401k Plan data: STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN plan

STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 401k Plan overview

Plan Name	STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN
Plan identification number	006

STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

STAMFORD HOSPITAL has sponsored the creation of one or more 401k plans.

Company Name: STAMFORD HOSPITAL

Employer identification number (EIN): 060646917

NAIC Classification: 622000
NAIC Description: Hospitals

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
006 2015-01-01 MELANIE TURNER
006 2014-01-01 DARRYL MCCORMICK

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
006	2015-01-01	MELANIE TURNER
006	2014-01-01	DARRYL MCCORMICK

Plan Statistics for STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN

401k plan membership statisitcs for STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN

Measure Date Value
2015: STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 3,292
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 2,482
Number of retired or separated participants receiving benefits 2015-01-01 9
Number of other retired or separated participants entitled to future benefits 2015-01-01 983
Total of all active and inactive participants 2015-01-01 3,474
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 2
Total participants 2015-01-01 3,476
Number of participants with account balances 2015-01-01 3,011
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 121
2014: STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2,719
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 2,375
Number of retired or separated participants receiving benefits 2014-01-01 11
Number of other retired or separated participants entitled to future benefits 2014-01-01 905
Total of all active and inactive participants 2014-01-01 3,291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 3,292
Number of participants with account balances 2014-01-01 2,854
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 119

Measure	Date	Value
2015: STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	3,292
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	2,482
Number of retired or separated participants receiving benefits	2015-01-01	9
Number of other retired or separated participants entitled to future benefits	2015-01-01	983
Total of all active and inactive participants	2015-01-01	3,474
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	2
Total participants	2015-01-01	3,476
Number of participants with account balances	2015-01-01	3,011
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	121
2014: STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2,719
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	2,375
Number of retired or separated participants receiving benefits	2014-01-01	11
Number of other retired or separated participants entitled to future benefits	2014-01-01	905
Total of all active and inactive participants	2014-01-01	3,291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	3,292
Number of participants with account balances	2014-01-01	2,854
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	119

Financial Data on STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN

Measure	Date	Value
2015 : STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$15,963,686
Total of all expenses incurred	2015-12-31	$6,926,512
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$6,587,534
Expenses. Certain deemed distributions of participant loans	2015-12-31	$60,696
Value of total corrective distributions	2015-12-31	$2,358
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$17,150,671
Value of total assets at end of year	2015-12-31	$145,214,340
Value of total assets at beginning of year	2015-12-31	$136,177,166
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$275,924
Total interest from all sources	2015-12-31	$152,064
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,277,108
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,277,108
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$9,953,123
Participant contributions at end of year	2015-12-31	$3,834,094
Participant contributions at beginning of year	2015-12-31	$3,403,233
Participant contributions at end of year	2015-12-31	$160,256
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$629,589
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$550,723
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,261,233
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$1,794
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$1,246
Other income not declared elsewhere	2015-12-31	$-28,939
Administrative expenses (other) incurred	2015-12-31	$275,924
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$9,037,174
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$145,214,340
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$136,177,166
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$135,640,888
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$128,437,588
Value of interest in pooled separate accounts at end of year	2015-12-31	$4,412,366
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$3,510,383
Interest on participant loans	2015-12-31	$149,724
Interest earned on other investments	2015-12-31	$2,340
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$404,541
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$273,993
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-2,638,504
Net investment gain/loss from pooled separate accounts	2015-12-31	$51,286
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$5,936,315
Employer contributions (assets) at end of year	2015-12-31	$130,812
Employer contributions (assets) at beginning of year	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$6,587,534
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	No
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2015-12-31	346565596
2014 : STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2014 401k financial data
Total transfer of assets to this plan	2014-12-31	$47,151
Total income from all sources (including contributions)	2014-12-31	$24,489,809
Total of all expenses incurred	2014-12-31	$8,962,222
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$8,549,775
Expenses. Certain deemed distributions of participant loans	2014-12-31	$33,514
Value of total corrective distributions	2014-12-31	$3,864
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$15,714,353
Value of total assets at end of year	2014-12-31	$136,177,166
Value of total assets at beginning of year	2014-12-31	$120,602,428
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$375,069
Total interest from all sources	2014-12-31	$131,170
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,534,760
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$2,534,760
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$9,170,482
Participant contributions at end of year	2014-12-31	$3,403,233
Participant contributions at beginning of year	2014-12-31	$2,713,434
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$107,766
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$550,723
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$934,321
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$1,246
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$1,498
Other income not declared elsewhere	2014-12-31	$25,657
Administrative expenses (other) incurred	2014-12-31	$375,069
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$5,601
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$15,527,587
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$136,177,166
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$120,602,428
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$128,437,588
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$115,174,410
Value of interest in pooled separate accounts at end of year	2014-12-31	$3,510,383
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,286,812
Interest on participant loans	2014-12-31	$128,631
Interest earned on other investments	2014-12-31	$2,539
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$273,993
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$233,523
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$6,062,025
Net investment gain/loss from pooled separate accounts	2014-12-31	$21,844
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$5,609,550
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$79,384
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$8,549,775
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	No
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	ERNST & YOUNG, LLP
Accountancy firm EIN	2014-12-31	346565596

Form 5500 Responses for STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN

2015: STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: STAMFORD HEALTH SYSTEM DEFINED CONTRIBUTION RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TT069294

Policy instance

Insurance contract or identification number	TT069294
Number of Individuals Covered	3011
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TT069294

Policy instance

Insurance contract or identification number	TT069294
Number of Individuals Covered	2854
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	STAMFORD HOSPITAL
Employer identification number (EIN):	060646917
NAIC Classification:	622000
NAIC Description:	Hospitals