401k Plan data: WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN plan

WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN
Plan identification number	001

WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
Plan covering Self-Employed individuals.
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

WILLIAM STEPHENS, D.D.S. has sponsored the creation of one or more 401k plans.

Company Name: WILLIAM STEPHENS, D.D.S.

Employer identification number (EIN): 954260366

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01 STACEY STEPHENS
001 2016-01-01 STACEY STEPHENS
001 2015-01-01 STACEY STEPHENS 2016-08-03
001 2014-01-01 WILLIAM STEPHENS 2015-10-15
001 2013-01-01 WILLIAM G. STEPHENS
001 2012-01-01 STACEY STEPHENS
001 2011-01-01 WILLIAM STEPHENS, DDS
001 2009-01-01 WILLIAM STEPHENS, DDS WILLIAM STEPHENS, DDS 2010-10-07

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01
001	2017-01-01	STACEY STEPHENS
001	2016-01-01	STACEY STEPHENS
001	2015-01-01	STACEY STEPHENS	2016-08-03
001	2014-01-01	WILLIAM STEPHENS	2015-10-15
001	2013-01-01	WILLIAM G. STEPHENS
001	2012-01-01	STACEY STEPHENS
001	2011-01-01	WILLIAM STEPHENS, DDS
001	2009-01-01	WILLIAM STEPHENS, DDS		WILLIAM STEPHENS, DDS	2010-10-07

Financial Data on WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2019 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$327,191
Expenses. Total of all expenses incurred	2019-12-31	$2,890,211
Benefits paid (including direct rollovers)	2019-12-31	$2,876,629
Total plan assets at end of year	2019-12-31	$0
Total plan assets at beginning of year	2019-12-31	$2,563,020
Value of fidelity bond covering the plan	2019-12-31	$633,785
Total contributions received or receivable from participants	2019-12-31	$0
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$327,191
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$-2,563,020
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$2,563,020
Assets. Value of assets in partnership/joint-venture interests	2019-12-31	$0
Total contributions received or receivable from employer(s)	2019-12-31	$0
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$13,582
2018 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$-208,783
Expenses. Total of all expenses incurred	2018-12-31	$37,825
Benefits paid (including direct rollovers)	2018-12-31	$22,598
Total plan assets at end of year	2018-12-31	$2,563,020
Total plan assets at beginning of year	2018-12-31	$2,809,628
Value of fidelity bond covering the plan	2018-12-31	$633,785
Total contributions received or receivable from participants	2018-12-31	$88,822
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-320,570
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$-246,608
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$2,563,020
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$2,809,628
Assets. Value of assets in partnership/joint-venture interests	2018-12-31	$290,121
Total contributions received or receivable from employer(s)	2018-12-31	$22,965
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$15,227
2017 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$533,357
Expenses. Total of all expenses incurred	2017-12-31	$26,907
Benefits paid (including direct rollovers)	2017-12-31	$12,525
Total plan assets at end of year	2017-12-31	$2,809,628
Total plan assets at beginning of year	2017-12-31	$2,303,178
Value of fidelity bond covering the plan	2017-12-31	$633,785
Total contributions received or receivable from participants	2017-12-31	$98,669
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$369,514
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$506,450
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$2,809,628
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,303,178
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$509,474
Total contributions received or receivable from employer(s)	2017-12-31	$65,174
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$14,382
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$272,917
Expenses. Total of all expenses incurred	2016-12-31	$22,849
Benefits paid (including direct rollovers)	2016-12-31	$9,701
Total plan assets at end of year	2016-12-31	$2,303,178
Total plan assets at beginning of year	2016-12-31	$2,053,110
Value of fidelity bond covering the plan	2016-12-31	$633,785
Total contributions received or receivable from participants	2016-12-31	$88,679
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$57,675
Other income received	2016-12-31	$66,503
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$250,068
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,303,178
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,053,110
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$450,795
Total contributions received or receivable from employer(s)	2016-12-31	$60,060
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$13,148
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2013 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$225,121
Expenses. Total of all expenses incurred	2013-12-31	$12,451
Total plan assets at end of year	2013-12-31	$1,512,458
Total plan assets at beginning of year	2013-12-31	$1,299,788
Value of fidelity bond covering the plan	2013-12-31	$250,000
Total contributions received or receivable from participants	2013-12-31	$57,673
Other income received	2013-12-31	$107,958
Net income (gross income less expenses)	2013-12-31	$212,670
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,512,458
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,299,788
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$311,901
Total contributions received or receivable from employer(s)	2013-12-31	$59,490
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$12,451
2012 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$212,430
Expenses. Total of all expenses incurred	2012-12-31	$10,979
Total plan assets at end of year	2012-12-31	$1,299,788
Total plan assets at beginning of year	2012-12-31	$1,098,337
Value of fidelity bond covering the plan	2012-12-31	$250,000
Total contributions received or receivable from participants	2012-12-31	$55,862
Other income received	2012-12-31	$101,259
Net income (gross income less expenses)	2012-12-31	$201,451
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,299,788
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,098,337
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$222,048
Total contributions received or receivable from employer(s)	2012-12-31	$55,309
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$10,979
2011 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$83,473
Expenses. Total of all expenses incurred	2011-12-31	$24,483
Benefits paid (including direct rollovers)	2011-12-31	$14,744
Total plan assets at end of year	2011-12-31	$1,098,337
Total plan assets at beginning of year	2011-12-31	$1,039,347
Value of fidelity bond covering the plan	2011-12-31	$250,000
Total contributions received or receivable from participants	2011-12-31	$49,827
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-18,818
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$58,990
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,098,337
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,039,347
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$197,676
Total contributions received or receivable from employer(s)	2011-12-31	$52,464
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$9,739
2010 : WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$35,360
Expenses. Total of all expenses incurred	2010-12-31	$4,777
Benefits paid (including direct rollovers)	2010-12-31	$4,777
Total plan assets at end of year	2010-12-31	$1,039,347
Total plan assets at beginning of year	2010-12-31	$1,008,764
Value of fidelity bond covering the plan	2010-12-31	$75,000
Total contributions received or receivable from participants	2010-12-31	$48,638
Other income received	2010-12-31	$-61,199
Net income (gross income less expenses)	2010-12-31	$30,583
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,039,347
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,008,764
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$208,027
Total contributions received or receivable from employer(s)	2010-12-31	$47,921

Form 5500 Responses for WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN

2019: WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	This submission is the final filing	Yes
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2013: WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: WILLIAM STEPHENS, D.D.S. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: WILLIAM STEPHENS, D.D.S. 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: WILLIAM STEPHENS, D.D.S. 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	621575
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	621575
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	621575
Policy instance	1

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Company Name:	WILLIAM STEPHENS, D.D.S.
Employer identification number (EIN):	954260366
NAIC Classification:	621210
NAIC Description:	Offices of Dentists