401k Plan data: 402 LAW PROFIT SHARING PLAN plan

402 LAW PROFIT SHARING PLAN 401k Plan overview

Plan Name	402 LAW PROFIT SHARING PLAN
Plan identification number	001

402 LAW PROFIT SHARING 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.

401k Sponsoring company profile

RICK D. SHERMAN has sponsored the creation of one or more 401k plans.

Company Name: RICK D. SHERMAN

Employer identification number (EIN): 550825855

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan 402 LAW PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01
001 2013-01-01 RICK SHERMAN RICK SHERMAN 2014-06-20
001 2012-01-01 RICK SHERMAN RICK SHERMAN 2013-10-15
001 2011-01-01 RICK SHERMAN RICK SHERMAN 2012-10-12
001 2009-01-01 RICK SHERMAN RICK SHERMAN 2010-10-04
001 2007-01-01 RICK SHERMAN RICK SHERMAN 2011-02-02

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01
001	2013-01-01	RICK SHERMAN	RICK SHERMAN	2014-06-20
001	2012-01-01	RICK SHERMAN	RICK SHERMAN	2013-10-15
001	2011-01-01	RICK SHERMAN	RICK SHERMAN	2012-10-12
001	2009-01-01	RICK SHERMAN	RICK SHERMAN	2010-10-04
001	2007-01-01	RICK SHERMAN	RICK SHERMAN	2011-02-02

Plan Statistics for 402 LAW PROFIT SHARING PLAN

401k plan membership statisitcs for 402 LAW PROFIT SHARING PLAN

Measure Date Value
2013: 402 LAW PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1
Number of retired or separated participants receiving benefits 2013-01-01 1
Total of all active and inactive participants 2013-01-01 2
Total participants 2013-01-01 2
Number of participants with account balances 2013-01-01 2
2012: 402 LAW PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2
Total of all active and inactive participants 2012-01-01 2
Total participants 2012-01-01 2
2011: 402 LAW PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
Total of all active and inactive participants 2011-01-01 2
Total participants 2011-01-01 2
2009: 402 LAW PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2
Total of all active and inactive participants 2009-01-01 2
Total participants 2009-01-01 2
Number of participants with account balances 2009-01-01 2
2007: 402 LAW PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year 2007-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 2
Total of all active and inactive participants 2007-01-01 2
Total participants 2007-01-01 2

Measure	Date	Value
2013: 402 LAW PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1
Number of retired or separated participants receiving benefits	2013-01-01	1
Total of all active and inactive participants	2013-01-01	2
Total participants	2013-01-01	2
Number of participants with account balances	2013-01-01	2
2012: 402 LAW PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2
Total of all active and inactive participants	2012-01-01	2
Total participants	2012-01-01	2
2011: 402 LAW PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
Total of all active and inactive participants	2011-01-01	2
Total participants	2011-01-01	2
2009: 402 LAW PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2
Total of all active and inactive participants	2009-01-01	2
Total participants	2009-01-01	2
Number of participants with account balances	2009-01-01	2
2007: 402 LAW PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year	2007-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	2
Total of all active and inactive participants	2007-01-01	2
Total participants	2007-01-01	2

Financial Data on 402 LAW PROFIT SHARING PLAN

Measure	Date	Value
2013 : 402 LAW PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$94,779
Expenses. Total of all expenses incurred	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$557,070
Total plan assets at beginning of year	2013-12-31	$462,291
Value of fidelity bond covering the plan	2013-12-31	$55,000
Total contributions received or receivable from participants	2013-12-31	$5,000
Other income received	2013-12-31	$73,373
Net income (gross income less expenses)	2013-12-31	$94,779
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$557,070
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$462,291
Total contributions received or receivable from employer(s)	2013-12-31	$16,406
2012 : 402 LAW PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$35,367
Expenses. Total of all expenses incurred	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$462,291
Total plan assets at beginning of year	2012-12-31	$426,924
Value of fidelity bond covering the plan	2012-12-31	$50,000
Total contributions received or receivable from participants	2012-12-31	$6,000
Other income received	2012-12-31	$26,867
Net income (gross income less expenses)	2012-12-31	$35,367
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$462,291
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$426,924
Total contributions received or receivable from employer(s)	2012-12-31	$2,500
2011 : 402 LAW PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$30,022
Expenses. Total of all expenses incurred	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$426,924
Total plan assets at beginning of year	2011-12-31	$396,902
Value of fidelity bond covering the plan	2011-12-31	$50,000
Total contributions received or receivable from participants	2011-12-31	$6,000
Other income received	2011-12-31	$13,122
Net income (gross income less expenses)	2011-12-31	$30,022
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$426,924
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$396,902
Total contributions received or receivable from employer(s)	2011-12-31	$10,900
2010 : 402 LAW PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total income from all sources	2010-12-31	$116,124
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$396,902
Total plan assets at beginning of year	2010-12-31	$280,778
Value of fidelity bond covering the plan	2010-12-31	$50,000
Other income received	2010-12-31	$105,224
Net income (gross income less expenses)	2010-12-31	$116,124
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$396,902
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$280,778
Total contributions received or receivable from employer(s)	2010-12-31	$10,900
2008 : 402 LAW PROFIT SHARING PLAN 2008 401k financial data
Total income from all sources	2008-12-31	$19,318
Expenses. Total of all expenses incurred	2008-12-31	$0
Total plan assets at end of year	2008-12-31	$219,718
Total plan assets at beginning of year	2008-12-31	$200,400
Value of fidelity bond covering the plan	2008-12-31	$25,000
Total contributions received or receivable from participants	2008-12-31	$6,250
Other income received	2008-12-31	$-14,369
Net income (gross income less expenses)	2008-12-31	$19,318
Net plan assets at end of year (total assets less liabilities)	2008-12-31	$219,718
Net plan assets at beginning of year (total assets less liabilities)	2008-12-31	$200,400
Total contributions received or receivable from employer(s)	2008-12-31	$27,437
2007 : 402 LAW PROFIT SHARING PLAN 2007 401k financial data
Total income from all sources	2007-12-31	$74,542
Expenses. Total of all expenses incurred	2007-12-31	$0
Total plan assets at end of year	2007-12-31	$200,400
Total plan assets at beginning of year	2007-12-31	$125,858
Value of fidelity bond covering the plan	2007-12-31	$20,000
Total contributions received or receivable from participants	2007-12-31	$6,000
Other income received	2007-12-31	$35,549
Net income (gross income less expenses)	2007-12-31	$74,542
Net plan assets at end of year (total assets less liabilities)	2007-12-31	$200,400
Net plan assets at beginning of year (total assets less liabilities)	2007-12-31	$125,858
Total contributions received or receivable from employer(s)	2007-12-31	$32,993

Form 5500 Responses for 402 LAW PROFIT SHARING PLAN

2013: 402 LAW PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: 402 LAW PROFIT SHARING PLAN 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: 402 LAW 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
2009: 402 LAW 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
2007: 402 LAW PROFIT SHARING PLAN 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	No
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	RICK D. SHERMAN
Employer identification number (EIN):	550825855
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers