401k Plan data: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST plan

ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 401k Plan overview

Plan Name	ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST
Plan identification number	002

ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily flat dollar (includes dollars per year of service) Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation). Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ALAN B. MONTGOMERY ORTHODONTICS, LTD. has sponsored the creation of one or more 401k plans.

Company Name: ALAN B. MONTGOMERY ORTHODONTICS, LTD.

Employer identification number (EIN): 411826139

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-01-01 DR. ALAN B. MONTGOMERY 2014-12-12
002 2013-01-01 ALAN B. MONTGOMERY, D.D.S., M.S.
002 2012-01-01 ALAN B. MONTGOMERY, D.D.S., M.S.
002 2011-01-01 ALAN B. MONTGOMERY, D.D.S., M.S.
002 2010-01-01 ALAN B. MONTGOMERY, D.D.S., M.S.
002 2009-01-01 ALAN B. MONTGOMERY
002 2009-01-01 ALAN B. MONTGOMERY, D.D.S., M.S.

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2014-01-01	DR. ALAN B. MONTGOMERY	2014-12-12
002	2013-01-01	ALAN B. MONTGOMERY, D.D.S., M.S.
002	2012-01-01	ALAN B. MONTGOMERY, D.D.S., M.S.
002	2011-01-01	ALAN B. MONTGOMERY, D.D.S., M.S.
002	2010-01-01	ALAN B. MONTGOMERY, D.D.S., M.S.
002	2009-01-01	ALAN B. MONTGOMERY
002	2009-01-01	ALAN B. MONTGOMERY, D.D.S., M.S.

Plan Statistics for ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST

401k plan membership statisitcs for ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST

Measure Date Value
2013: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 13
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 3
Total of all active and inactive participants 2013-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 16
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 0
Total of all active and inactive participants 2012-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 17
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
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 16
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 1
Total of all active and inactive participants 2010-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION 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 17
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 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	13
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	3
Total of all active and inactive participants	2013-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	16
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	0
Total of all active and inactive participants	2012-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	17
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
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	16
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	1
Total of all active and inactive participants	2010-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION 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	17
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	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST

Measure	Date	Value
2013 : ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2013 401k financial data
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	$358
Expenses. Total of all expenses incurred	2013-12-31	$0
Benefits paid (including direct rollovers)	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$1,950,586
Total plan assets at beginning of year	2013-12-31	$1,950,228
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$0
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	$358
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$358
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,950,586
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,950,228
Total contributions received or receivable from employer(s)	2013-12-31	$0
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	$0
2012 : ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION 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	$207,280
Expenses. Total of all expenses incurred	2012-12-31	$8,468
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$1,950,228
Total plan assets at beginning of year	2012-12-31	$1,751,416
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$0
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	$107,280
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$198,812
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,950,228
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,751,416
Total contributions received or receivable from employer(s)	2012-12-31	$100,000
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	$8,468
2011 : ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
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	$248,309
Expenses. Total of all expenses incurred	2011-12-31	$17,803
Benefits paid (including direct rollovers)	2011-12-31	$1,519
Total plan assets at end of year	2011-12-31	$1,751,416
Total plan assets at beginning of year	2011-12-31	$1,520,910
Value of fidelity bond covering the plan	2011-12-31	$600,000
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	$28,309
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$230,506
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,751,416
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,520,910
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$85,811
Total contributions received or receivable from employer(s)	2011-12-31	$220,000
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	$16,284
2010 : ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$262,181
Expenses. Total of all expenses incurred	2010-12-31	$12,603
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,520,910
Total plan assets at beginning of year	2010-12-31	$1,271,332
Value of fidelity bond covering the plan	2010-12-31	$600,000
Total contributions received or receivable from participants	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$88,340
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$249,578
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,520,910
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,271,332
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$84,437
Total contributions received or receivable from employer(s)	2010-12-31	$173,841
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$12,603

Form 5500 Responses for ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST

2013: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION 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: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION 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: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION 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
2010: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION PLAN & TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ALAN B. MONTGOMERY ORTHODONTICS, LTD. DEFINED BENEFIT PENSION 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:	ALAN B. MONTGOMERY ORTHODONTICS, LTD.
Employer identification number (EIN):	411826139
NAIC Classification:	621210
NAIC Description:	Offices of Dentists