401k Plan data: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN plan

EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN
Plan identification number	001

EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC has sponsored the creation of one or more 401k plans.

Company Name: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC

Employer identification number (EIN): 201442673

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 DOUGLAS FRANKEY 2023-10-16 DOUGLAS FRANKEY 2023-10-16
001 2021-01-01 DOUGLAS FRANKEY 2022-10-17
001 2020-01-01 DOUGLAS FRANKEY 2021-10-15
001 2019-01-01 JOSHUA SCHWARTZ 2020-10-15 AMY CHERNAULT 2020-10-15
001 2018-01-01
001 2017-01-01 DR. JOSHUA SCHWARTZ 2018-09-26 AMY CHERNAULT 2018-09-26
001 2017-01-01
001 2016-01-01 DR. JOSHUA SCHWARTZ 2018-01-30
001 2015-01-01 DR. JOSHUA SCHWARTZ 2016-10-17
001 2014-01-01 DR. JOSHUA SCHWARTZ 2015-10-14
001 2013-01-01 DR. JOSHUA SCHWARTZ 2014-10-15
001 2012-01-01 DR. JOSHUA SCHWARTZ 2013-09-23
001 2011-01-01 DR. JOSHUA SCHWARTZ 2012-08-16
001 2010-01-01 DR. JOSHUA SCHWARTZ 2011-09-22
001 2007-01-01 JOSHUA SCHWARTZ

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	DOUGLAS FRANKEY	2023-10-16	DOUGLAS FRANKEY	2023-10-16
001	2021-01-01	DOUGLAS FRANKEY	2022-10-17
001	2020-01-01	DOUGLAS FRANKEY	2021-10-15
001	2019-01-01	JOSHUA SCHWARTZ	2020-10-15	AMY CHERNAULT	2020-10-15
001	2018-01-01
001	2017-01-01	DR. JOSHUA SCHWARTZ	2018-09-26	AMY CHERNAULT	2018-09-26
001	2017-01-01
001	2016-01-01	DR. JOSHUA SCHWARTZ	2018-01-30
001	2015-01-01	DR. JOSHUA SCHWARTZ	2016-10-17
001	2014-01-01	DR. JOSHUA SCHWARTZ	2015-10-14
001	2013-01-01	DR. JOSHUA SCHWARTZ	2014-10-15
001	2012-01-01	DR. JOSHUA SCHWARTZ	2013-09-23
001	2011-01-01	DR. JOSHUA SCHWARTZ	2012-08-16
001	2010-01-01	DR. JOSHUA SCHWARTZ	2011-09-22
001	2007-01-01	JOSHUA SCHWARTZ

Plan Statistics for EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN

401k plan membership statisitcs for EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN

Measure Date Value
2022: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 190
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 147
Number of retired or separated participants receiving benefits 2022-01-01 5
Number of other retired or separated participants entitled to future benefits 2022-01-01 37
Total of all active and inactive participants 2022-01-01 189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 189
Number of participants with account balances 2022-01-01 187
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 5
2021: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 175
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 149
Number of retired or separated participants receiving benefits 2021-01-01 1
Number of other retired or separated participants entitled to future benefits 2021-01-01 31
Total of all active and inactive participants 2021-01-01 181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 181
Number of participants with account balances 2021-01-01 178
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 6
2020: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 159
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 143
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 25
Total of all active and inactive participants 2020-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 168
Number of participants with account balances 2020-01-01 168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 7
2019: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 141
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 16
Total of all active and inactive participants 2019-01-01 157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 157
Number of participants with account balances 2019-01-01 155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 7
2007: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year 2007-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 63
Number of retired or separated participants receiving benefits 2007-01-01 1
Number of other retired or separated participants entitled to future benefits 2007-01-01 35
Total of all active and inactive participants 2007-01-01 99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 99
Number of participants with account balances 2007-01-01 99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 6

Measure	Date	Value
2022: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	190
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	147
Number of retired or separated participants receiving benefits	2022-01-01	5
Number of other retired or separated participants entitled to future benefits	2022-01-01	37
Total of all active and inactive participants	2022-01-01	189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	189
Number of participants with account balances	2022-01-01	187
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	5
2021: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	175
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	149
Number of retired or separated participants receiving benefits	2021-01-01	1
Number of other retired or separated participants entitled to future benefits	2021-01-01	31
Total of all active and inactive participants	2021-01-01	181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	181
Number of participants with account balances	2021-01-01	178
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	6
2020: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	159
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	143
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	25
Total of all active and inactive participants	2020-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	168
Number of participants with account balances	2020-01-01	168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	7
2019: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	141
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	16
Total of all active and inactive participants	2019-01-01	157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	157
Number of participants with account balances	2019-01-01	155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	7
2007: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2007 401k membership
Total participants, beginning-of-year	2007-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	63
Number of retired or separated participants receiving benefits	2007-01-01	1
Number of other retired or separated participants entitled to future benefits	2007-01-01	35
Total of all active and inactive participants	2007-01-01	99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	99
Number of participants with account balances	2007-01-01	99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	6

Financial Data on EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN

Measure	Date	Value
2022 : EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-1,695,239
Total loss/gain on sale of assets	2022-12-31	$-711,950
Total of all expenses incurred	2022-12-31	$3,709,152
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$3,468,294
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$5,422,555
Value of total assets at end of year	2022-12-31	$40,676,911
Value of total assets at beginning of year	2022-12-31	$46,081,302
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$240,858
Total interest from all sources	2022-12-31	$7,685
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$244,505
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$244,505
Administrative expenses professional fees incurred	2022-12-31	$14,902
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$1,956,947
Participant contributions at end of year	2022-12-31	$187,282
Participant contributions at beginning of year	2022-12-31	$151,761
Participant contributions at end of year	2022-12-31	$23,545
Participant contributions at beginning of year	2022-12-31	$42,140
Assets. Other investments not covered elsewhere at end of year	2022-12-31	$27,638,686
Assets. Other investments not covered elsewhere at beginning of year	2022-12-31	$30,395,438
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$542,071
Other income not declared elsewhere	2022-12-31	$-4,697,611
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-5,404,391
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$40,676,911
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$46,081,302
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$213,934
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$11,732,269
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$14,893,169
Interest on participant loans	2022-12-31	$7,685
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$554,521
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$78,834
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$78,834
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-1,960,423
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$2,923,537
Employer contributions (assets) at end of year	2022-12-31	$540,608
Employer contributions (assets) at beginning of year	2022-12-31	$519,960
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$3,468,294
Contract administrator fees	2022-12-31	$12,022
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Aggregate proceeds on sale of assets	2022-12-31	$17,397,228
Aggregate carrying amount (costs) on sale of assets	2022-12-31	$18,109,178
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	FORVIS, LLP
Accountancy firm EIN	2022-12-31	440160260
2021 : EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$10,782,466
Total loss/gain on sale of assets	2021-12-31	$27,602
Total of all expenses incurred	2021-12-31	$7,770,666
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$7,550,267
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$5,562,851
Value of total assets at end of year	2021-12-31	$46,081,302
Value of total assets at beginning of year	2021-12-31	$43,069,502
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$220,399
Total interest from all sources	2021-12-31	$8,847
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$594,458
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$594,458
Administrative expenses professional fees incurred	2021-12-31	$103,064
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$1,882,315
Participant contributions at end of year	2021-12-31	$151,761
Participant contributions at beginning of year	2021-12-31	$137,379
Participant contributions at end of year	2021-12-31	$42,140
Participant contributions at beginning of year	2021-12-31	$98
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$30,395,438
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$893,384
Other income not declared elsewhere	2021-12-31	$193,767
Administrative expenses (other) incurred	2021-12-31	$275
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$3,011,800
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$46,081,302
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$43,069,502
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$111,441
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$14,893,169
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$41,146,145
Interest on participant loans	2021-12-31	$8,353
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$78,834
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$494
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$1,336,837
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$4,394,941
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$2,787,152
Employer contributions (assets) at end of year	2021-12-31	$519,960
Employer contributions (assets) at beginning of year	2021-12-31	$449,043
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$7,550,267
Contract administrator fees	2021-12-31	$5,619
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Aggregate proceeds on sale of assets	2021-12-31	$20,031,828
Aggregate carrying amount (costs) on sale of assets	2021-12-31	$20,004,226
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	FORVIS, LLP
Accountancy firm EIN	2021-12-31	440160260
2020 : EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$12,508,652
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$3,416,776
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$3,332,344
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$6,909,716
Value of total assets at end of year	2020-12-31	$43,069,502
Value of total assets at beginning of year	2020-12-31	$33,977,626
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$84,432
Total interest from all sources	2020-12-31	$11,621
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$1,102,059
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$1,102,059
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,825,203
Participant contributions at end of year	2020-12-31	$137,379
Participant contributions at beginning of year	2020-12-31	$174,251
Participant contributions at end of year	2020-12-31	$98
Participant contributions at beginning of year	2020-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$2,438,148
Other income not declared elsewhere	2020-12-31	$59,492
Administrative expenses (other) incurred	2020-12-31	$3,090
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$9,091,876
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$43,069,502
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$33,977,626
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$41,146,145
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$31,899,790
Interest on participant loans	2020-12-31	$11,020
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$601
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$1,336,837
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$1,274,002
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$4,425,764
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$2,646,365
Employer contributions (assets) at end of year	2020-12-31	$449,043
Employer contributions (assets) at beginning of year	2020-12-31	$629,583
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$3,332,344
Contract administrator fees	2020-12-31	$81,342
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	DIXON HUGHES GOODMAN
Accountancy firm EIN	2020-12-31	560747981
2019 : EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$9,794,411
Total income from all sources (including contributions)	2019-12-31	$9,794,411
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$2,700,309
Total of all expenses incurred	2019-12-31	$2,700,309
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,652,785
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,652,785
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$4,491,451
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$4,491,451
Value of total assets at end of year	2019-12-31	$33,977,626
Value of total assets at end of year	2019-12-31	$33,977,626
Value of total assets at beginning of year	2019-12-31	$26,883,524
Value of total assets at beginning of year	2019-12-31	$26,883,524
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$47,524
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$47,524
Total interest from all sources	2019-12-31	$7,192
Total interest from all sources	2019-12-31	$7,192
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$650,709
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$650,709
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$650,709
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$650,709
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,590,653
Contributions received from participants	2019-12-31	$1,590,653
Participant contributions at end of year	2019-12-31	$174,251
Participant contributions at end of year	2019-12-31	$174,251
Participant contributions at beginning of year	2019-12-31	$64,801
Participant contributions at beginning of year	2019-12-31	$64,801
Participant contributions at end of year	2019-12-31	$0
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$17,449
Participant contributions at beginning of year	2019-12-31	$17,449
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$301,734
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$301,734
Other income not declared elsewhere	2019-12-31	$16,995
Other income not declared elsewhere	2019-12-31	$16,995
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$7,094,102
Value of net income/loss	2019-12-31	$7,094,102
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$33,977,626
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$33,977,626
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$26,883,524
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$26,883,524
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$31,899,790
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$31,899,790
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$24,633,257
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$24,633,257
Interest on participant loans	2019-12-31	$6,338
Interest on participant loans	2019-12-31	$6,338
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$854
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$854
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,274,002
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,274,002
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,677,242
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,677,242
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$4,628,064
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$4,628,064
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$2,599,064
Contributions received in cash from employer	2019-12-31	$2,599,064
Employer contributions (assets) at end of year	2019-12-31	$629,583
Employer contributions (assets) at end of year	2019-12-31	$629,583
Employer contributions (assets) at beginning of year	2019-12-31	$490,775
Employer contributions (assets) at beginning of year	2019-12-31	$490,775
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,652,785
Contract administrator fees	2019-12-31	$47,524
Contract administrator fees	2019-12-31	$47,524
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	DIXON HUGHES GOODMAN
Accountancy firm name	2019-12-31	DIXON HUGHES GOODMAN
Accountancy firm EIN	2019-12-31	560747981
Accountancy firm EIN	2019-12-31	560747981

Form 5500 Responses for EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN

2022: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2007: EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC 401K PROFIT SHARING PLAN 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	Yes
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

335976-01

Policy instance

Insurance contract or identification number	335976-01
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Are there contracts with allocated funds for individual policies?	0
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

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

335976-01

Policy instance

Insurance contract or identification number	335976-01
Number of Individuals Covered	17
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Are there contracts with allocated funds for individual policies?	0
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

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

335976-01

Policy instance

Insurance contract or identification number	335976-01
Number of Individuals Covered	17
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Are there contracts with allocated funds for individual policies?	0
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

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Company Name:	EAST CAROLINA ANESTHESIA ASSOCIATES, PLLC
Employer identification number (EIN):	201442673
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)