012-07-13
001	2009-01-01	JAMES R. SPEARS	JAMES R. SPEARS	2010-09-24

Plan Statistics for JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN

401k plan membership statisitcs for JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN

Measure Date Value
2014: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 7
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 7
Number of participants with account balances 2014-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 6
Number of retired or separated participants receiving benefits 2013-01-01 0
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 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 6
Number of participants with account balances 2013-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 6
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 0
Total of all active and inactive participants 2012-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 6
Number of participants with account balances 2012-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 5
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 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 6
Number of participants with account balances 2011-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 5
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 0
Total of all active and inactive participants 2009-01-01 5
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
2014: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	7
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	7
Number of participants with account balances	2014-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	6
Number of retired or separated participants receiving benefits	2013-01-01	0
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	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	6
Number of participants with account balances	2013-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	6
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	0
Total of all active and inactive participants	2012-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	6
Number of participants with account balances	2012-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	5
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	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	6
Number of participants with account balances	2011-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	5
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	0
Total of all active and inactive participants	2009-01-01	5
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 JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN

Measure	Date	Value
2014 : JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$184,412
Expenses. Total of all expenses incurred	2014-12-31	$16,856
Total plan assets at end of year	2014-12-31	$2,316,892
Total plan assets at beginning of year	2014-12-31	$2,149,336
Value of fidelity bond covering the plan	2014-12-31	$200,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$16,856
Other income received	2014-12-31	$74,182
Net income (gross income less expenses)	2014-12-31	$167,556
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,316,892
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,149,336
Assets. Value of participant loans	2014-12-31	$0
Total contributions received or receivable from employer(s)	2014-12-31	$110,230
2013 : JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$428,256
Expenses. Total of all expenses incurred	2013-12-31	$24,320
Benefits paid (including direct rollovers)	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$2,149,336
Total plan assets at beginning of year	2013-12-31	$1,745,400
Value of fidelity bond covering the plan	2013-12-31	$200,000
Other income received	2013-12-31	$326,777
Net income (gross income less expenses)	2013-12-31	$403,936
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$2,149,336
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,745,400
Assets. Value of participant loans	2013-12-31	$2,078
Total contributions received or receivable from employer(s)	2013-12-31	$101,479
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$24,320
2012 : JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$287,223
Expenses. Total of all expenses incurred	2012-12-31	$131,851
Benefits paid (including direct rollovers)	2012-12-31	$131,851
Total plan assets at end of year	2012-12-31	$1,745,400
Total plan assets at beginning of year	2012-12-31	$1,590,028
Value of fidelity bond covering the plan	2012-12-31	$75,000
Other income received	2012-12-31	$194,699
Net income (gross income less expenses)	2012-12-31	$155,372
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,745,400
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,590,028
Assets. Value of participant loans	2012-12-31	$6,846
Total contributions received or receivable from employer(s)	2012-12-31	$92,524
2011 : JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$-11,942
Expenses. Total of all expenses incurred	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$1,590,028
Total plan assets at beginning of year	2011-12-31	$1,601,970
Value of fidelity bond covering the plan	2011-12-31	$75,000
Other income received	2011-12-31	$-101,213
Net income (gross income less expenses)	2011-12-31	$-11,942
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,590,028
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,601,970
Assets. Value of participant loans	2011-12-31	$0
Total contributions received or receivable from employer(s)	2011-12-31	$89,271
2010 : JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$295,237
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,601,970
Total plan assets at beginning of year	2010-12-31	$1,306,733
Value of fidelity bond covering the plan	2010-12-31	$75,000
Other income received	2010-12-31	$199,251
Net income (gross income less expenses)	2010-12-31	$295,237
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,601,970
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,306,733
Assets. Value of participant loans	2010-12-31	$985
Total contributions received or receivable from employer(s)	2010-12-31	$95,986

Form 5500 Responses for JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN

2014: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: JAMES R. SPEARS, O.D., L.L.C. PROFIT SHARING PLAN 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: JAMES R. SPEARS, O.D., L.L.C. 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: JAMES R. SPEARS, O.D., L.L.C. 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: JAMES R. SPEARS, O.D., L.L.C. 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:	JAMES R. SPEARS, O.D., L.L.C.
Employer identification number (EIN):	382323712
NAIC Classification:	621320
NAIC Description:	Offices of Optometrists