401k Plan data: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN plan

ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 401k Plan overview

Plan Name	ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN
Plan identification number	001

ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN Benefits

401k Plan Type

Defined 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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

ATLEY PHARMACEUTICALS, INC. has sponsored the creation of one or more 401k plans.

Company Name: ATLEY PHARMACEUTICALS, INC.

Employer identification number (EIN): 541643987

NAIC Classification: 424210
NAIC Description: Drugs and Druggists' Sundries Merchant Wholesalers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 ELIZABETH ATTKISSON
001 2012-01-01 ELIZABETH ATTKISSON
001 2011-01-01 ELIZABETH ATTKISSON
001 2009-01-01 CRAIG L. ATTKISSON

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	ELIZABETH ATTKISSON
001	2012-01-01	ELIZABETH ATTKISSON
001	2011-01-01	ELIZABETH ATTKISSON
001	2009-01-01	CRAIG L. ATTKISSON

Plan Statistics for ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN

401k plan membership statisitcs for ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN

Measure Date Value
2013: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
2012: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 70
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
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 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 78
2009: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 70
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 70
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 0
Total of all active and inactive participants 2009-01-01 70
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 70
Number of participants with account balances 2009-01-01 63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2013: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
2012: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	70
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
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	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	78
2009: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	70
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	70
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	0
Total of all active and inactive participants	2009-01-01	70
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	70
Number of participants with account balances	2009-01-01	63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN

Measure	Date	Value
2013 : ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$35,254
Expenses. Total of all expenses incurred	2013-12-31	$324,766
Benefits paid (including direct rollovers)	2013-12-31	$323,084
Total plan assets at end of year	2013-12-31	$0
Total plan assets at beginning of year	2013-12-31	$289,512
Value of fidelity bond covering the plan	2013-12-31	$65,000
Other income received	2013-12-31	$35,254
Net income (gross income less expenses)	2013-12-31	$-289,512
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$289,512
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$1,682
2012 : ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$255,484
Expenses. Total of all expenses incurred	2012-12-31	$2,800,970
Benefits paid (including direct rollovers)	2012-12-31	$2,711,628
Total plan assets at end of year	2012-12-31	$289,512
Total plan assets at beginning of year	2012-12-31	$2,834,998
Value of fidelity bond covering the plan	2012-12-31	$500,000
Other income received	2012-12-31	$255,484
Net income (gross income less expenses)	2012-12-31	$-2,545,486
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$289,512
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,834,998
Assets. Value of participant loans	2012-12-31	$36,945
Value of certain deemed distributions of participant loans	2012-12-31	$71,395
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$17,947
2011 : ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$-85,221
Expenses. Total of all expenses incurred	2011-12-31	$1,724,506
Benefits paid (including direct rollovers)	2011-12-31	$1,692,654
Total plan assets at end of year	2011-12-31	$2,834,998
Total plan assets at beginning of year	2011-12-31	$4,644,725
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$146,522
Other income received	2011-12-31	$-247,989
Net income (gross income less expenses)	2011-12-31	$-1,809,727
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,834,998
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$4,644,725
Assets. Value of participant loans	2011-12-31	$110,225
Total contributions received or receivable from employer(s)	2011-12-31	$16,246
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$31,852
2010 : ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$1,105,338
Expenses. Total of all expenses incurred	2010-12-31	$205,305
Benefits paid (including direct rollovers)	2010-12-31	$173,009
Total plan assets at end of year	2010-12-31	$4,644,725
Total plan assets at beginning of year	2010-12-31	$3,744,692
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$393,799
Contributions received from other sources (not participants or employers)	2010-12-31	$11,770
Other income received	2010-12-31	$669,769
Net income (gross income less expenses)	2010-12-31	$900,033
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$4,644,725
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,744,692
Assets. Value of participant loans	2010-12-31	$171,056
Total contributions received or receivable from employer(s)	2010-12-31	$30,000
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$32,296
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : ATLEY PHARMACEUTICALS, INC. RETIREMENT 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 ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN

2013: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	This submission is the final filing	Yes
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2012: ATLEY PHARMACEUTICALS, INC. RETIREMENT 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: ATLEY PHARMACEUTICALS, INC. RETIREMENT 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
2009: ATLEY PHARMACEUTICALS, INC. RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	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

648159

Policy instance

Insurance contract or identification number	648159
Number of Individuals Covered	0
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $672
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 $401
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	PAUL H. CULBRETH, CFP

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

Policy contract number

648159

Policy instance

Insurance contract or identification number	648159
Number of Individuals Covered	21
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $6,888
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 $2,728
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	PAUL H. CULBRETH

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

Policy contract number

648159

Policy instance

Insurance contract or identification number	648159
Number of Individuals Covered	64
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $13,821
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

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

Policy contract number

91648159

Policy instance

Insurance contract or identification number	91648159
Number of Individuals Covered	70
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $13,747
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 $13,747
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	JAMES IZETT, CHFC, CLU

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Company Name:	ATLEY PHARMACEUTICALS, INC.
Employer identification number (EIN):	541643987
NAIC Classification:	424210
NAIC Description:	Drugs and Druggists' Sundries Merchant Wholesalers