401k Plan data: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST plan

PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 401k Plan overview

Plan Name	PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST
Plan identification number	001

PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT 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
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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

PENNY AND HALL ORTHODONTIC PARTNERSHIP has sponsored the creation of one or more 401k plans.

Company Name: PENNY AND HALL ORTHODONTIC PARTNERSHIP

Employer identification number (EIN): 271404458

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 BRADLEY S. HALL, D.D.S.
001 2012-01-01 ROBERT C. PENNY, D.D.S., M.S.
001 2011-01-01 ROBERT C. PENNY, D.D.S., M.S.

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	BRADLEY S. HALL, D.D.S.
001	2012-01-01	ROBERT C. PENNY, D.D.S., M.S.
001	2011-01-01	ROBERT C. PENNY, D.D.S., M.S.

Plan Statistics for PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST

401k plan membership statisitcs for PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST

Measure Date Value
2013: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 13
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 2
Total of all active and inactive participants 2013-01-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 15
Number of participants with account balances 2013-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 13
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 1
Total of all active and inactive participants 2012-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 14
Number of participants with account balances 2012-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 11
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 2
Total of all active and inactive participants 2011-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 14
Number of participants with account balances 2011-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2013: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	13
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	2
Total of all active and inactive participants	2013-01-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	15
Number of participants with account balances	2013-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	13
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	1
Total of all active and inactive participants	2012-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	14
Number of participants with account balances	2012-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	11
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	2
Total of all active and inactive participants	2011-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	14
Number of participants with account balances	2011-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST

Measure	Date	Value
2013 : PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2013 401k financial data
Total income from all sources	2013-12-31	$81,681
Expenses. Total of all expenses incurred	2013-12-31	$12,416
Total plan assets at end of year	2013-12-31	$1,370,768
Total plan assets at beginning of year	2013-12-31	$1,301,503
Value of fidelity bond covering the plan	2013-12-31	$350,000
Total contributions received or receivable from participants	2013-12-31	$29,687
Other income received	2013-12-31	$35,322
Net income (gross income less expenses)	2013-12-31	$69,265
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,370,768
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,301,503
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$83,665
Total contributions received or receivable from employer(s)	2013-12-31	$16,672
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$12,416
2012 : PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT 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	$162,215
Expenses. Total of all expenses incurred	2012-12-31	$11,233
Benefits paid (including direct rollovers)	2012-12-31	$13
Total plan assets at end of year	2012-12-31	$1,301,503
Total plan assets at beginning of year	2012-12-31	$1,150,521
Value of fidelity bond covering the plan	2012-12-31	$350,000
Total contributions received or receivable from participants	2012-12-31	$50,697
Other income received	2012-12-31	$98,889
Net income (gross income less expenses)	2012-12-31	$150,982
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,301,503
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,150,521
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$86,013
Total contributions received or receivable from employer(s)	2012-12-31	$12,629
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$11,220
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 2011 401k financial data
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	$111,258
Expenses. Total of all expenses incurred	2011-12-31	$98,108
Benefits paid (including direct rollovers)	2011-12-31	$87,383
Total plan assets at end of year	2011-12-31	$1,150,521
Total plan assets at beginning of year	2011-12-31	$1,137,371
Value of fidelity bond covering the plan	2011-12-31	$350,000
Total contributions received or receivable from participants	2011-12-31	$70,499
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	$26,388
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$13,150
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,150,521
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,137,371
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$84,881
Total contributions received or receivable from employer(s)	2011-12-31	$14,371
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	$10,725
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT 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	$154,548
Expenses. Total of all expenses incurred	2010-12-31	$9,321
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,137,371
Total plan assets at beginning of year	2010-12-31	$992,144
Value of fidelity bond covering the plan	2010-12-31	$350,000
Total contributions received or receivable from participants	2010-12-31	$70,316
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	$68,497
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$145,227
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,137,371
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$992,144
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$83,522
Total contributions received or receivable from employer(s)	2010-12-31	$15,735
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	$9,321

Form 5500 Responses for PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST

2013: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT PLAN & TRUST 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: PENNY AND HALL ORTHODONTIC PARTNERSHIP RETIREMENT 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

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Company Name:	PENNY AND HALL ORTHODONTIC PARTNERSHIP
Employer identification number (EIN):	271404458
NAIC Classification:	621210
NAIC Description:	Offices of Dentists