401k Plan data: ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST plan

ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 401k Plan overview

Plan Name	ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST
Plan identification number	001

ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 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.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all 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.
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ZILA, INC. DAVID SPEIGHTS has sponsored the creation of one or more 401k plans.

Company Name: ZILA, INC. DAVID SPEIGHTS

Employer identification number (EIN): 860619668

NAIC Classification: 339110

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2010-01-01 LYNNE WILLIAMS
001 2009-01-01 LYNNE WILLIAMS
001 2009-01-01 LYNNE WILLIAMS

Plan id#	Filing Submission Date	Name of Administrator
001	2010-01-01	LYNNE WILLIAMS
001	2009-01-01	LYNNE WILLIAMS
001	2009-01-01	LYNNE WILLIAMS

Plan Statistics for ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST

401k plan membership statisitcs for ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST

Measure Date Value
2010: ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 0
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 0
Total of all active and inactive participants 2010-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 0
Number of participants with account balances 2010-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 80
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 298
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 57
Total of all active and inactive participants 2009-01-01 355
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 355
Number of participants with account balances 2009-01-01 80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2010: ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	0
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	0
Total of all active and inactive participants	2010-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	0
Number of participants with account balances	2010-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	80
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	298
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	57
Total of all active and inactive participants	2009-01-01	355
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	355
Number of participants with account balances	2009-01-01	80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST

Measure	Date	Value
2010 : ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 2010 401k financial data
Transfers to/from the plan	2010-03-15	$-2,126,970
Total income from all sources	2010-03-15	$71,557
Expenses. Total of all expenses incurred	2010-03-15	$131,609
Benefits paid (including direct rollovers)	2010-03-15	$131,291
Total plan assets at end of year	2010-03-15	$0
Total plan assets at beginning of year	2010-03-15	$2,187,022
Value of fidelity bond covering the plan	2010-03-15	$500,000
Total contributions received or receivable from participants	2010-03-15	$16,983
Other income received	2010-03-15	$46,579
Net income (gross income less expenses)	2010-03-15	$-60,052
Net plan assets at end of year (total assets less liabilities)	2010-03-15	$0
Net plan assets at beginning of year (total assets less liabilities)	2010-03-15	$2,187,022
Assets. Value of participant loans	2010-03-15	$0
Total contributions received or receivable from employer(s)	2010-03-15	$7,995
Expenses. Administrative service providers (salaries,fees and commissions)	2010-03-15	$318
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-03-15	$0
2009 : ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 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 ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST

2010: ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	Yes
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: ZILA, INC. 401(K) SAVINGS AND RETIREMENT PLAN AND TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
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:	ZILA, INC. DAVID SPEIGHTS
Employer identification number (EIN):	860619668
NAIC Classification:	339110