401k Plan data: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST plan

DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST
Plan identification number	004

DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND 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
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

DAVID M. BAUM, P.C. has sponsored the creation of one or more 401k plans.

Company Name: DAVID M. BAUM, P.C.

Employer identification number (EIN): 382533526

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2014-01-01 DAVID BAUM DAVID BAUM 2015-10-01
004 2013-01-01 DAVID BAUM DAVID BAUM 2014-10-07
004 2012-01-01 DAVID BAUM DAVID BAUM 2013-10-15
004 2011-01-01 DAVID M. BAUM 2012-07-30 DAVID M. BAUM 2012-07-30
004 2010-01-01 DAVID M. BAUM 2011-10-11 DAVID M. BAUM 2011-10-11
004 2007-01-01 DAVID BAUM DAVID BAUM 2010-12-17
004 2007-01-01 DAVID BAUM DAVID BAUM 2010-12-17
004 2007-01-01 DAVID BAUM DAVID BAUM 2010-12-17
004 2007-01-01 DAVID BAUM DAVID BAUM 2010-12-17

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
004	2014-01-01	DAVID BAUM		DAVID BAUM	2015-10-01
004	2013-01-01	DAVID BAUM		DAVID BAUM	2014-10-07
004	2012-01-01	DAVID BAUM		DAVID BAUM	2013-10-15
004	2011-01-01	DAVID M. BAUM	2012-07-30	DAVID M. BAUM	2012-07-30
004	2010-01-01	DAVID M. BAUM	2011-10-11	DAVID M. BAUM	2011-10-11
004	2007-01-01	DAVID BAUM		DAVID BAUM	2010-12-17
004	2007-01-01	DAVID BAUM		DAVID BAUM	2010-12-17
004	2007-01-01	DAVID BAUM		DAVID BAUM	2010-12-17
004	2007-01-01	DAVID BAUM		DAVID BAUM	2010-12-17

Plan Statistics for DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST

Measure Date Value
2014: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1
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 1
Total of all active and inactive participants 2014-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 2
Number of participants with account balances 2014-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2
Total of all active and inactive participants 2013-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 2
Number of participants with account balances 2013-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 2
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 0
Total of all active and inactive participants 2012-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 2
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
2007: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2007 401k membership
Total participants, beginning-of-year 2007-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 2
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 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 2
Number of participants with account balances 2007-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 0

Measure	Date	Value
2014: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1
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	1
Total of all active and inactive participants	2014-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	2
Number of participants with account balances	2014-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2
Total of all active and inactive participants	2013-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	2
Number of participants with account balances	2013-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	2
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	0
Total of all active and inactive participants	2012-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	2
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
2007: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2007 401k membership
Total participants, beginning-of-year	2007-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	2
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	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	2
Number of participants with account balances	2007-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	0

Financial Data on DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2014 : DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2014 401k financial data
Total income from all sources	2014-12-31	$9,415
Expenses. Total of all expenses incurred	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$313,896
Total plan assets at beginning of year	2014-12-31	$304,481
Value of fidelity bond covering the plan	2014-12-31	$50,000
Assets. Value of loans (other than to participants)	2014-12-31	$266,026
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Other income received	2014-12-31	$9,415
Net income (gross income less expenses)	2014-12-31	$9,415
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$313,896
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$304,481
Total contributions received or receivable from employer(s)	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
2013 : DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2013 401k financial data
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$9,968
Expenses. Total of all expenses incurred	2013-12-31	$682
Total plan assets at end of year	2013-12-31	$304,481
Total plan assets at beginning of year	2013-12-31	$295,195
Value of fidelity bond covering the plan	2013-12-31	$50,000
Assets. Value of loans (other than to participants)	2013-12-31	$240,584
Expenses. Other expenses not covered elsewhere	2013-12-31	$682
Other income received	2013-12-31	$9,968
Net income (gross income less expenses)	2013-12-31	$9,286
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$304,481
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$295,195
2012 : DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND 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	$22,426
Expenses. Total of all expenses incurred	2012-12-31	$698
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$295,195
Total plan assets at beginning of year	2012-12-31	$273,467
Value of fidelity bond covering the plan	2012-12-31	$255,000
Total contributions received or receivable from participants	2012-12-31	$0
Assets. Value of loans (other than to participants)	2012-12-31	$246,736
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	$22,426
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$21,728
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$295,195
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$273,467
Total contributions received or receivable from employer(s)	2012-12-31	$0
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	$698

Form 5500 Responses for DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST

2014: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 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: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND 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: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND 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
2007: DAVID M. BAUM, P.C. PROFIT SHARING PLAN AND TRUST 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
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:	DAVID M. BAUM, P.C.
Employer identification number (EIN):	382533526
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers