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ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan NameROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number 001

ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST Benefits

401k Plan TypeDefined 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

ROBERT A SHAPIRO DDS PC has sponsored the creation of one or more 401k plans.

Company Name:ROBERT A SHAPIRO DDS PC
Employer identification number (EIN):721602082
NAIC Classification:621210
NAIC Description:Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01ROBERT SHAPIRO2023-07-28
0012021-01-01ROBERT SHAPIRO2022-10-17
0012020-01-01ROBERT SHAPIRO2021-10-15
0012019-01-01
0012018-01-01
0012017-01-01
0012016-01-01
0012015-01-01ROBERT SHAPIRO2016-10-13
0012014-01-01
0012013-01-01DEBORAH BERRA
0012012-01-01TAMARA SCHOCH
0012011-01-01TAMARA SCHOCH
0012010-01-01TAMARA SCHOCH
0012009-01-01ROBERT SHAPIRO

Plan Statistics for ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2013: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year2013-01-0110
Total number of active participants reported on line 7a of the Form 55002013-01-0110
Total of all active and inactive participants2013-01-0110
Total participants2013-01-0110
Number of participants with account balances2013-01-0110
2012: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year2012-01-0110
Total number of active participants reported on line 7a of the Form 55002012-01-0110
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-0110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0110
Number of participants with account balances2012-01-0110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year2011-01-0111
Total number of active participants reported on line 7a of the Form 55002011-01-018
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-013
Total of all active and inactive participants2011-01-0111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0111
Number of participants with account balances2011-01-019
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year2010-01-0110
Total number of active participants reported on line 7a of the Form 55002010-01-0110
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-011
Total of all active and inactive participants2010-01-0111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-0111
Number of participants with account balances2010-01-017
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year2009-01-0110
Total number of active participants reported on line 7a of the Form 55002009-01-018
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-012
Total of all active and inactive participants2009-01-0110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0110
Number of participants with account balances2009-01-018
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2013 : ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2013 401k financial data
Total income from all sources2013-12-31$79,098
Expenses. Total of all expenses incurred2013-12-31$4,417
Total plan assets at end of year2013-12-31$348,013
Total plan assets at beginning of year2013-12-31$273,332
Total contributions received or receivable from participants2013-12-31$24,005
Other income received2013-12-31$39,228
Net income (gross income less expenses)2013-12-31$74,681
Net plan assets at end of year (total assets less liabilities)2013-12-31$348,013
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$273,332
Assets. Value of participant loans2013-12-31$7,307
Total contributions received or receivable from employer(s)2013-12-31$15,865
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$4,417
2012 : ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total plan liabilities at end of year2012-12-31$0
Total plan liabilities at beginning of year2012-12-31$0
Total income from all sources2012-12-31$69,011
Expenses. Total of all expenses incurred2012-12-31$160,590
Benefits paid (including direct rollovers)2012-12-31$156,845
Total plan assets at end of year2012-12-31$273,332
Total plan assets at beginning of year2012-12-31$364,911
Total contributions received or receivable from participants2012-12-31$20,199
Expenses. Other expenses not covered elsewhere2012-12-31$0
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$34,576
Noncash contributions received2012-12-31$0
Net income (gross income less expenses)2012-12-31$-91,579
Net plan assets at end of year (total assets less liabilities)2012-12-31$273,332
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$364,911
Assets. Value of participant loans2012-12-31$3,734
Total contributions received or receivable from employer(s)2012-12-31$14,236
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$3,745
2011 : ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total plan liabilities at end of year2011-12-31$0
Total plan liabilities at beginning of year2011-12-31$0
Total income from all sources2011-12-31$28,461
Expenses. Total of all expenses incurred2011-12-31$4,241
Benefits paid (including direct rollovers)2011-12-31$0
Total plan assets at end of year2011-12-31$364,911
Total plan assets at beginning of year2011-12-31$340,691
Total contributions received or receivable from participants2011-12-31$22,996
Expenses. Other expenses not covered elsewhere2011-12-31$4,241
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-7,936
Noncash contributions received2011-12-31$0
Net income (gross income less expenses)2011-12-31$24,220
Net plan assets at end of year (total assets less liabilities)2011-12-31$364,911
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$340,691
Assets. Value of participant loans2011-12-31$4,846
Total contributions received or receivable from employer(s)2011-12-31$13,401
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0
2010 : ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2010 401k financial data
Transfers to/from the plan2010-12-31$0
Total plan liabilities at end of year2010-12-31$0
Total plan liabilities at beginning of year2010-12-31$0
Total income from all sources2010-12-31$70,048
Expenses. Total of all expenses incurred2010-12-31$12,157
Benefits paid (including direct rollovers)2010-12-31$8,423
Total plan assets at end of year2010-12-31$341,011
Total plan assets at beginning of year2010-12-31$283,120
Total contributions received or receivable from participants2010-12-31$18,250
Expenses. Other expenses not covered elsewhere2010-12-31$3,734
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$35,783
Noncash contributions received2010-12-31$0
Net income (gross income less expenses)2010-12-31$57,891
Net plan assets at end of year (total assets less liabilities)2010-12-31$341,011
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$283,120
Assets. Value of participant loans2010-12-31$5,832
Total contributions received or receivable from employer(s)2010-12-31$16,015
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$0

Form 5500 Responses for ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST

2013: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: ROBERT A SHAPIRO DDS PC 401(K) PROFIT SHARING PLAN & TRUST 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number36377
Policy instance 1
Insurance contract or identification number36377
Number of Individuals Covered10
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $551
Total amount of fees paid to insurance companyUSD $25
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $551
Amount paid for insurance broker fees25
Additional information about fees paid to insurance brokerNON MONETARY COMPENSATION TO SALES REP
Insurance broker organization code?4
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract numberGP 36377
Policy instance 1
Insurance contract or identification numberGP 36377
Number of Individuals Covered9
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $674
Total amount of fees paid to insurance companyUSD $26
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $674
Amount paid for insurance broker fees26
Additional information about fees paid to insurance brokerNON MONETARY COMPENSATION
Insurance broker organization code?4
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract numberGP 36377
Policy instance 1
Insurance contract or identification numberGP 36377
Number of Individuals Covered10
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $852
Total amount of fees paid to insurance companyUSD $44
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract numberGP 36377
Policy instance 1
Insurance contract or identification numberGP 36377
Number of Individuals Covered8
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $721
Total amount of fees paid to insurance companyUSD $20
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $721
Amount paid for insurance broker fees20
Additional information about fees paid to insurance brokerNON MONETARY COMPENSATION TO SALES REP
Insurance broker organization code?4
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT

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