401k Plan data: HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN plan

HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN 401k Plan overview

Plan Name	HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN
Plan identification number	001

HEISENBOTTLE, RICHARD J. 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.
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

HEISENBOTTLE, RICHARD J has sponsored the creation of one or more 401k plans.

Company Name: HEISENBOTTLE, RICHARD J

Employer identification number (EIN): 592783815

NAIC Classification: 541310
NAIC Description: Architectural Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 RAQUEL TENNEN 2013-07-16 RAQUEL TENNEN 2013-07-16
001 2011-01-01 RAQUEL TENNEN 2012-07-24 RAQUEL TENNEN 2012-07-24
001 2010-01-01 RICHARD J HEISENBOTTLE 2011-09-13 RICHARD J HEISENBOTTLE 2011-09-13
001 2007-01-01 RICHARD HEISENBOTTLE AIA RICHARD HEISENBOTTLE AIA 2010-11-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	RAQUEL TENNEN	2013-07-16	RAQUEL TENNEN	2013-07-16
001	2011-01-01	RAQUEL TENNEN	2012-07-24	RAQUEL TENNEN	2012-07-24
001	2010-01-01	RICHARD J HEISENBOTTLE	2011-09-13	RICHARD J HEISENBOTTLE	2011-09-13
001	2007-01-01	RICHARD HEISENBOTTLE AIA		RICHARD HEISENBOTTLE AIA	2010-11-16

Plan Statistics for HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN

401k plan membership statisitcs for HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN

Measure Date Value
2007: HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year 2007-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 8
Number of retired or separated participants receiving benefits 2007-01-01 0
Number of other retired or separated participants entitled to future benefits 2007-01-01 0
Total of all active and inactive participants 2007-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 8
Number of participants with account balances 2007-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 0

Measure	Date	Value
2007: HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year	2007-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	8
Number of retired or separated participants receiving benefits	2007-01-01	0
Number of other retired or separated participants entitled to future benefits	2007-01-01	0
Total of all active and inactive participants	2007-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	8
Number of participants with account balances	2007-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	0

Financial Data on HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN

Measure	Date	Value
2007 : HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN 2007 401k financial data
Transfers to/from the plan	2007-12-31	$0
Total plan liabilities at end of year	2007-12-31	$0
Total plan liabilities at beginning of year	2007-12-31	$0
Total income from all sources	2007-12-31	$41,703
Expenses. Total of all expenses incurred	2007-12-31	$6,059
Benefits paid (including direct rollovers)	2007-12-31	$5,946
Total plan assets at end of year	2007-12-31	$118,798
Total plan assets at beginning of year	2007-12-31	$83,154
Value of fidelity bond covering the plan	2007-12-31	$0
Assets. Value of tangible personal property	2007-12-31	$0
Total contributions received or receivable from participants	2007-12-31	$19,246
Assets. Value of loans (other than to participants)	2007-12-31	$0
Expenses. Other expenses not covered elsewhere	2007-12-31	$113
Contributions received from other sources (not participants or employers)	2007-12-31	$0
Other income received	2007-12-31	$3,326
Noncash contributions received	2007-12-31	$0
Net income (gross income less expenses)	2007-12-31	$35,644
Net plan assets at end of year (total assets less liabilities)	2007-12-31	$118,798
Net plan assets at beginning of year (total assets less liabilities)	2007-12-31	$83,154
Assets. Value of participant loans	2007-12-31	$0
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year	2007-12-31	$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year	2007-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2007-12-31	$0
Assets. Value of real-estate (other than employer real property)	2007-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2007-12-31	$0
Assets. Value of employer securities	2007-12-31	$0
Assets. Value of employer real property	2007-12-31	$0
Total contributions received or receivable from employer(s)	2007-12-31	$19,131
Value of certain deemed distributions of participant loans	2007-12-31	$0
Value of corrective distributions	2007-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2007-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2007-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2007-12-31	$0
Minimum employer required contribution for this plan year	2007-12-31	$0
Amount contributed by the employer to the plan for this plan year	2007-12-31	$0

Form 5500 Responses for HEISENBOTTLE, RICHARD J. PROFIT SHARING PLAN

2007: HEISENBOTTLE, RICHARD J. 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	Plan funding arrangement – Insurance	Yes
2007-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

592783815C1

Policy instance

Insurance contract or identification number	592783815C1
Number of Individuals Covered	8
Insurance policy start date	2007-01-01
Insurance policy end date	2007-12-31
Contracts With Unallocated Funds Deposit Administration	1
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	HEISENBOTTLE, RICHARD J
Employer identification number (EIN):	592783815
NAIC Classification:	541310
NAIC Description:	Architectural Services