401k Plan data: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST plan

STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST
Plan identification number	005

STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 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

401k Sponsoring company profile

STEVEN HERMAN, MD, FACS, PC has sponsored the creation of one or more 401k plans.

Company Name: STEVEN HERMAN, MD, FACS, PC

Employer identification number (EIN): 132977874

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2016-01-01 STEVEN HERMAN 2017-09-13 STEVEN HERMAN 2017-09-13
005 2015-01-01 STEVEN HERMAN 2016-06-20 STEVEN HERMAN 2016-06-20
005 2014-01-01 STEVEN HERMAN 2015-06-09 STEVEN HERMAN 2015-06-09
005 2013-01-01 STEVEN HERMAN 2014-06-24 STEVEN HERMAN 2014-06-24
005 2012-01-01 STEVEN HERMAN STEVEN HERMAN 2013-10-30
005 2011-01-01 STEVEN HERMAN
005 2009-01-01 STEVEN HERMAN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
005	2016-01-01	STEVEN HERMAN	2017-09-13	STEVEN HERMAN	2017-09-13
005	2015-01-01	STEVEN HERMAN	2016-06-20	STEVEN HERMAN	2016-06-20
005	2014-01-01	STEVEN HERMAN	2015-06-09	STEVEN HERMAN	2015-06-09
005	2013-01-01	STEVEN HERMAN	2014-06-24	STEVEN HERMAN	2014-06-24
005	2012-01-01	STEVEN HERMAN		STEVEN HERMAN	2013-10-30
005	2011-01-01	STEVEN HERMAN
005	2009-01-01	STEVEN HERMAN

Plan Statistics for STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST

Measure Date Value
2012: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 4
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 4
2011: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 4
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 4
2009: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 4
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	4
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	4
2011: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	4
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	4
2009: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	4
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2012 : STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$201,833
Expenses. Total of all expenses incurred	2012-12-31	$0
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$211,917
Total plan assets at beginning of year	2012-12-31	$1,917,084
Value of fidelity bond covering the plan	2012-12-31	$200,000
Total contributions received or receivable from participants	2012-12-31	$0
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$201,833
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$201,833
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$211,917
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,917,084
Total contributions received or receivable from employer(s)	2012-12-31	$0
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
2011 : STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 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	$30,380
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$1,917,084
Total plan assets at beginning of year	2011-12-31	$1,886,704
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$0
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	$30,380
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$30,380
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,917,084
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,886,704
Total contributions received or receivable from employer(s)	2011-12-31	$0
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
2010 : STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 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	$118,848
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	$1,886,704
Total plan assets at beginning of year	2010-12-31	$1,767,856
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$0
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	$118,848
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$118,848
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,886,704
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,767,856
Total contributions received or receivable from employer(s)	2010-12-31	$0
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

Form 5500 Responses for STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST

2012: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
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: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 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: STEVEN HERMAN, MD, FACS, PC (NEW YORK) PROFIT SHARING PLAN & TRUST 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:	STEVEN HERMAN, MD, FACS, PC
Employer identification number (EIN):	132977874
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)