401k Plan data: RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN plan

RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN
Plan identification number	001

RETINA CENTERS OF ALABAMA 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.
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.
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

RETINA CENTERS OF ALABAMA has sponsored the creation of one or more 401k plans.

Company Name: RETINA CENTERS OF ALABAMA

Employer identification number (EIN): 205204394

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 JAMIE SAUNDERS 2015-09-28
001 2013-01-01 JAMIE SAUNDERS 2014-10-08
001 2012-01-01 JAMIE SAUNDERS JAMIE SAUNDERS 2013-07-15
001 2011-01-01 JAMIE SAUNDERS JAMIE SAUNDERS 2012-07-16
001 2009-01-01 JAMIE SAUNDERS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	JAMIE SAUNDERS	2015-09-28
001	2013-01-01	JAMIE SAUNDERS	2014-10-08
001	2012-01-01	JAMIE SAUNDERS		JAMIE SAUNDERS	2013-07-15
001	2011-01-01	JAMIE SAUNDERS		JAMIE SAUNDERS	2012-07-16
001	2009-01-01	JAMIE SAUNDERS

Plan Statistics for RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 9
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 1
Total of all active and inactive participants 2012-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 10
Number of participants with account balances 2012-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 10
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 11
Number of participants with account balances 2011-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 5
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 6
Number of participants with account balances 2009-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	9
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	1
Total of all active and inactive participants	2012-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	10
Number of participants with account balances	2012-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	10
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	11
Number of participants with account balances	2011-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	5
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	6
Number of participants with account balances	2009-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$16,192
Total plan liabilities at beginning of year	2012-12-31	$2,267
Total income from all sources	2012-12-31	$59,877
Expenses. Total of all expenses incurred	2012-12-31	$2,715
Benefits paid (including direct rollovers)	2012-12-31	$2,041
Total plan assets at end of year	2012-12-31	$333,578
Total plan assets at beginning of year	2012-12-31	$262,491
Total contributions received or receivable from participants	2012-12-31	$36,232
Expenses. Other expenses not covered elsewhere	2012-12-31	$674
Other income received	2012-12-31	$23,645
Net income (gross income less expenses)	2012-12-31	$57,162
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$317,386
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$260,224
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$2,267
Total plan liabilities at beginning of year	2011-12-31	$2,477
Total income from all sources	2011-12-31	$49,746
Expenses. Total of all expenses incurred	2011-12-31	$12,168
Benefits paid (including direct rollovers)	2011-12-31	$9,901
Total plan assets at end of year	2011-12-31	$262,491
Total plan assets at beginning of year	2011-12-31	$225,123
Total contributions received or receivable from participants	2011-12-31	$24,449
Expenses. Other expenses not covered elsewhere	2011-12-31	$2,267
Contributions received from other sources (not participants or employers)	2011-12-31	$16,766
Other income received	2011-12-31	$-26,590
Net income (gross income less expenses)	2011-12-31	$37,578
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$260,224
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$222,646
Assets. Value of participant loans	2011-12-31	$51,299
Total contributions received or receivable from employer(s)	2011-12-31	$35,121
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$2,477
Total plan liabilities at beginning of year	2010-12-31	$1,119
Total income from all sources	2010-12-31	$76,675
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$225,123
Total plan assets at beginning of year	2010-12-31	$147,090
Total contributions received or receivable from participants	2010-12-31	$39,910
Other income received	2010-12-31	$9,270
Net income (gross income less expenses)	2010-12-31	$76,675
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$222,646
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$145,971
Total contributions received or receivable from employer(s)	2010-12-31	$27,495
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for RETINA CENTERS OF ALABAMA 401(K) PROFIT SHARING PLAN

2012: RETINA CENTERS OF ALABAMA 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: RETINA CENTERS OF ALABAMA 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: RETINA CENTERS OF ALABAMA 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

96227

Policy instance

Insurance contract or identification number	96227
Number of Individuals Covered	10
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $1,010
Total amount of fees paid to insurance company	USD $0
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
Commission paid to Insurance Broker	USD $1,001
Insurance broker organization code?	3
Insurance broker name	FINANCIAL CONSULTING GROUP

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

96227

Policy instance

Insurance contract or identification number	96227
Number of Individuals Covered	8
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $971
Total amount of fees paid to insurance company	USD $0
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

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

96227

Policy instance

Insurance contract or identification number	96227
Number of Individuals Covered	8
Insurance policy start date	2010-03-02
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $1,046
Total amount of fees paid to insurance company	USD $0
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
Commission paid to Insurance Broker	USD $552
Insurance broker organization code?	5
Insurance broker name	DENNIS R. PLYLER

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Company Name:	RETINA CENTERS OF ALABAMA
Employer identification number (EIN):	205204394
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)