401k Plan data: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN plan

THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN
Plan identification number	001

THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) 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
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
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.
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

THOMAS C. ROBERTS, JR., D.M.D., P.C. has sponsored the creation of one or more 401k plans.

Company Name: THOMAS C. ROBERTS, JR., D.M.D., P.C.

Employer identification number (EIN): 541569151

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) 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 THOMAS C. ROBERTS, JR.
001 2013-01-01 THOMAS C. ROBERTS, JR.
001 2012-01-01 THOMAS C. ROBERTS, JR.
001 2011-01-01 THOMAS C. ROBERTS JR.
001 2009-01-01 THOMAS C. ROBERTS JR.

Plan id#	Filing Submission Date	Name of Administrator
001	2014-01-01	THOMAS C. ROBERTS, JR.
001	2013-01-01	THOMAS C. ROBERTS, JR.
001	2012-01-01	THOMAS C. ROBERTS, JR.
001	2011-01-01	THOMAS C. ROBERTS JR.
001	2009-01-01	THOMAS C. ROBERTS JR.

Plan Statistics for THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2
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 2
Total of all active and inactive participants 2013-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 4
Number of participants with account balances 2013-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 17
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 3
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 1
2011: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 14
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 2
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
Number of participants with account balances 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
2009: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 11
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 3
Total of all active and inactive participants 2009-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 14
Number of participants with account balances 2009-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2014: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2
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	2
Total of all active and inactive participants	2013-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	4
Number of participants with account balances	2013-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	17
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	3
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	1
2011: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	14
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	2
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
Number of participants with account balances	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
2009: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	11
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	3
Total of all active and inactive participants	2009-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	14
Number of participants with account balances	2009-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-07-31	$128,114
Expenses. Total of all expenses incurred	2014-07-31	$1,720,526
Benefits paid (including direct rollovers)	2014-07-31	$1,720,526
Total plan assets at end of year	2014-07-31	$0
Total plan assets at beginning of year	2014-07-31	$1,592,412
Value of fidelity bond covering the plan	2014-07-31	$100,000
Other income received	2014-07-31	$128,114
Net income (gross income less expenses)	2014-07-31	$-1,592,412
Net plan assets at end of year (total assets less liabilities)	2014-07-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-07-31	$1,592,412
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-07-31	$0
2013 : THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$212,571
Expenses. Total of all expenses incurred	2013-12-31	$255
Benefits paid (including direct rollovers)	2013-12-31	$205
Total plan assets at end of year	2013-12-31	$1,592,412
Total plan assets at beginning of year	2013-12-31	$1,380,096
Value of fidelity bond covering the plan	2013-12-31	$100,000
Other income received	2013-12-31	$209,893
Net income (gross income less expenses)	2013-12-31	$212,316
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,592,412
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,380,096
Total contributions received or receivable from employer(s)	2013-12-31	$2,678
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$50
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$247,291
Expenses. Total of all expenses incurred	2012-12-31	$734,302
Benefits paid (including direct rollovers)	2012-12-31	$734,252
Total plan assets at end of year	2012-12-31	$1,380,096
Total plan assets at beginning of year	2012-12-31	$1,867,107
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$93,635
Other income received	2012-12-31	$124,887
Net income (gross income less expenses)	2012-12-31	$-487,011
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,380,096
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,867,107
Total contributions received or receivable from employer(s)	2012-12-31	$28,769
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$50
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 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	$179,403
Expenses. Total of all expenses incurred	2011-12-31	$50
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$1,867,107
Total plan assets at beginning of year	2011-12-31	$1,687,754
Value of fidelity bond covering the plan	2011-12-31	$100,000
Total contributions received or receivable from participants	2011-12-31	$98,282
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	$23,159
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$179,353
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,867,107
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,687,754
Total contributions received or receivable from employer(s)	2011-12-31	$57,962
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	$50
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 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	$336,159
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,687,754
Total plan assets at beginning of year	2010-12-31	$1,351,595
Value of fidelity bond covering the plan	2010-12-31	$100,000
Total contributions received or receivable from participants	2010-12-31	$69,171
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$210,369
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$336,159
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,687,754
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,351,595
Total contributions received or receivable from employer(s)	2010-12-31	$56,619
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	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) PROFIT SHARING PLAN

2014: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) 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	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: THOMAS C. ROBERTS, JR., D.M.D., P.C. 401(K) 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: THOMAS C. ROBERTS, JR., D.M.D., P.C. 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: THOMAS C. ROBERTS, JR., D.M.D., P.C. 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: THOMAS C. ROBERTS, JR., D.M.D., P.C. 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:	THOMAS C. ROBERTS, JR., D.M.D., P.C.
Employer identification number (EIN):	541569151
NAIC Classification:	621210
NAIC Description:	Offices of Dentists