401k Plan data: DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN plan

DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN
Plan identification number	001

DOUG & CATHY SMITH, DDS, PC 401(K) 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.
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

DOUG & CATHY SMITH DDS, PC has sponsored the creation of one or more 401k plans.

Company Name: DOUG & CATHY SMITH DDS, PC

Employer identification number (EIN): 753243507

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 CATHY SMITH, DDS 2023-07-24
001 2021-01-01 CATHY SMITH, DDS 2022-06-28
001 2020-01-01 CATHY SMITH, DDS 2021-07-26
001 2019-01-01 DOUGLAS SMITH, DDS 2020-07-30
001 2018-01-01 DOUGLAS SMITH, DDS 2019-10-01
001 2017-01-01 DOUGLAS SMITH, DDS 2018-06-18
001 2016-01-01 DOUGLAS SMITH, DDS 2017-07-27
001 2015-01-01 DOUGLAS SMITH, DDS 2016-10-05
001 2014-01-01 DOUGLAS SMITH, DDS 2015-10-13
001 2013-01-01 DOUGLAS SMITH, DDS 2014-07-23
001 2012-01-01 DOUGLAS SMITH, DDS 2013-08-30
001 2011-01-01 DOUGLAS SMITH, DDS 2012-09-20
001 2009-01-01 DOUGLAS SMITH, DDS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	CATHY SMITH, DDS	2023-07-24
001	2021-01-01	CATHY SMITH, DDS	2022-06-28
001	2020-01-01	CATHY SMITH, DDS	2021-07-26
001	2019-01-01	DOUGLAS SMITH, DDS	2020-07-30
001	2018-01-01	DOUGLAS SMITH, DDS	2019-10-01
001	2017-01-01	DOUGLAS SMITH, DDS	2018-06-18
001	2016-01-01	DOUGLAS SMITH, DDS	2017-07-27
001	2015-01-01	DOUGLAS SMITH, DDS	2016-10-05
001	2014-01-01	DOUGLAS SMITH, DDS	2015-10-13
001	2013-01-01	DOUGLAS SMITH, DDS	2014-07-23
001	2012-01-01	DOUGLAS SMITH, DDS	2013-08-30
001	2011-01-01	DOUGLAS SMITH, DDS	2012-09-20
001	2009-01-01	DOUGLAS SMITH, DDS

Plan Statistics for DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN

Measure Date Value
2009: DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 10
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 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 10
Number of participants with account balances 2009-01-01 10

Measure	Date	Value
2009: DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	10
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	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	10
Number of participants with account balances	2009-01-01	10

Financial Data on DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2010 : DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$117,358
Expenses. Total of all expenses incurred	2010-12-31	$501,877
Benefits paid (including direct rollovers)	2010-12-31	$501,877
Total plan assets at end of year	2010-12-31	$376,687
Total plan assets at beginning of year	2010-12-31	$761,206
Value of fidelity bond covering the plan	2010-12-31	$40,000
Total contributions received or receivable from participants	2010-12-31	$52,383
Other income received	2010-12-31	$23,527
Net income (gross income less expenses)	2010-12-31	$-384,519
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$376,687
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$761,206
Total contributions received or receivable from employer(s)	2010-12-31	$41,448

Form 5500 Responses for DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN

2009: DOUG & CATHY SMITH, DDS, PC 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

DOUG & MARLYN YOUNG BASIC PROFIT-SHARING PLAN [EIN = 841074802]

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Company Name:	DOUG & CATHY SMITH DDS, PC
Employer identification number (EIN):	753243507
NAIC Classification:	621210
NAIC Description:	Offices of Dentists