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SODDY DAISY SMILES 401(K) PLAN 401k Plan overview

Plan NameSODDY DAISY SMILES 401(K) PLAN
Plan identification number 001

SODDY DAISY SMILES 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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.
  • 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

SODDY DAISY SMILES has sponsored the creation of one or more 401k plans.

Company Name:SODDY DAISY SMILES
Employer identification number (EIN):412350856
NAIC Classification:621210
NAIC Description:Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SODDY DAISY SMILES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01ROBERT SHEARER2023-01-31
0012021-01-01ROBERT SHEARER2022-02-07
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01ANDREW ROSS2018-06-26 MANDY SHEARER2018-06-26
0012016-01-01ROBERT SHEARER2017-07-31
0012015-01-01WANDA THOMPSON2016-07-26
0012014-01-01WANDA THOMPSON
0012013-01-01WANDA THOMPSON WANDA THOMPSON2014-07-22
0012012-01-01WANDA THOMPSON
0012011-01-01WANDA THOMPSON
0012010-01-01WANDA THOMPSON
0012009-07-01WANDA THOMPSON

Plan Statistics for SODDY DAISY SMILES 401(K) PLAN

401k plan membership statisitcs for SODDY DAISY SMILES 401(K) PLAN

Measure Date Value
2014: SODDY DAISY SMILES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0111
Total number of active participants reported on line 7a of the Form 55002014-01-019
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-010
Total of all active and inactive participants2014-01-0110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0110
Number of participants with account balances2014-01-016
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: SODDY DAISY SMILES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0110
Total number of active participants reported on line 7a of the Form 55002013-01-0110
Number of other retired or separated participants entitled to future benefits2013-01-011
Total of all active and inactive participants2013-01-0111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0111
Number of participants with account balances2013-01-016
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: SODDY DAISY SMILES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-018
Total number of active participants reported on line 7a of the Form 55002012-01-019
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-011
Total of all active and inactive participants2012-01-0110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0110
Number of participants with account balances2012-01-019
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: SODDY DAISY SMILES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-015
Total number of active participants reported on line 7a of the Form 55002011-01-015
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-015
Number of participants with account balances2011-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: SODDY DAISY SMILES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-015
Total number of active participants reported on line 7a of the Form 55002010-01-015
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-010
Total of all active and inactive participants2010-01-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-015
Number of participants with account balances2010-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: SODDY DAISY SMILES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-07-010
Total number of active participants reported on line 7a of the Form 55002009-07-015
Number of retired or separated participants receiving benefits2009-07-010
Number of other retired or separated participants entitled to future benefits2009-07-010
Total of all active and inactive participants2009-07-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-07-010
Total participants2009-07-015
Number of participants with account balances2009-07-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-07-010

Financial Data on SODDY DAISY SMILES 401(K) PLAN

Measure Date Value
2014 : SODDY DAISY SMILES 401(K) PLAN 2014 401k financial data
Transfers to/from the plan2014-12-31$0
Total income from all sources2014-12-31$58,636
Expenses. Total of all expenses incurred2014-12-31$4,869
Benefits paid (including direct rollovers)2014-12-31$4,719
Total plan assets at end of year2014-12-31$296,567
Total plan assets at beginning of year2014-12-31$242,800
Value of fidelity bond covering the plan2014-12-31$10,000
Total contributions received or receivable from participants2014-12-31$48,895
Expenses. Other expenses not covered elsewhere2014-12-31$150
Contributions received from other sources (not participants or employers)2014-12-31$0
Other income received2014-12-31$5,646
Net income (gross income less expenses)2014-12-31$53,767
Net plan assets at end of year (total assets less liabilities)2014-12-31$296,567
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$242,800
Assets. Value of participant loans2014-12-31$0
Total contributions received or receivable from employer(s)2014-12-31$4,095
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$0
Funding deficiency by the employer to the plan for this plan year2014-12-31$0
Minimum employer required contribution for this plan year2014-12-31$0
Amount contributed by the employer to the plan for this plan year2014-12-31$0
2013 : SODDY DAISY SMILES 401(K) PLAN 2013 401k financial data
Transfers to/from the plan2013-12-31$0
Total income from all sources2013-12-31$76,792
Expenses. Total of all expenses incurred2013-12-31$150
Benefits paid (including direct rollovers)2013-12-31$0
Total plan assets at end of year2013-12-31$242,800
Total plan assets at beginning of year2013-12-31$166,158
Value of fidelity bond covering the plan2013-12-31$10,000
Total contributions received or receivable from participants2013-12-31$45,700
Expenses. Other expenses not covered elsewhere2013-12-31$150
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$27,078
Net income (gross income less expenses)2013-12-31$76,642
Net plan assets at end of year (total assets less liabilities)2013-12-31$242,800
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$166,158
Total contributions received or receivable from employer(s)2013-12-31$4,014
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
2012 : SODDY DAISY SMILES 401(K) PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total income from all sources2012-12-31$60,228
Expenses. Total of all expenses incurred2012-12-31$144
Benefits paid (including direct rollovers)2012-12-31$0
Total plan assets at end of year2012-12-31$166,158
Total plan assets at beginning of year2012-12-31$106,074
Value of fidelity bond covering the plan2012-12-31$10,000
Total contributions received or receivable from participants2012-12-31$41,047
Expenses. Other expenses not covered elsewhere2012-12-31$144
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$15,820
Net income (gross income less expenses)2012-12-31$60,084
Net plan assets at end of year (total assets less liabilities)2012-12-31$166,158
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$106,074
Assets. Value of participant loans2012-12-31$0
Total contributions received or receivable from employer(s)2012-12-31$3,361
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
2011 : SODDY DAISY SMILES 401(K) PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total income from all sources2011-12-31$27,352
Expenses. Total of all expenses incurred2011-12-31$5,125
Benefits paid (including direct rollovers)2011-12-31$5,000
Total plan assets at end of year2011-12-31$106,074
Total plan assets at beginning of year2011-12-31$83,847
Total contributions received or receivable from participants2011-12-31$26,931
Expenses. Other expenses not covered elsewhere2011-12-31$125
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-3,372
Net income (gross income less expenses)2011-12-31$22,227
Net plan assets at end of year (total assets less liabilities)2011-12-31$106,074
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$83,847
Assets. Value of participant loans2011-12-31$0
Total contributions received or receivable from employer(s)2011-12-31$3,793
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Funding deficiency by the employer to the plan for this plan year2011-12-31$0
Minimum employer required contribution for this plan year2011-12-31$0
Amount contributed by the employer to the plan for this plan year2011-12-31$0
2010 : SODDY DAISY SMILES 401(K) PLAN 2010 401k financial data
Transfers to/from the plan2010-12-31$0
Total income from all sources2010-12-31$50,911
Expenses. Total of all expenses incurred2010-12-31$125
Benefits paid (including direct rollovers)2010-12-31$0
Total plan assets at end of year2010-12-31$83,847
Total plan assets at beginning of year2010-12-31$33,061
Value of fidelity bond covering the plan2010-12-31$1
Total contributions received or receivable from participants2010-12-31$39,635
Expenses. Other expenses not covered elsewhere2010-12-31$125
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$7,215
Net income (gross income less expenses)2010-12-31$50,786
Net plan assets at end of year (total assets less liabilities)2010-12-31$83,847
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$33,061
Assets. Value of participant loans2010-12-31$0
Total contributions received or receivable from employer(s)2010-12-31$4,061
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0

Form 5500 Responses for SODDY DAISY SMILES 401(K) PLAN

2014: SODDY DAISY SMILES 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2013: SODDY DAISY SMILES 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2012: SODDY DAISY SMILES 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: SODDY DAISY SMILES 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2010: SODDY DAISY SMILES 401(K) PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2009: SODDY DAISY SMILES 401(K) PLAN 2009 form 5500 responses
2009-07-01Type of plan entitySingle employer plan
2009-07-01First time form 5500 has been submittedYes
2009-07-01Submission has been amendedNo
2009-07-01This submission is the final filingNo
2009-07-01This return/report is a short plan year return/report (less than 12 months)Yes
2009-07-01Plan is a collectively bargained planNo
2009-07-01Plan funding arrangement – InsuranceYes
2009-07-01Plan funding arrangement – TrustYes
2009-07-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-813883
Policy instance 1
Insurance contract or identification numberGA-813883
Number of Individuals Covered6
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $1,248
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,248
Insurance broker organization code?3
Insurance broker nameEDWARD D JONES & CO L P.
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-813883
Policy instance 1
Insurance contract or identification numberGA-813883
Number of Individuals Covered6
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $891
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $891
Insurance broker organization code?3
Insurance broker nameEDWARD D JONES & CO
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-813883
Policy instance 1
Insurance contract or identification numberGA-813883
Number of Individuals Covered9
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $571
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $571
Insurance broker organization code?3
Insurance broker nameEDWARD D JONES & CO
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-813883
Policy instance 1
Insurance contract or identification numberGA-813883
Number of Individuals Covered5
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $392
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-813883
Policy instance 1
Insurance contract or identification numberGA-813883
Number of Individuals Covered5
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $150
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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

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