401k Plan data: LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST plan

LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST
Plan identification number	001

LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND 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
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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
Life insurance

401k Sponsoring company profile

LEWIS O. UNGLESBY, ATTORNEY, LLC has sponsored the creation of one or more 401k plans.

Company Name: LEWIS O. UNGLESBY, ATTORNEY, LLC

Employer identification number (EIN): 455271139

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01 MELISSA TERITO 2016-06-06
001 2014-01-01 MELISSA TERITO 2015-08-06
001 2013-01-01 LEWIS O UNGLESBY 2014-10-09 LEWIS O UNGLESBY 2014-10-09
001 2012-01-01 LEWIS O. UNGLESBY

Plan Statistics for LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST

Measure Date Value
2012: LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 6
Number of retired or separated participants receiving benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 8
Number of participants with account balances 2012-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2012: LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	6
Number of retired or separated participants receiving benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	8
Number of participants with account balances	2012-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2012 : LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST 2012 401k financial data
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$156,950
Expenses. Total of all expenses incurred	2012-12-31	$357,444
Benefits paid (including direct rollovers)	2012-12-31	$349,556
Total plan assets at end of year	2012-12-31	$1,013,733
Total plan assets at beginning of year	2012-12-31	$1,214,227
Value of fidelity bond covering the plan	2012-12-31	$500,000
Other income received	2012-12-31	$79,912
Net income (gross income less expenses)	2012-12-31	$-200,494
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,013,733
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,214,227
Total contributions received or receivable from employer(s)	2012-12-31	$77,038
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$7,888
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$325,500

Form 5500 Responses for LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND TRUST

2012: LEWIS O. UNGLESBY, ATTORNEY, LLC PROFIT SHARING PLAN AND 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

42-934-705

Policy instance

Insurance contract or identification number	42-934-705
Number of Individuals Covered	1
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
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	Yes
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

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

42-531-360

Policy instance

Insurance contract or identification number	42-531-360
Number of Individuals Covered	1
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
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	Yes
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

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Company Name:	LEWIS O. UNGLESBY, ATTORNEY, LLC
Employer identification number (EIN):	455271139
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01	MELISSA TERITO	2016-06-06
001	2014-01-01	MELISSA TERITO	2015-08-06
001	2013-01-01	LEWIS O UNGLESBY	2014-10-09	LEWIS O UNGLESBY	2014-10-09
001	2012-01-01	LEWIS O. UNGLESBY