401k Plan data: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN plan

CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN
Plan identification number	001

CARNEY, SUGAI & SUDWEEKS, LLP 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.
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

CARNEY, SUGAI & SUDWEEKS, LLP has sponsored the creation of one or more 401k plans.

Company Name: CARNEY, SUGAI & SUDWEEKS, LLP

Employer identification number (EIN): 770341925

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 LESLIE SUGAI 2014-10-13
001 2012-01-01 LESLIE SUGAI
001 2011-01-01 LESLIE SUGAI
001 2009-01-01 DOROTHY MAUGER 2010-06-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2013-01-01	LESLIE SUGAI	2014-10-13
001	2012-01-01	LESLIE SUGAI
001	2011-01-01	LESLIE SUGAI
001	2009-01-01	DOROTHY MAUGER	2010-06-15

Plan Statistics for CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 10
Number of other retired or separated participants entitled to future benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 13
Total participants 2012-01-01 13
Number of participants with account balances 2012-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 11
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 14
Total participants 2011-01-01 14
Number of participants with account balances 2011-01-01 14
2009: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 8
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 1
Total of all active and inactive participants 2009-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 9
Number of participants with account balances 2009-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	10
Number of other retired or separated participants entitled to future benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	13
Total participants	2012-01-01	13
Number of participants with account balances	2012-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	11
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	14
Total participants	2011-01-01	14
Number of participants with account balances	2011-01-01	14
2009: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	8
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	1
Total of all active and inactive participants	2009-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	9
Number of participants with account balances	2009-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$163,196
Expenses. Total of all expenses incurred	2012-12-31	$178,047
Benefits paid (including direct rollovers)	2012-12-31	$178,047
Total plan assets at end of year	2012-12-31	$623,221
Total plan assets at beginning of year	2012-12-31	$638,072
Total contributions received or receivable from participants	2012-12-31	$92,006
Other income received	2012-12-31	$66,767
Net income (gross income less expenses)	2012-12-31	$-14,851
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$623,221
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$638,072
Total contributions received or receivable from employer(s)	2012-12-31	$4,423
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$63,004
Expenses. Total of all expenses incurred	2011-12-31	$7,436
Benefits paid (including direct rollovers)	2011-12-31	$7,436
Total plan assets at end of year	2011-12-31	$638,072
Total plan assets at beginning of year	2011-12-31	$582,504
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$92,154
Other income received	2011-12-31	$-37,005
Net income (gross income less expenses)	2011-12-31	$55,568
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$638,072
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$582,504
Total contributions received or receivable from employer(s)	2011-12-31	$7,855
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$99,616
Total plan assets at end of year	2010-12-31	$582,504
Total plan assets at beginning of year	2010-12-31	$482,888
Total contributions received or receivable from participants	2010-12-31	$54,570
Other income received	2010-12-31	$45,046
Net income (gross income less expenses)	2010-12-31	$99,616
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$582,504
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$482,888

Form 5500 Responses for CARNEY, SUGAI & SUDWEEKS, LLP 401(K) PROFIT SHARING PLAN

2012: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CARNEY, SUGAI & SUDWEEKS, LLP 401(K) 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

91664455

Policy instance

Insurance contract or identification number	91664455
Number of Individuals Covered	13
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $1,611
Commission paid to Insurance Broker	USD $1,611
Insurance broker organization code?	3
Insurance broker name	JAMES WHITE CHFU

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

91664455

Policy instance

Insurance contract or identification number	91664455
Number of Individuals Covered	14
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $1,528
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

941664455

Policy instance

Insurance contract or identification number	941664455
Number of Individuals Covered	11
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $1,298
Commission paid to Insurance Broker	USD $1,298
Insurance broker organization code?	3
Insurance broker name	JAMES WHITE CHFC

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Company Name:	CARNEY, SUGAI & SUDWEEKS, LLP
Employer identification number (EIN):	770341925
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers