401k Plan data: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN plan

ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 401k Plan overview

Plan Name	ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN
Plan identification number	005

ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Money purchase (other than target benefit) Profit-sharing 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.

401k Sponsoring company profile

BARRY M CAPLAN has sponsored the creation of one or more 401k plans.

Company Name: BARRY M CAPLAN

Employer identification number (EIN): 161150545

NAIC Classification: 451211
NAIC Description: Book Stores

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2013-01-01 BARRY M CAPLAN
005 2012-01-01 BARRY M CAPLAN
005 2011-01-01 BARRY M CAPLAN
005 2010-01-01 BARRY M CAPLAN
005 2009-01-01 BARRY M CAPLAN
005 2009-01-01 BARRY M CAPLAN

Plan id#	Filing Submission Date	Name of Administrator
005	2013-01-01	BARRY M CAPLAN
005	2012-01-01	BARRY M CAPLAN
005	2011-01-01	BARRY M CAPLAN
005	2010-01-01	BARRY M CAPLAN
005	2009-01-01	BARRY M CAPLAN
005	2009-01-01	BARRY M CAPLAN

Plan Statistics for ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN

401k plan membership statisitcs for ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN

Measure Date Value
2013: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
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 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1
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 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 1
Number of participants with account balances 2012-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1
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 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 1
Number of participants with account balances 2011-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 1
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 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 1
Number of participants with account balances 2010-01-01 1
2009: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1
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 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 1
Number of participants with account balances 2009-01-01 1

Measure	Date	Value
2013: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
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	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1
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	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	1
Number of participants with account balances	2012-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1
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	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	1
Number of participants with account balances	2011-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	1
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	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	1
Number of participants with account balances	2010-01-01	1
2009: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1
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	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	1
Number of participants with account balances	2009-01-01	1

Financial Data on ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN

Measure	Date	Value
2013 : ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$-24,397
Total income from all sources	2013-12-31	$3,561
Total plan assets at end of year	2013-12-31	$0
Total plan assets at beginning of year	2013-12-31	$20,836
Other income received	2013-12-31	$3,561
Net income (gross income less expenses)	2013-12-31	$3,561
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$20,836
2012 : ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$3,378
Total plan assets at end of year	2012-12-31	$20,836
Total plan assets at beginning of year	2012-12-31	$17,458
Other income received	2012-12-31	$3,378
Net income (gross income less expenses)	2012-12-31	$3,378
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$20,836
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$17,458
2011 : ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$-1,385
Total plan assets at end of year	2011-12-31	$17,458
Total plan assets at beginning of year	2011-12-31	$18,843
Other income received	2011-12-31	$-1,385
Net income (gross income less expenses)	2011-12-31	$-1,385
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$17,458
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$18,843
2010 : ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$4,373
Total plan assets at end of year	2010-12-31	$18,843
Total plan assets at beginning of year	2010-12-31	$14,470
Other income received	2010-12-31	$2,969
Net income (gross income less expenses)	2010-12-31	$4,373
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$18,843
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$14,470
Total contributions received or receivable from employer(s)	2010-12-31	$1,404

Form 5500 Responses for ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN

2013: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	This submission is the final filing	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ARIEL APPRECIATION FUND KEOGH PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ARIEL APPRECIATION FUND KEOGH 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	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BARRY M CAPLAN
Employer identification number (EIN):	161150545
NAIC Classification:	451211
NAIC Description:	Book Stores