401k Plan data: ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN plan

ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN
Plan identification number	002

ANTHONY & ASSOCIATES 401K 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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
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

ANTHONY AND ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name: ANTHONY AND ASSOCIATES

Employer identification number (EIN): 330146112

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01 WILLIAM SIKES 2024-07-09
002 2022-01-01 WILLIAM SIKES 2023-06-20
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01
002 2016-01-01 LEE ANTHONY 2017-09-27
002 2015-01-01 LEE ANTHONY 2016-10-17
002 2015-01-01 LEE ANTHONY 2016-10-20
002 2014-01-01 LEE ANTHONY 2015-09-18
002 2013-01-01 LEE ANTHONY 2014-07-28
002 2012-01-01 LEE ANTHONY 2013-09-30
002 2011-01-01 LEE ANTHONY
002 2010-01-01 LEE ANTHONY
002 2009-01-01 LEE ANTHONY
002 2009-01-01 LEE ANTHONY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2023-01-01	WILLIAM SIKES	2024-07-09
002	2022-01-01	WILLIAM SIKES	2023-06-20
002	2021-01-01
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01
002	2016-01-01	LEE ANTHONY	2017-09-27
002	2015-01-01	LEE ANTHONY	2016-10-17
002	2015-01-01	LEE ANTHONY	2016-10-20
002	2014-01-01	LEE ANTHONY	2015-09-18
002	2013-01-01	LEE ANTHONY	2014-07-28
002	2012-01-01	LEE ANTHONY	2013-09-30
002	2011-01-01	LEE ANTHONY
002	2010-01-01	LEE ANTHONY
002	2009-01-01	LEE ANTHONY
002	2009-01-01	LEE ANTHONY

Plan Statistics for ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN

401k plan membership statisitcs for ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN

Measure Date Value
2011: ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 19
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 2
Total of all active and inactive participants 2011-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 21
Number of participants with account balances 2011-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 19
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 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 19
Number of participants with account balances 2010-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 19
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 3
Total of all active and inactive participants 2009-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 22
Number of participants with account balances 2009-01-01 20

Measure	Date	Value
2011: ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	19
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	2
Total of all active and inactive participants	2011-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	21
Number of participants with account balances	2011-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	19
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	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	19
Number of participants with account balances	2010-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	19
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	3
Total of all active and inactive participants	2009-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	22
Number of participants with account balances	2009-01-01	20

Financial Data on ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN

Measure	Date	Value
2011 : ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 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	$228,157
Expenses. Total of all expenses incurred	2011-12-31	$30,837
Benefits paid (including direct rollovers)	2011-12-31	$30,000
Total plan assets at end of year	2011-12-31	$2,673,892
Total plan assets at beginning of year	2011-12-31	$2,476,572
Value of fidelity bond covering the plan	2011-12-31	$600,000
Total contributions received or receivable from participants	2011-12-31	$97,701
Expenses. Other expenses not covered elsewhere	2011-12-31	$837
Other income received	2011-12-31	$16,801
Net income (gross income less expenses)	2011-12-31	$197,320
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,673,892
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,476,572
Assets. Value of participant loans	2011-12-31	$123,763
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$29,366
Total contributions received or receivable from employer(s)	2011-12-31	$113,655
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN 2010 401k financial data
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	$312,308
Expenses. Total of all expenses incurred	2010-12-31	$145,593
Benefits paid (including direct rollovers)	2010-12-31	$144,799
Total plan assets at end of year	2010-12-31	$2,476,572
Total plan assets at beginning of year	2010-12-31	$2,309,857
Value of fidelity bond covering the plan	2010-12-31	$600,000
Total contributions received or receivable from participants	2010-12-31	$114,224
Expenses. Other expenses not covered elsewhere	2010-12-31	$794
Other income received	2010-12-31	$105,276
Net income (gross income less expenses)	2010-12-31	$166,715
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,476,572
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,309,857
Assets. Value of participant loans	2010-12-31	$112,920
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$38,903
Total contributions received or receivable from employer(s)	2010-12-31	$92,808
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : ANTHONY & ASSOCIATES 401K 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	$0

Form 5500 Responses for ANTHONY & ASSOCIATES 401K PROFIT SHARING PLAN

2011: ANTHONY & ASSOCIATES 401K 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: ANTHONY & ASSOCIATES 401K 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: ANTHONY & ASSOCIATES 401K 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

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

651112

Policy instance

Insurance contract or identification number	651112
Number of Individuals Covered	19
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $3,836
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

651112

Policy instance

Insurance contract or identification number	651112
Number of Individuals Covered	19
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $6,650
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,325
Insurance broker organization code?	3
Insurance broker name	MARK A MITCHELL

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Company Name:	ANTHONY AND ASSOCIATES
Employer identification number (EIN):	330146112
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants