401k Plan data: RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN plan

RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

RHODE ISLAND CARDIOLOGY CENTER, LLC 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.
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.

401k Sponsoring company profile

RHODE ISLAND CARDIOLOGY CENTER, LLC has sponsored the creation of one or more 401k plans.

Company Name: RHODE ISLAND CARDIOLOGY CENTER, LLC

Employer identification number (EIN): 050564687

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

Additional information about RHODE ISLAND CARDIOLOGY CENTER, LLC

Jurisdiction of Incorporation: Secretary of State Rhode Island

Incorporation Date:

Company Identification Number: 000131381

More information about RHODE ISLAND CARDIOLOGY CENTER, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 MICHAEL F. GILSON, MD 2015-06-01
001 2013-01-01 MICHAEL F. GILSON, MD 2014-10-09
001 2012-01-01 KATHLEEN C. BENOIT
001 2011-01-01 KATHLEEN C. BENOIT
001 2009-01-01 KATHLEEN BENOIT KATHLEEN BENOIT 2010-10-08
001 2009-01-01 KATHLEEN BENOIT KATHLEEN BENOIT 2010-10-08
001 2009-01-01 KATHLEEN BENOIT KATHLEEN BENOIT 2010-10-08
001 2009-01-01 KATHLEEN BENOIT KATHLEEN BENOIT 2010-10-08

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	MICHAEL F. GILSON, MD	2015-06-01
001	2013-01-01	MICHAEL F. GILSON, MD	2014-10-09
001	2012-01-01	KATHLEEN C. BENOIT
001	2011-01-01	KATHLEEN C. BENOIT
001	2009-01-01	KATHLEEN BENOIT		KATHLEEN BENOIT	2010-10-08
001	2009-01-01	KATHLEEN BENOIT		KATHLEEN BENOIT	2010-10-08
001	2009-01-01	KATHLEEN BENOIT		KATHLEEN BENOIT	2010-10-08
001	2009-01-01	KATHLEEN BENOIT		KATHLEEN BENOIT	2010-10-08

Plan Statistics for RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 42
Total of all active and inactive participants 2012-01-01 42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 42
Number of participants with account balances 2012-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 16
2011: RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 103
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 22
Total of all active and inactive participants 2011-01-01 125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 125
Number of participants with account balances 2011-01-01 108
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 97
Number of other retired or separated participants entitled to future benefits 2009-01-01 34
Total of all active and inactive participants 2009-01-01 131
Total participants 2009-01-01 131
Number of participants with account balances 2009-01-01 128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 4

Measure	Date	Value
2012: RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	42
Total of all active and inactive participants	2012-01-01	42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	42
Number of participants with account balances	2012-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	16
2011: RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	103
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	22
Total of all active and inactive participants	2011-01-01	125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	125
Number of participants with account balances	2011-01-01	108
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	97
Number of other retired or separated participants entitled to future benefits	2009-01-01	34
Total of all active and inactive participants	2009-01-01	131
Total participants	2009-01-01	131
Number of participants with account balances	2009-01-01	128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	4

Financial Data on RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$2,138,174
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$3,838,021
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,833,631
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$957,058
Value of total assets at end of year	2012-12-31	$7,244,237
Value of total assets at beginning of year	2012-12-31	$8,944,084
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$4,390
Total interest from all sources	2012-12-31	$19,102
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$352,165
Participant contributions at end of year	2012-12-31	$74,847
Participant contributions at beginning of year	2012-12-31	$114,140
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$6,804
Administrative expenses (other) incurred	2012-12-31	$4,390
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-1,699,847
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$7,244,237
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$8,944,084
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in pooled separate accounts at end of year	2012-12-31	$7,074,453
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$8,716,675
Interest on participant loans	2012-12-31	$2,723
Interest earned on other investments	2012-12-31	$16,379
Net investment gain/loss from pooled separate accounts	2012-12-31	$1,162,014
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$604,893
Employer contributions (assets) at end of year	2012-12-31	$94,937
Employer contributions (assets) at beginning of year	2012-12-31	$106,465
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,833,631
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	KAHN, LITWIN, RENZA & CO., LTD.
Accountancy firm EIN	2012-12-31	050409384
2011 : RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,012,747
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$354,680
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$335,161
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,343,188
Value of total assets at end of year	2011-12-31	$8,944,084
Value of total assets at beginning of year	2011-12-31	$8,286,017
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$19,519
Total interest from all sources	2011-12-31	$8,014
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$475,967
Participant contributions at end of year	2011-12-31	$114,140
Participant contributions at beginning of year	2011-12-31	$0
Participant contributions at end of year	2011-12-31	$6,804
Participant contributions at beginning of year	2011-12-31	$6,140
Administrative expenses (other) incurred	2011-12-31	$19,519
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$658,067
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$8,944,084
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$8,286,017
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$8,716,675
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$7,852,140
Interest on participant loans	2011-12-31	$1,895
Interest earned on other investments	2011-12-31	$6,119
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$343,153
Net investment gain/loss from pooled separate accounts	2011-12-31	$-338,455
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$867,221
Employer contributions (assets) at end of year	2011-12-31	$106,465
Employer contributions (assets) at beginning of year	2011-12-31	$84,584
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$335,161
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	KAHN, LITWIN, RENZA & CO., LTD.
Accountancy firm EIN	2011-12-31	050409384
2010 : RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,118,236
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$257,423
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$224,024
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,280,709
Value of total assets at end of year	2010-12-31	$8,286,017
Value of total assets at beginning of year	2010-12-31	$6,425,204
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$33,399
Total interest from all sources	2010-12-31	$43,859
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$442,003
Participant contributions at end of year	2010-12-31	$6,140
Participant contributions at beginning of year	2010-12-31	$6,921
Administrative expenses (other) incurred	2010-12-31	$33,399
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,860,813
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$8,286,017
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$6,425,204
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$259,289
Value of interest in pooled separate accounts at end of year	2010-12-31	$7,852,140
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$5,737,832
Interest earned on other investments	2010-12-31	$9,869
Income. Interest from US Government securities	2010-12-31	$33,990
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$343,153
Asset value of US Government securities at end of year	2010-12-31	$0
Asset value of US Government securities at beginning of year	2010-12-31	$366,247
Net investment gain/loss from pooled separate accounts	2010-12-31	$793,668
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$838,706
Employer contributions (assets) at end of year	2010-12-31	$84,584
Employer contributions (assets) at beginning of year	2010-12-31	$54,915
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$224,024
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	KAHN, LITWIN, RENZA & CO., LTD.
Accountancy firm EIN	2010-12-31	050409384

Form 5500 Responses for RHODE ISLAND CARDIOLOGY CENTER, LLC 401(K) PROFIT SHARING PLAN

2012: RHODE ISLAND CARDIOLOGY CENTER, LLC 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: RHODE ISLAND CARDIOLOGY CENTER, LLC 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: RHODE ISLAND CARDIOLOGY CENTER, LLC 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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

875075

Policy instance

Insurance contract or identification number	875075
Number of Individuals Covered	42
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $53,090
Total amount of fees paid to insurance company	USD $11,676
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $36,805
Insurance broker organization code?	3
Amount paid for insurance broker fees	11676
Additional information about fees paid to insurance broker	TPA ADMINISTRATOR ALLOWANCE
Insurance broker name	THE ANGELL PENSION GROUP, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

34247

Policy instance

Insurance contract or identification number	34247
Number of Individuals Covered	0
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $10,527
Total amount of fees paid to insurance company	USD $44
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

875075

Policy instance

Insurance contract or identification number	875075
Number of Individuals Covered	108
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $137,975
Total amount of fees paid to insurance company	USD $24,569
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

34247

Policy instance

Insurance contract or identification number	34247
Number of Individuals Covered	128
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $16,934
Total amount of fees paid to insurance company	USD $20
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $16,934
Amount paid for insurance broker fees	20
Additional information about fees paid to insurance broker	NON-MONETARY COMPENSTION TO SALES REP
Insurance broker organization code?	4
Insurance broker name	MML INVESTORS SERVICES INC.

Potentially related plans

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Company Name:	RHODE ISLAND CARDIOLOGY CENTER, LLC
Employer identification number (EIN):	050564687
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)

Jurisdiction of Incorporation:	Secretary of State Rhode Island
Incorporation Date:
Company Identification Number:	000131381