401k Plan data: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN plan

HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN
Plan identification number	001

HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 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.
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.

401k Sponsoring company profile

HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT has sponsored the creation of one or more 401k plans.

Company Name: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT

Employer identification number (EIN): 200397158

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 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 ANTHONY W. D'SOUZA
001 2013-01-01 ANTHONY W. D'SOUZA
001 2012-01-01 ANTHONY W. D'SOUZA
001 2011-01-01 ANTHONY W. D'SOUZA

Plan id#	Filing Submission Date	Name of Administrator
001	2014-01-01	ANTHONY W. D'SOUZA
001	2013-01-01	ANTHONY W. D'SOUZA
001	2012-01-01	ANTHONY W. D'SOUZA
001	2011-01-01	ANTHONY W. D'SOUZA

Plan Statistics for HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 29
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
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 23
Total of all active and inactive participants 2013-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 23
Number of participants with account balances 2013-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 16
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 13
Total of all active and inactive participants 2012-01-01 29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 29
Number of participants with account balances 2012-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 30
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 18
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 14
Total of all active and inactive participants 2011-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 32
Number of participants with account balances 2011-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 2

Measure	Date	Value
2014: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	29
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
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	23
Total of all active and inactive participants	2013-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	23
Number of participants with account balances	2013-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	16
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	13
Total of all active and inactive participants	2012-01-01	29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	29
Number of participants with account balances	2012-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	30
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	18
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	14
Total of all active and inactive participants	2011-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	32
Number of participants with account balances	2011-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	2

Financial Data on HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$136,366
Expenses. Total of all expenses incurred	2014-12-31	$3,529,245
Benefits paid (including direct rollovers)	2014-12-31	$3,528,051
Total plan assets at end of year	2014-12-31	$0
Total plan assets at beginning of year	2014-12-31	$3,392,879
Value of fidelity bond covering the plan	2014-12-31	$100,000
Total contributions received or receivable from participants	2014-12-31	$0
Expenses. Other expenses not covered elsewhere	2014-12-31	$1,194
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$136,366
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$-3,392,879
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,392,879
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$592,244
Expenses. Total of all expenses incurred	2013-12-31	$486,357
Benefits paid (including direct rollovers)	2013-12-31	$486,357
Total plan assets at end of year	2013-12-31	$3,392,879
Total plan assets at beginning of year	2013-12-31	$3,286,992
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$50,792
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$525,694
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$105,887
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,392,879
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,286,992
Total contributions received or receivable from employer(s)	2013-12-31	$15,758
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$453,185
Expenses. Total of all expenses incurred	2012-12-31	$80,287
Benefits paid (including direct rollovers)	2012-12-31	$80,287
Total plan assets at end of year	2012-12-31	$3,286,992
Total plan assets at beginning of year	2012-12-31	$2,914,094
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$71,850
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$348,594
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$372,898
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,286,992
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,914,094
Total contributions received or receivable from employer(s)	2012-12-31	$32,741
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) 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	$111,095
Expenses. Total of all expenses incurred	2011-12-31	$21,792
Benefits paid (including direct rollovers)	2011-12-31	$21,792
Total plan assets at end of year	2011-12-31	$2,914,094
Total plan assets at beginning of year	2011-12-31	$2,824,791
Value of fidelity bond covering the plan	2011-12-31	$100,000
Total contributions received or receivable from participants	2011-12-31	$73,905
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	$-52,056
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$89,303
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,914,094
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,824,791
Total contributions received or receivable from employer(s)	2011-12-31	$89,246
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 : HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
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	$1,779,463
Expenses. Total of all expenses incurred	2010-12-31	$42,973
Benefits paid (including direct rollovers)	2010-12-31	$42,973
Total plan assets at end of year	2010-12-31	$2,824,791
Total plan assets at beginning of year	2010-12-31	$1,088,301
Value of fidelity bond covering the plan	2010-12-31	$100,000
Total contributions received or receivable from participants	2010-12-31	$64,859
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$1,418,957
Other income received	2010-12-31	$242,519
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$1,736,490
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,824,791
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,088,301
Total contributions received or receivable from employer(s)	2010-12-31	$53,128
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

Form 5500 Responses for HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN

2014: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	This submission is the final filing	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	HEART SPECIALISTS, P.C. OF SOUTHERN CONNECTICUT
Employer identification number (EIN):	200397158
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)