401k Plan data: UPPER VALLEY PEDIATRICS plan

UPPER VALLEY PEDIATRICS 401k Plan overview

Plan Name	UPPER VALLEY PEDIATRICS
Plan identification number	001

UPPER VALLEY PEDIATRICS Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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.
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

UPPER VALLEY PEDIATRICS has sponsored the creation of one or more 401k plans.

Company Name: UPPER VALLEY PEDIATRICS

Employer identification number (EIN): 030367834

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UPPER VALLEY PEDIATRICS

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 MARK HARRIS MARK HARRIS 2012-05-14
001 2010-01-01 MARK HARRIS MARK HARRIS 2011-07-15
001 2009-01-01 MARK HARRIS MARK HARRIS 2011-02-23
001 2009-01-01 MARK BIELECKI
001 2008-01-01 MARK HARRIS MARK HARRIS 2011-02-23
001 2007-01-01 MARK HARRIS MARK HARRIS 2011-02-23
001 2007-01-01 MARK HARRIS MARK HARRIS 2011-02-23

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2011-01-01	MARK HARRIS	MARK HARRIS	2012-05-14
001	2010-01-01	MARK HARRIS	MARK HARRIS	2011-07-15
001	2009-01-01	MARK HARRIS	MARK HARRIS	2011-02-23
001	2009-01-01	MARK BIELECKI
001	2008-01-01	MARK HARRIS	MARK HARRIS	2011-02-23
001	2007-01-01	MARK HARRIS	MARK HARRIS	2011-02-23
001	2007-01-01	MARK HARRIS	MARK HARRIS	2011-02-23

Plan Statistics for UPPER VALLEY PEDIATRICS

401k plan membership statisitcs for UPPER VALLEY PEDIATRICS

Measure Date Value
2011: UPPER VALLEY PEDIATRICS 2011 401k membership
Total participants, beginning-of-year 2011-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: UPPER VALLEY PEDIATRICS 2010 401k membership
Total participants, beginning-of-year 2010-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 0
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 8
Total of all active and inactive participants 2010-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 8
Number of participants with account balances 2010-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: UPPER VALLEY PEDIATRICS 2009 401k membership
Total participants, beginning-of-year 2009-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 13
Total of all active and inactive participants 2009-01-01 13
Total participants 2009-01-01 13
Number of participants with account balances 2009-01-01 8
2008: UPPER VALLEY PEDIATRICS 2008 401k membership
Total participants, beginning-of-year 2008-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 10
Total of all active and inactive participants 2008-01-01 10
Total participants 2008-01-01 10
Number of participants with account balances 2008-01-01 8
2007: UPPER VALLEY PEDIATRICS 2007 401k membership
Total participants, beginning-of-year 2007-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 11
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 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 11
Number of participants with account balances 2007-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 0

Measure	Date	Value
2011: UPPER VALLEY PEDIATRICS 2011 401k membership
Total participants, beginning-of-year	2011-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: UPPER VALLEY PEDIATRICS 2010 401k membership
Total participants, beginning-of-year	2010-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	0
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	8
Total of all active and inactive participants	2010-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	8
Number of participants with account balances	2010-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: UPPER VALLEY PEDIATRICS 2009 401k membership
Total participants, beginning-of-year	2009-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	13
Total of all active and inactive participants	2009-01-01	13
Total participants	2009-01-01	13
Number of participants with account balances	2009-01-01	8
2008: UPPER VALLEY PEDIATRICS 2008 401k membership
Total participants, beginning-of-year	2008-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	10
Total of all active and inactive participants	2008-01-01	10
Total participants	2008-01-01	10
Number of participants with account balances	2008-01-01	8
2007: UPPER VALLEY PEDIATRICS 2007 401k membership
Total participants, beginning-of-year	2007-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	11
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	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	11
Number of participants with account balances	2007-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	0

Financial Data on UPPER VALLEY PEDIATRICS

Measure	Date	Value
2011 : UPPER VALLEY PEDIATRICS 2011 401k financial data
Total income from all sources	2011-12-31	$14,017
Expenses. Total of all expenses incurred	2011-12-31	$1,214,892
Benefits paid (including direct rollovers)	2011-12-31	$1,200,953
Total plan assets at end of year	2011-12-31	$0
Total plan assets at beginning of year	2011-12-31	$1,200,875
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$621
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$13,396
Net income (gross income less expenses)	2011-12-31	$-1,200,875
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,200,875
Total contributions received or receivable from employer(s)	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$13,939
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : UPPER VALLEY PEDIATRICS 2010 401k financial data
Total income from all sources	2010-12-31	$127,630
Expenses. Total of all expenses incurred	2010-12-31	$43,914
Benefits paid (including direct rollovers)	2010-12-31	$43,345
Total plan assets at end of year	2010-12-31	$1,200,875
Total plan assets at beginning of year	2010-12-31	$1,117,159
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$127,009
Net income (gross income less expenses)	2010-12-31	$83,716
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,200,875
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,117,159
Total contributions received or receivable from employer(s)	2010-12-31	$621
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$569
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2008 : UPPER VALLEY PEDIATRICS 2008 401k financial data
Funding deficiency by the employer to the plan for this plan year	2008-12-31	$0
Minimum employer required contribution for this plan year	2008-12-31	$0
Amount contributed by the employer to the plan for this plan year	2008-12-31	$0
2007 : UPPER VALLEY PEDIATRICS 2007 401k financial data
Funding deficiency by the employer to the plan for this plan year	2007-12-31	$4,988
Minimum employer required contribution for this plan year	2007-12-31	$57,950
Amount contributed by the employer to the plan for this plan year	2007-12-31	$52,962

Form 5500 Responses for UPPER VALLEY PEDIATRICS

2011: UPPER VALLEY PEDIATRICS 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	Yes
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
2010: UPPER VALLEY PEDIATRICS 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: UPPER VALLEY PEDIATRICS 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
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
2008: UPPER VALLEY PEDIATRICS 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Insurance	Yes
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement – Insurance	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes
2007: UPPER VALLEY PEDIATRICS 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	Yes
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Insurance	Yes
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement – Insurance	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UPPER VALLEY PEDIATRICS
Employer identification number (EIN):	030367834
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)