401k Plan data: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN plan

ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN
Plan identification number	002

ORAL SURGICAL ASSOCIATES 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.
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

GERALD L. HARTMAN, D.D.S., ANDREW A. VORONO, D.D.S., P.C. has sponsored the creation of one or more 401k plans.

Company Name: GERALD L. HARTMAN, D.D.S., ANDREW A. VORONO, D.D.S., P.C.

Employer identification number (EIN): 911534655

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 ANDREW VORONO
002 2012-01-01 ANDREW VORONO
002 2011-01-01 ANDREW VORONO
002 2009-01-01 TODD HUGHES
002 2009-01-01 ANDREW VORONO ANDREW VORONO 2010-08-11

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2013-01-01	ANDREW VORONO
002	2012-01-01	ANDREW VORONO
002	2011-01-01	ANDREW VORONO
002	2009-01-01	TODD HUGHES
002	2009-01-01	ANDREW VORONO	ANDREW VORONO	2010-08-11

Plan Statistics for ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN

Measure Date Value
2013: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 11
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 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 11
Number of participants with account balances 2013-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 11
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 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 11
Number of participants with account balances 2012-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 10
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 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 10
Number of participants with account balances 2011-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 10
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 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 10
Number of participants with account balances 2009-01-01 10
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: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	11
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	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	11
Number of participants with account balances	2013-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	11
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	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	11
Number of participants with account balances	2012-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	10
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	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	10
Number of participants with account balances	2011-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	10
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	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	10
Number of participants with account balances	2009-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2013 : ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$494
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$734,267
Expenses. Total of all expenses incurred	2013-12-31	$87,017
Benefits paid (including direct rollovers)	2013-12-31	$75,842
Total plan assets at end of year	2013-12-31	$3,650,407
Total plan assets at beginning of year	2013-12-31	$3,002,663
Value of fidelity bond covering the plan	2013-12-31	$650,000
Total contributions received or receivable from participants	2013-12-31	$85,088
Other income received	2013-12-31	$543,064
Net income (gross income less expenses)	2013-12-31	$647,250
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,649,913
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,002,663
Assets. Value of participant loans	2013-12-31	$66,407
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$62,500
Total contributions received or receivable from employer(s)	2013-12-31	$106,115
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$11,175
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$405,742
Expenses. Total of all expenses incurred	2012-12-31	$96,826
Benefits paid (including direct rollovers)	2012-12-31	$87,838
Total plan assets at end of year	2012-12-31	$3,002,663
Total plan assets at beginning of year	2012-12-31	$2,693,747
Value of fidelity bond covering the plan	2012-12-31	$650,000
Total contributions received or receivable from participants	2012-12-31	$82,776
Other income received	2012-12-31	$267,961
Net income (gross income less expenses)	2012-12-31	$308,916
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,002,663
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,693,747
Assets. Value of participant loans	2012-12-31	$7,083
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$62,500
Total contributions received or receivable from employer(s)	2012-12-31	$55,005
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$8,988
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total plan liabilities at beginning of year	2011-12-31	$913
Total income from all sources	2011-12-31	$-156,808
Expenses. Total of all expenses incurred	2011-12-31	$84,702
Benefits paid (including direct rollovers)	2011-12-31	$76,248
Total plan assets at end of year	2011-12-31	$2,693,747
Total plan assets at beginning of year	2011-12-31	$2,936,170
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$74,732
Expenses. Other expenses not covered elsewhere	2011-12-31	$8,422
Other income received	2011-12-31	$-303,877
Net income (gross income less expenses)	2011-12-31	$-241,510
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,693,747
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,935,257
Assets. Value of participant loans	2011-12-31	$35,963
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$62,500
Total contributions received or receivable from employer(s)	2011-12-31	$72,337
Value of certain deemed distributions of participant loans	2011-12-31	$32
2010 : ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$913
Total income from all sources	2010-12-31	$444,602
Expenses. Total of all expenses incurred	2010-12-31	$62,320
Benefits paid (including direct rollovers)	2010-12-31	$58,869
Total plan assets at end of year	2010-12-31	$2,936,170
Total plan assets at beginning of year	2010-12-31	$2,552,975
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$77,646
Other income received	2010-12-31	$285,553
Net income (gross income less expenses)	2010-12-31	$382,282
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,935,257
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,552,975
Assets. Value of participant loans	2010-12-31	$64,324
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$62,500
Total contributions received or receivable from employer(s)	2010-12-31	$81,403
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$3,451

Form 5500 Responses for ORAL SURGICAL ASSOCIATES 401(K) PROFIT SHARING PLAN

2013: ORAL SURGICAL ASSOCIATES 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ORAL SURGICAL ASSOCIATES 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ORAL SURGICAL ASSOCIATES 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ORAL SURGICAL ASSOCIATES 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	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:	GERALD L. HARTMAN, D.D.S., ANDREW A. VORONO, D.D.S., P.C.
Employer identification number (EIN):	911534655
NAIC Classification:	621210
NAIC Description:	Offices of Dentists