401k Plan data: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN plan

ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 401k Plan overview

Plan Name	ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN
Plan identification number	002

ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
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

ROBERT E. CATON, MD has sponsored the creation of one or more 401k plans.

Company Name: ROBERT E. CATON, MD

Employer identification number (EIN): 776203713

NAIC Classification: 621112
NAIC Description: Offices of Physicians, Mental Health Specialists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-01-01
002 2014-01-01
002 2013-01-01 MARTHA TALAMANTES

Plan Statistics for ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN

401k plan membership statisitcs for ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN

Measure Date Value
2015: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 4
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 1
Total of all active and inactive participants 2015-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 5
Number of participants with account balances 2015-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) 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 4
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 4
Number of participants with account balances 2014-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) 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 4
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 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

Measure	Date	Value
2015: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	4
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	1
Total of all active and inactive participants	2015-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	5
Number of participants with account balances	2015-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) 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	4
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	4
Number of participants with account balances	2014-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) 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	4
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	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

Financial Data on ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN

Measure	Date	Value
2015 : ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$-103,166
Expenses. Total of all expenses incurred	2015-12-31	$0
Benefits paid (including direct rollovers)	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$3,518,473
Total plan assets at beginning of year	2015-12-31	$3,621,639
Value of fidelity bond covering the plan	2015-12-31	$370,000
Assets. Value of tangible personal property	2015-12-31	$226,397
Total contributions received or receivable from participants	2015-12-31	$0
Assets. Value of loans (other than to participants)	2015-12-31	$200,000
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$-103,166
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$-103,166
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$3,518,473
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$3,621,639
Assets. Value of real-estate (other than employer real property)	2015-12-31	$327,034
Total contributions received or receivable from employer(s)	2015-12-31	$0
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$0
2014 : ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$-307,506
Expenses. Total of all expenses incurred	2014-12-31	$0
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$3,621,639
Total plan assets at beginning of year	2014-12-31	$3,929,145
Value of fidelity bond covering the plan	2014-12-31	$370,000
Assets. Value of tangible personal property	2014-12-31	$387,919
Total contributions received or receivable from participants	2014-12-31	$0
Assets. Value of loans (other than to participants)	2014-12-31	$200,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$-307,506
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$-307,506
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$3,621,639
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,929,145
Assets. Value of real-estate (other than employer real property)	2014-12-31	$327,034
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
2013 : ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$3,929,145
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	$3,929,145
Total plan assets at beginning of year	2013-12-31	$0
Total contributions received or receivable from participants	2013-12-31	$0
Assets. Value of loans (other than to participants)	2013-12-31	$200,000
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$3,929,145
Other income received	2013-12-31	$0
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$3,929,145
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,929,145
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$0
Assets. Value of real-estate (other than employer real property)	2013-12-31	$202,034
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

Form 5500 Responses for ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN

2015: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) 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: ROBERT E. CATON, M.D. PROFIT SHARING 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	First time form 5500 has been submitted	Yes
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

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Company Name:	ROBERT E. CATON, MD
Employer identification number (EIN):	776203713
NAIC Classification:	621112
NAIC Description:	Offices of Physicians, Mental Health Specialists