401k Plan data: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN plan

EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 401k Plan overview

Plan Name	EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN
Plan identification number	001

EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) 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.
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.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES OF THE CAROLINAS has sponsored the creation of one or more 401k plans.

Company Name: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES OF THE CAROLINAS

Employer identification number (EIN): 030514118

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 ANDREA WILLIAMS 2024-04-24
001 2022-01-01 ANDREA WILLIAMS 2023-05-24
001 2021-01-01 ANDREA WILLIAMS 2022-06-09 ANDREA WILLIAMS 2022-06-09
001 2020-01-01 ANDREA WILLIAMS 2021-06-23
001 2019-01-01 ANDREA WILLIAMS 2020-06-24 ANDREA WILLIAMS 2020-06-24
001 2018-01-01 ANDREA WILLIAMS 2019-06-06
001 2017-01-01 ANDREA WILLIAMS 2018-06-29 ANDREA WILLIAMS 2018-06-29
001 2016-01-01 ANDREA WILLIAMS 2017-07-12
001 2015-01-01 ANDREA WILLIAMS 2016-06-28 ANDREA WILLIAMS 2016-06-28
001 2014-01-01 ANDREA WILLIAMS 2015-07-23 ANDREA WILLIAMS 2015-07-23
001 2013-01-01 ANDREA WILLIAMS 2014-07-21 ANDREA WILLIAMS 2014-07-21
001 2012-01-01 ANDREA WILLIAMS 2013-07-20 ANDREA WILLIAMS 2013-07-20
001 2011-01-01 ANDREA WILLIAMS ANDREA WILLIAMS 2012-07-27
001 2010-01-01 ANDREA WILLIAMS ANDREA WILLIAMS 2011-08-24
001 2009-01-01 ANDREA WILLIAMS ANDREA WILLIAMS 2010-09-02
001 2009-01-01 ANDREA WILLIAMS ANDREA WILLIAMS 2011-08-25

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	ANDREA WILLIAMS	2024-04-24
001	2022-01-01	ANDREA WILLIAMS	2023-05-24
001	2021-01-01	ANDREA WILLIAMS	2022-06-09	ANDREA WILLIAMS	2022-06-09
001	2020-01-01	ANDREA WILLIAMS	2021-06-23
001	2019-01-01	ANDREA WILLIAMS	2020-06-24	ANDREA WILLIAMS	2020-06-24
001	2018-01-01	ANDREA WILLIAMS	2019-06-06
001	2017-01-01	ANDREA WILLIAMS	2018-06-29	ANDREA WILLIAMS	2018-06-29
001	2016-01-01	ANDREA WILLIAMS	2017-07-12
001	2015-01-01	ANDREA WILLIAMS	2016-06-28	ANDREA WILLIAMS	2016-06-28
001	2014-01-01	ANDREA WILLIAMS	2015-07-23	ANDREA WILLIAMS	2015-07-23
001	2013-01-01	ANDREA WILLIAMS	2014-07-21	ANDREA WILLIAMS	2014-07-21
001	2012-01-01	ANDREA WILLIAMS	2013-07-20	ANDREA WILLIAMS	2013-07-20
001	2011-01-01	ANDREA WILLIAMS		ANDREA WILLIAMS	2012-07-27
001	2010-01-01	ANDREA WILLIAMS		ANDREA WILLIAMS	2011-08-24
001	2009-01-01	ANDREA WILLIAMS		ANDREA WILLIAMS	2010-09-02
001	2009-01-01	ANDREA WILLIAMS		ANDREA WILLIAMS	2011-08-25

Plan Statistics for EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN

401k plan membership statisitcs for EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN

Measure Date Value
2011: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 10
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 9
Total of all active and inactive participants 2011-01-01 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 19
Number of participants with account balances 2011-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 9
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 7
Total of all active and inactive participants 2010-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 16
Number of participants with account balances 2010-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 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 6
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 7
Total of all active and inactive participants 2009-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 13
Number of participants with account balances 2009-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2011: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	10
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	9
Total of all active and inactive participants	2011-01-01	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	19
Number of participants with account balances	2011-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	9
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	7
Total of all active and inactive participants	2010-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	16
Number of participants with account balances	2010-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 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	6
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	7
Total of all active and inactive participants	2009-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	13
Number of participants with account balances	2009-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN

Measure	Date	Value
2011 : EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$9,667
Expenses. Total of all expenses incurred	2011-12-31	$4,197
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$406,792
Total plan assets at beginning of year	2011-12-31	$401,322
Value of fidelity bond covering the plan	2011-12-31	$50,000
Total contributions received or receivable from participants	2011-12-31	$29,635
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-23,011
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$5,470
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$406,792
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$401,322
Assets. Value of participant loans	2011-12-31	$3,292
Total contributions received or receivable from employer(s)	2011-12-31	$3,043
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	$4,197
2010 : EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$115,091
Expenses. Total of all expenses incurred	2010-12-31	$3,057
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$401,322
Total plan assets at beginning of year	2010-12-31	$289,288
Value of fidelity bond covering the plan	2010-12-31	$30,000
Total contributions received or receivable from participants	2010-12-31	$25,261
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$43,211
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$112,034
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$401,322
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$289,288
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2010-12-31	$256
Total contributions received or receivable from employer(s)	2010-12-31	$46,619
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$3,057

Form 5500 Responses for EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN

2011: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) 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
2010: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
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: EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES 401(K) 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

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

55547

Policy instance

Insurance contract or identification number	55547
Number of Individuals Covered	16
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $2,034
Total amount of fees paid to insurance company	USD $326
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

55547

Policy instance

Insurance contract or identification number	55547
Number of Individuals Covered	13
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $1,453
Total amount of fees paid to insurance company	USD $136
Commission paid to Insurance Broker	USD $1,453
Insurance broker organization code?	3
Amount paid for insurance broker fees	136
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker name	ACTUARIAL CONSULTING SERVICES, INC.

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Company Name:	EAR, NOSE, THROAT & AUDIOLOGY ASSOCIATES OF THE CAROLINAS
Employer identification number (EIN):	030514118
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)