401k Plan data: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN plan

RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 401k Plan overview

Plan Name	RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN
Plan identification number	002

RHODE ISLAND EYE INSTITUTE 401K/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.
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.

401k Sponsoring company profile

RHODE ISLAND EYE INSTITUTE has sponsored the creation of one or more 401k plans.

Company Name: RHODE ISLAND EYE INSTITUTE

Employer identification number (EIN): 050493136

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 TERESA TENNEY
002 2012-01-01 TERESA TENNEY 2015-03-17
002 2011-01-01 TERESA TENNEY
002 2010-01-01 TERESA TENNEY
002 2009-01-01 TERESA TENNEY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2013-01-01	TERESA TENNEY
002	2012-01-01	TERESA TENNEY	2015-03-17
002	2011-01-01	TERESA TENNEY
002	2010-01-01	TERESA TENNEY
002	2009-01-01	TERESA TENNEY

Plan Statistics for RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN

401k plan membership statisitcs for RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN

Measure Date Value
2013: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 92
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 36
Total of all active and inactive participants 2013-01-01 128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 128
Number of participants with account balances 2013-01-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 3
2011: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 88
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 75
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 19
Total of all active and inactive participants 2011-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 94
Number of participants with account balances 2011-01-01 94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 84
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 68
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 20
Total of all active and inactive participants 2010-01-01 88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 88
Number of participants with account balances 2010-01-01 88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 77
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 67
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 17
Total of all active and inactive participants 2009-01-01 84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 84
Number of participants with account balances 2009-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	92
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	36
Total of all active and inactive participants	2013-01-01	128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	128
Number of participants with account balances	2013-01-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	3
2011: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	88
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	75
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	19
Total of all active and inactive participants	2011-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	94
Number of participants with account balances	2011-01-01	94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	84
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	68
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	20
Total of all active and inactive participants	2010-01-01	88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	88
Number of participants with account balances	2010-01-01	88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	77
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	67
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	17
Total of all active and inactive participants	2009-01-01	84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	84
Number of participants with account balances	2009-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN

Measure	Date	Value
2013 : RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,415,604
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$386,197
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$309,149
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,829,679
Value of total assets at end of year	2013-12-31	$12,272,999
Value of total assets at beginning of year	2013-12-31	$8,243,592
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$77,048
Total interest from all sources	2013-12-31	$1,421
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$179,421
Participant contributions at end of year	2013-12-31	$49,584
Participant contributions at beginning of year	2013-12-31	$32,450
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,741,671
Administrative expenses (other) incurred	2013-12-31	$77,048
Total non interest bearing cash at end of year	2013-12-31	$33,500
Total non interest bearing cash at beginning of year	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$4,029,407
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$12,272,999
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$8,243,592
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$12,189,915
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$8,211,142
Interest on participant loans	2013-12-31	$1,421
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,584,504
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$908,587
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$309,149
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	PICCERELLI, GILSTEIN & COMPANY, LLP
Accountancy firm EIN	2013-12-31	050353162
2011 : RHODE ISLAND EYE INSTITUTE 401K/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	$803,371
Expenses. Total of all expenses incurred	2011-12-31	$1,653,950
Benefits paid (including direct rollovers)	2011-12-31	$1,653,950
Total plan assets at end of year	2011-12-31	$7,664,066
Total plan assets at beginning of year	2011-12-31	$8,514,645
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$124,875
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	$24,930
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$-850,579
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$7,664,066
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$8,514,645
Assets. Value of participant loans	2011-12-31	$53,582
Total contributions received or receivable from employer(s)	2011-12-31	$653,566
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	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : RHODE ISLAND EYE INSTITUTE 401K/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	$1,869,382
Expenses. Total of all expenses incurred	2010-12-31	$1,564,693
Benefits paid (including direct rollovers)	2010-12-31	$1,564,693
Total plan assets at end of year	2010-12-31	$8,514,645
Total plan assets at beginning of year	2010-12-31	$8,209,956
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$129,839
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$1,125,796
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$304,689
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$8,514,645
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$8,209,956
Assets. Value of participant loans	2010-12-31	$28,169
Total contributions received or receivable from employer(s)	2010-12-31	$613,747
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	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN

2013: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2011: RHODE ISLAND EYE INSTITUTE 401K/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
2010: RHODE ISLAND EYE INSTITUTE 401K/PROFIT SHARING PLAN 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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: RHODE ISLAND EYE INSTITUTE 401K/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

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Company Name:	RHODE ISLAND EYE INSTITUTE
Employer identification number (EIN):	050493136
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)