401k Plan data: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN plan

HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN
Plan identification number	001

HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

HAROLD W. WAX AND ALAN J. WAX PARTNERSHIP has sponsored the creation of one or more 401k plans.

Company Name: HAROLD W. WAX AND ALAN J. WAX PARTNERSHIP

Employer identification number (EIN): 954110254

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01 HAROLD W. WAX 2020-07-31
001 2018-01-01 HAROLD W. WAX 2019-10-11
001 2017-01-01 ALAN WAX 2018-09-12
001 2016-01-01 ALAN WAX 2017-10-15
001 2015-01-01 ALAN WAX 2016-10-14
001 2014-01-01 ALAN WAX 2015-10-12
001 2013-01-01 ALAN WAX 2014-10-10
001 2012-01-01 ALAN WAX 2013-10-07
001 2011-01-01 ALAN WAX
001 2010-01-01 ALAN WAX
001 2009-01-01 ALAN WAX

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01	HAROLD W. WAX	2020-07-31
001	2018-01-01	HAROLD W. WAX	2019-10-11
001	2017-01-01	ALAN WAX	2018-09-12
001	2016-01-01	ALAN WAX	2017-10-15
001	2015-01-01	ALAN WAX	2016-10-14
001	2014-01-01	ALAN WAX	2015-10-12
001	2013-01-01	ALAN WAX	2014-10-10
001	2012-01-01	ALAN WAX	2013-10-07
001	2011-01-01	ALAN WAX
001	2010-01-01	ALAN WAX
001	2009-01-01	ALAN WAX

Plan Statistics for HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN

Measure Date Value
2011: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 12
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 1
Total of all active and inactive participants 2011-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 13
Number of participants with account balances 2011-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 13
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 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 14
Number of participants with account balances 2010-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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 12
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 1
Total of all active and inactive participants 2009-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 13
Number of participants with account balances 2009-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	12
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	1
Total of all active and inactive participants	2011-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	13
Number of participants with account balances	2011-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	13
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	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	14
Number of participants with account balances	2010-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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	12
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	1
Total of all active and inactive participants	2009-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	13
Number of participants with account balances	2009-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2011 : HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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	$44,377
Expenses. Total of all expenses incurred	2011-12-31	$10,200
Benefits paid (including direct rollovers)	2011-12-31	$10,200
Total plan assets at end of year	2011-12-31	$820,553
Total plan assets at beginning of year	2011-12-31	$786,376
Value of fidelity bond covering the plan	2011-12-31	$150,000
Total contributions received or receivable from participants	2011-12-31	$27,336
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	$-22,959
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$34,177
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$820,553
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$786,376
Total contributions received or receivable from employer(s)	2011-12-31	$40,000
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	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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	$106,784
Expenses. Total of all expenses incurred	2010-12-31	$9,258
Benefits paid (including direct rollovers)	2010-12-31	$9,258
Total plan assets at end of year	2010-12-31	$786,376
Total plan assets at beginning of year	2010-12-31	$688,850
Value of fidelity bond covering the plan	2010-12-31	$150,000
Total contributions received or receivable from participants	2010-12-31	$26,393
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	$60,391
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$97,526
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$786,376
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$688,850
Total contributions received or receivable from employer(s)	2010-12-31	$20,000
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 : HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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	$4,500

Form 5500 Responses for HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN

2011: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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
2010: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 401(K) PROFIT SHARING PLAN 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: HAROLD W. WAX & ALAN J WAX PARTNERSHIP 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:	HAROLD W. WAX AND ALAN J. WAX PARTNERSHIP
Employer identification number (EIN):	954110254
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers