401k Plan data: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN plan

RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 401k Plan overview

Plan Name	RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN
Plan identification number	003

RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S 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.

401k Sponsoring company profile

RICHARD H. WOOD, DDS, P.C. has sponsored the creation of one or more 401k plans.

Company Name: RICHARD H. WOOD, DDS, P.C.

Employer identification number (EIN): 541207980

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2015-01-01 RICHARD H. WOOD, DDS
003 2014-01-01 RICHARD H. WOOD, DDS
003 2013-01-01 RICHARD H. WOOD, DDS
003 2012-01-01 RICHARD H. WOOD, DDS
003 2011-01-01 RICHARD H. WOOD, DDS

Plan id#	Filing Submission Date	Name of Administrator
003	2015-01-01	RICHARD H. WOOD, DDS
003	2014-01-01	RICHARD H. WOOD, DDS
003	2013-01-01	RICHARD H. WOOD, DDS
003	2012-01-01	RICHARD H. WOOD, DDS
003	2011-01-01	RICHARD H. WOOD, DDS

Plan Statistics for RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN

401k plan membership statisitcs for RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN

Measure Date Value
2015: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 8
Total of all active and inactive participants 2014-01-01 8
Total participants 2014-01-01 8
Number of participants with account balances 2014-01-01 8
2013: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 8
Total of all active and inactive participants 2013-01-01 8
Total participants 2013-01-01 8
Number of participants with account balances 2013-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 9
Total of all active and inactive participants 2012-01-01 9
Total participants 2012-01-01 9
Number of participants with account balances 2012-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 9
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 0
Total of all active and inactive participants 2011-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 9
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2015: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	8
Total of all active and inactive participants	2014-01-01	8
Total participants	2014-01-01	8
Number of participants with account balances	2014-01-01	8
2013: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	8
Total of all active and inactive participants	2013-01-01	8
Total participants	2013-01-01	8
Number of participants with account balances	2013-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	9
Total of all active and inactive participants	2012-01-01	9
Total participants	2012-01-01	9
Number of participants with account balances	2012-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	9
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	0
Total of all active and inactive participants	2011-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	9
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN

Measure	Date	Value
2015 : RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2015 401k financial data
Transfers to/from the plan	2015-10-31	$-936,312
Total income from all sources	2015-10-31	$-77,130
Expenses. Total of all expenses incurred	2015-10-31	$2,831,466
Benefits paid (including direct rollovers)	2015-10-31	$2,831,466
Total plan assets at end of year	2015-10-31	$0
Total plan assets at beginning of year	2015-10-31	$3,844,908
Value of fidelity bond covering the plan	2015-10-31	$300,000
Total contributions received or receivable from participants	2015-10-31	$48,221
Contributions received from other sources (not participants or employers)	2015-10-31	$1,172
Other income received	2015-10-31	$-126,523
Net income (gross income less expenses)	2015-10-31	$-2,908,596
Net plan assets at end of year (total assets less liabilities)	2015-10-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-10-31	$3,844,908
2014 : RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$302,557
Expenses. Total of all expenses incurred	2014-12-31	$111,363
Benefits paid (including direct rollovers)	2014-12-31	$111,238
Total plan assets at end of year	2014-12-31	$3,844,908
Total plan assets at beginning of year	2014-12-31	$3,653,714
Value of fidelity bond covering the plan	2014-12-31	$300,000
Total contributions received or receivable from participants	2014-12-31	$76,719
Contributions received from other sources (not participants or employers)	2014-12-31	$2,691
Other income received	2014-12-31	$138,541
Net income (gross income less expenses)	2014-12-31	$191,194
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$3,844,908
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,653,714
Total contributions received or receivable from employer(s)	2014-12-31	$84,606
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$125
2013 : RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$656,468
Total plan assets at end of year	2013-12-31	$3,653,714
Total plan assets at beginning of year	2013-12-31	$2,997,246
Value of fidelity bond covering the plan	2013-12-31	$300,000
Total contributions received or receivable from participants	2013-12-31	$73,448
Contributions received from other sources (not participants or employers)	2013-12-31	$6,325
Other income received	2013-12-31	$469,068
Net income (gross income less expenses)	2013-12-31	$656,468
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,653,714
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,997,246
Total contributions received or receivable from employer(s)	2013-12-31	$107,627
2012 : RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$428,919
Total plan assets at end of year	2012-12-31	$2,997,246
Total plan assets at beginning of year	2012-12-31	$2,568,327
Value of fidelity bond covering the plan	2012-12-31	$300,000
Total contributions received or receivable from participants	2012-12-31	$74,901
Other income received	2012-12-31	$278,833
Net income (gross income less expenses)	2012-12-31	$428,919
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,997,246
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,568,327
Total contributions received or receivable from employer(s)	2012-12-31	$75,185
2011 : RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$-269,278
Total plan assets at end of year	2011-12-31	$2,568,327
Total plan assets at beginning of year	2011-12-31	$2,837,605
Value of fidelity bond covering the plan	2011-12-31	$300,000
Total contributions received or receivable from participants	2011-12-31	$71,929
Other income received	2011-12-31	$-416,717
Net income (gross income less expenses)	2011-12-31	$-269,278
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,568,327
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,837,605
Total contributions received or receivable from employer(s)	2011-12-31	$75,510
2010 : RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$2,320,421
Total income from all sources	2010-12-31	$518,885
Expenses. Total of all expenses incurred	2010-12-31	$1,701
Total plan assets at end of year	2010-12-31	$2,837,605
Total plan assets at beginning of year	2010-12-31	$0
Value of fidelity bond covering the plan	2010-12-31	$265,000
Total contributions received or receivable from participants	2010-12-31	$63,106
Other income received	2010-12-31	$380,437
Net income (gross income less expenses)	2010-12-31	$517,184
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,837,605
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$75,342
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$1,701

Form 5500 Responses for RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN

2015: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2014: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2013: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2012: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2011: RICHARD H. WOOD, DDS 401(K) SAFE HARBOR P/S PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )

Policy contract number

309024486

Policy instance

Insurance contract or identification number	309024486
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-10-31
Total amount of commissions paid to insurance broker	USD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Insurance broker organization code?	3
Insurance broker name	CHAD S. NYSTROM

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385969-01

Policy instance

Insurance contract or identification number	385969-01
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-10-31
Total amount of commissions paid to insurance broker	USD $6,383
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $2,073
Insurance broker organization code?	3
Insurance broker name	JAMES IZETT

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )

Policy contract number

309024486

Policy instance

Insurance contract or identification number	309024486
Number of Individuals Covered	1
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Insurance broker organization code?	3
Insurance broker name	CHAD S. NYSTROM

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385969-01

Policy instance

Insurance contract or identification number	385969-01
Number of Individuals Covered	10
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $10,520
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,693
Insurance broker organization code?	3
Insurance broker name	JAMES IZETT

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385969-01

Policy instance

Insurance contract or identification number	385969-01
Number of Individuals Covered	11
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $9,010
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,010
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	JAMES IZETT

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )

Policy contract number

309024486

Policy instance

Insurance contract or identification number	309024486
Number of Individuals Covered	1
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	AL CULBRETH, CFP, CHFC, CLU

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385969-01

Policy instance

Insurance contract or identification number	385969-01
Number of Individuals Covered	11
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $6,323
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,141
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	JAMES IZETT

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )

Policy contract number

309024486

Policy instance

Insurance contract or identification number	309024486
Number of Individuals Covered	1
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	AL CULBRETH, CFP, CHFC, CLU

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385969-01

Policy instance

Insurance contract or identification number	385969-01
Number of Individuals Covered	11
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,325
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
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: 66944 )

Policy contract number

309024486

Policy instance

Insurance contract or identification number	309024486
Number of Individuals Covered	1
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385969-01

Policy instance

Insurance contract or identification number	385969-01
Number of Individuals Covered	11
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $6,425
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,425
Insurance broker organization code?	3
Insurance broker name	JAMES IZETT

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Company Name:	RICHARD H. WOOD, DDS, P.C.
Employer identification number (EIN):	541207980
NAIC Classification:	621210
NAIC Description:	Offices of Dentists