401k Plan data: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN plan

BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 401k Plan overview

Plan Name	BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN
Plan identification number	001

BERNHARDT & SMITH ORTHODONTICS, PC 401(K) 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

BERNHARDT AND SMITH ORTHODONTICS, P.C. has sponsored the creation of one or more 401k plans.

Company Name: BERNHARDT AND SMITH ORTHODONTICS, P.C.

Employer identification number (EIN): 208402654

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Additional information about BERNHARDT AND SMITH ORTHODONTICS, P.C.

Jurisdiction of Incorporation: Iowa Secretary of State Business Entities

Incorporation Date: 2007-01-16

Company Identification Number: 340606

Legal Registered Office Address: 100 COURT AVE STE 600

DES MOINES
United States of America (USA)
50309

More information about BERNHARDT AND SMITH ORTHODONTICS, P.C.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 JEFF BERNHARDT JEFF BERNHARDT 2018-09-05
001 2016-01-01 JEFF BERNHARDT JEFF BERNHARDT 2017-08-31
001 2015-01-01 JEFF BERNHARDT JEFF BERNHARDT 2016-09-30

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	JEFF BERNHARDT	JEFF BERNHARDT	2018-09-05
001	2016-01-01	JEFF BERNHARDT	JEFF BERNHARDT	2017-08-31
001	2015-01-01	JEFF BERNHARDT	JEFF BERNHARDT	2016-09-30

Plan Statistics for BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN

401k plan membership statisitcs for BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN

Measure Date Value
2017: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 15
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 6
Total of all active and inactive participants 2017-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 21
Number of participants with account balances 2017-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 14
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 6
Total of all active and inactive participants 2016-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 20
Number of participants with account balances 2016-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 2
2015: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 15
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 4
Total of all active and inactive participants 2015-01-01 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 19
Number of participants with account balances 2015-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2017: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	15
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	6
Total of all active and inactive participants	2017-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	21
Number of participants with account balances	2017-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	14
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	6
Total of all active and inactive participants	2016-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	20
Number of participants with account balances	2016-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	2
2015: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	15
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	4
Total of all active and inactive participants	2015-01-01	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	19
Number of participants with account balances	2015-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN

Measure	Date	Value
2017 : BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2017 401k financial data
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$664,369
Expenses. Total of all expenses incurred	2017-12-31	$17,508
Total plan assets at end of year	2017-12-31	$3,452,291
Total plan assets at beginning of year	2017-12-31	$2,805,430
Value of fidelity bond covering the plan	2017-12-31	$346,000
Total contributions received or receivable from participants	2017-12-31	$101,240
Other income received	2017-12-31	$462,214
Net income (gross income less expenses)	2017-12-31	$646,861
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$3,452,291
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,805,430
Assets. Value of participant loans	2017-12-31	$58,592
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$59,256
Total contributions received or receivable from employer(s)	2017-12-31	$100,915
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$17,508
2016 : BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2016 401k financial data
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$371,729
Expenses. Total of all expenses incurred	2016-12-31	$8,423
Total plan assets at end of year	2016-12-31	$2,805,430
Total plan assets at beginning of year	2016-12-31	$2,442,124
Value of fidelity bond covering the plan	2016-12-31	$343,000
Total contributions received or receivable from participants	2016-12-31	$94,245
Contributions received from other sources (not participants or employers)	2016-12-31	$3,200
Other income received	2016-12-31	$178,168
Net income (gross income less expenses)	2016-12-31	$363,306
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,805,430
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,442,124
Assets. Value of participant loans	2016-12-31	$48,099
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$9,640
Total contributions received or receivable from employer(s)	2016-12-31	$96,116
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$8,423
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$186,796
Expenses. Total of all expenses incurred	2015-12-31	$2,114
Total plan assets at end of year	2015-12-31	$2,442,124
Total plan assets at beginning of year	2015-12-31	$2,257,442
Value of fidelity bond covering the plan	2015-12-31	$230,000
Total contributions received or receivable from participants	2015-12-31	$88,583
Other income received	2015-12-31	$-66,978
Net income (gross income less expenses)	2015-12-31	$184,682
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,442,124
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,257,442
Assets. Value of participant loans	2015-12-31	$6,394
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$123,926
Total contributions received or receivable from employer(s)	2015-12-31	$165,191
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$2,114
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0

Form 5500 Responses for BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN

2017: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: BERNHARDT & SMITH ORTHODONTICS, PC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BERNHARDT AND SMITH ORTHODONTICS, P.C.
Employer identification number (EIN):	208402654
NAIC Classification:	621210
NAIC Description:	Offices of Dentists

Jurisdiction of Incorporation:	Iowa Secretary of State Business Entities
Incorporation Date:	2007-01-16
Company Identification Number:	340606
Legal Registered Office Address:	100 COURT AVE STE 600 DES MOINES United States of America (USA) 50309