401k Plan data: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN plan

UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC has sponsored the creation of one or more 401k plans.

Company Name: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC

Employer identification number (EIN): 261257314

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

Additional information about UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC

Jurisdiction of Incorporation: New Jersey Division of Revenue and Enterprise Services

Incorporation Date:

Company Identification Number: 0600310734

More information about UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 MARK S. BUTLER, M.D. 2021-10-08 MARK S. BUTLER, M.D. 2021-10-08
001 2019-01-01 JEFFREY R. BECHLER, M.D. 2020-10-07 JEFFREY R. BECHLER, M.D. 2020-10-07
001 2018-01-01 MARK S. BUTLER, M.D. 2019-10-08 MARK S. BUTLER, M.D. 2019-10-08
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 BRIAN HOHMAN 2013-09-13
001 2011-01-01 BRIAN HOHMAN 2012-10-09
001 2010-01-01 BRIAN HOHMAN 2011-10-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	MARK S. BUTLER, M.D.	2021-10-08	MARK S. BUTLER, M.D.	2021-10-08
001	2019-01-01	JEFFREY R. BECHLER, M.D.	2020-10-07	JEFFREY R. BECHLER, M.D.	2020-10-07
001	2018-01-01	MARK S. BUTLER, M.D.	2019-10-08	MARK S. BUTLER, M.D.	2019-10-08
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	BRIAN HOHMAN	2013-09-13
001	2011-01-01	BRIAN HOHMAN	2012-10-09
001	2010-01-01	BRIAN HOHMAN	2011-10-12

Plan Statistics for UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2020: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 140
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 0
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 0
Total of all active and inactive participants 2020-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 110
Number of retired or separated participants receiving benefits 2019-01-01 1
Number of other retired or separated participants entitled to future benefits 2019-01-01 17
Total of all active and inactive participants 2019-01-01 128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 1
Total participants 2019-01-01 129
Number of participants with account balances 2019-01-01 129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 123
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 101
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 15
Total of all active and inactive participants 2018-01-01 117
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 1
Total participants 2018-01-01 118
Number of participants with account balances 2018-01-01 118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 123
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 98
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 16
Total of all active and inactive participants 2017-01-01 115
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 116
Number of participants with account balances 2017-01-01 116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0

Measure	Date	Value
2020: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	140
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	0
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	0
Total of all active and inactive participants	2020-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	110
Number of retired or separated participants receiving benefits	2019-01-01	1
Number of other retired or separated participants entitled to future benefits	2019-01-01	17
Total of all active and inactive participants	2019-01-01	128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	1
Total participants	2019-01-01	129
Number of participants with account balances	2019-01-01	129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	123
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	101
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	15
Total of all active and inactive participants	2018-01-01	117
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	1
Total participants	2018-01-01	118
Number of participants with account balances	2018-01-01	118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	123
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	98
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	16
Total of all active and inactive participants	2017-01-01	115
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	116
Number of participants with account balances	2017-01-01	116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0

Financial Data on UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2020 : UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets from this plan	2020-12-31	$16,627,721
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	$4,315,585
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$1,547,190
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,485,422
Value of total corrective distributions	2020-12-31	$558
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$2,244,922
Value of total assets at end of year	2020-12-31	$0
Value of total assets at beginning of year	2020-12-31	$13,859,326
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$61,210
Total interest from all sources	2020-12-31	$10,089
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$80,067
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	$80,067
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	Yes
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$776,329
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$158,973
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$1,111,477
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	$2,768,395
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$13,859,326
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	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$5,857,232
Value of interest in pooled separate accounts at end of year	2020-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$2,065,355
Interest on participant loans	2020-12-31	$7,350
Interest earned on other investments	2020-12-31	$2,739
Value of interest in common/collective trusts at end of year	2020-12-31	$0
Value of interest in common/collective trusts at beginning of year	2020-12-31	$5,347,338
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$214,583
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$963,291
Net investment gain/loss from pooled separate accounts	2020-12-31	$142,919
Net investment gain or loss from common/collective trusts	2020-12-31	$874,297
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	$357,116
Employer contributions (assets) at end of year	2020-12-31	$0
Employer contributions (assets) at beginning of year	2020-12-31	$215,845
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,485,422
Contract administrator fees	2020-12-31	$61,210
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	2020-12-31	Yes
Did the plan have assets held for investment	2020-12-31	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	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	Yes
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	RKL LLP
Accountancy firm EIN	2020-12-31	232108173
2019 : UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) 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 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	$3,806,244
Total income from all sources (including contributions)	2019-12-31	$3,806,244
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	$621,684
Total of all expenses incurred	2019-12-31	$621,684
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$565,605
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$565,605
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,181,039
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,181,039
Value of total assets at end of year	2019-12-31	$13,859,326
Value of total assets at end of year	2019-12-31	$13,859,326
Value of total assets at beginning of year	2019-12-31	$10,674,766
Value of total assets at beginning of year	2019-12-31	$10,674,766
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$56,079
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$56,079
Total interest from all sources	2019-12-31	$11,722
Total interest from all sources	2019-12-31	$11,722
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$88,952
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$88,952
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	$88,952
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$88,952
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	$500,000
Value of fidelity bond cover	2019-12-31	$500,000
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
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	$659,724
Contributions received from participants	2019-12-31	$659,724
Participant contributions at end of year	2019-12-31	$158,973
Participant contributions at end of year	2019-12-31	$158,973
Participant contributions at beginning of year	2019-12-31	$174,834
Participant contributions at beginning of year	2019-12-31	$174,834
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	$3,184,560
Value of net income/loss	2019-12-31	$3,184,560
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$13,859,326
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$13,859,326
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$10,674,766
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$10,674,766
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	$5,857,232
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$5,857,232
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$4,534,863
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$4,534,863
Value of interest in pooled separate accounts at end of year	2019-12-31	$2,065,355
Value of interest in pooled separate accounts at end of year	2019-12-31	$2,065,355
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$1,325,783
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$1,325,783
Interest on participant loans	2019-12-31	$9,511
Interest on participant loans	2019-12-31	$9,511
Interest earned on other investments	2019-12-31	$2,211
Interest earned on other investments	2019-12-31	$2,211
Value of interest in common/collective trusts at end of year	2019-12-31	$5,347,338
Value of interest in common/collective trusts at end of year	2019-12-31	$5,347,338
Value of interest in common/collective trusts at beginning of year	2019-12-31	$4,480,286
Value of interest in common/collective trusts at beginning of year	2019-12-31	$4,480,286
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$214,583
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$214,583
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$16,144
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$16,144
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,128,548
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,128,548
Net investment gain/loss from pooled separate accounts	2019-12-31	$415,500
Net investment gain/loss from pooled separate accounts	2019-12-31	$415,500
Net investment gain or loss from common/collective trusts	2019-12-31	$980,483
Net investment gain or loss from common/collective trusts	2019-12-31	$980,483
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	$521,315
Contributions received in cash from employer	2019-12-31	$521,315
Employer contributions (assets) at end of year	2019-12-31	$215,845
Employer contributions (assets) at end of year	2019-12-31	$215,845
Employer contributions (assets) at beginning of year	2019-12-31	$142,856
Employer contributions (assets) at beginning of year	2019-12-31	$142,856
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$565,605
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$565,605
Contract administrator fees	2019-12-31	$56,079
Contract administrator fees	2019-12-31	$56,079
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	RKL LLP
Accountancy firm name	2019-12-31	RKL LLP
Accountancy firm EIN	2019-12-31	232108173
Accountancy firm EIN	2019-12-31	232108173
2018 : UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$372,169
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$611,254
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$561,881
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,053,561
Value of total assets at end of year	2018-12-31	$10,674,766
Value of total assets at beginning of year	2018-12-31	$10,913,851
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$49,373
Total interest from all sources	2018-12-31	$9,629
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$81,018
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$81,018
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$619,153
Participant contributions at end of year	2018-12-31	$174,834
Participant contributions at beginning of year	2018-12-31	$136,535
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$7,623
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-239,085
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$10,674,766
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$10,913,851
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$4,534,863
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$4,655,179
Value of interest in pooled separate accounts at end of year	2018-12-31	$1,325,783
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$1,391,382
Interest on participant loans	2018-12-31	$9,328
Interest earned on other investments	2018-12-31	$301
Value of interest in common/collective trusts at end of year	2018-12-31	$4,480,286
Value of interest in common/collective trusts at beginning of year	2018-12-31	$4,563,536
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$16,144
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$16,398
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-297,733
Net investment gain/loss from pooled separate accounts	2018-12-31	$-119,025
Net investment gain or loss from common/collective trusts	2018-12-31	$-355,281
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$426,785
Employer contributions (assets) at end of year	2018-12-31	$142,856
Employer contributions (assets) at beginning of year	2018-12-31	$150,821
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$561,881
Contract administrator fees	2018-12-31	$49,373
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	RKL LLP
Accountancy firm EIN	2018-12-31	232108173
2017 : UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$2,544,061
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$676,835
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$632,996
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,032,567
Value of total assets at end of year	2017-12-31	$10,913,851
Value of total assets at beginning of year	2017-12-31	$9,046,625
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$43,839
Total interest from all sources	2017-12-31	$7,024
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$56,892
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$56,892
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$600,303
Participant contributions at end of year	2017-12-31	$136,535
Participant contributions at beginning of year	2017-12-31	$146,556
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$20,141
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,867,226
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$10,913,851
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$9,046,625
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$4,655,179
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$4,013,736
Value of interest in pooled separate accounts at end of year	2017-12-31	$1,391,382
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$1,160,474
Interest on participant loans	2017-12-31	$6,789
Interest earned on other investments	2017-12-31	$235
Value of interest in common/collective trusts at end of year	2017-12-31	$4,563,536
Value of interest in common/collective trusts at beginning of year	2017-12-31	$3,555,295
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$16,398
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$13,635
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$637,653
Net investment gain/loss from pooled separate accounts	2017-12-31	$183,122
Net investment gain or loss from common/collective trusts	2017-12-31	$626,803
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$412,123
Employer contributions (assets) at end of year	2017-12-31	$150,821
Employer contributions (assets) at beginning of year	2017-12-31	$156,929
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$632,996
Contract administrator fees	2017-12-31	$43,839
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	RKL LLP
Accountancy firm EIN	2017-12-31	232108173

Form 5500 Responses for UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

2020: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) 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	Yes
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: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) 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
2018: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

813499

Policy instance

Insurance contract or identification number	813499
Number of Individuals Covered	0
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $4,406
Total amount of fees paid to insurance company	USD $881
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?	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
Commission paid to Insurance Broker	USD $4,406
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	0
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $411
Total amount of fees paid to insurance company	USD $82
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
Commission paid to Insurance Broker	USD $411
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	131
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $246
Total amount of fees paid to insurance company	USD $49
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
Commission paid to Insurance Broker	USD $246
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

813499

Policy instance

Insurance contract or identification number	813499
Number of Individuals Covered	131
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $4,149
Total amount of fees paid to insurance company	USD $830
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?	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
Commission paid to Insurance Broker	USD $4,149
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	120
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $44
Total amount of fees paid to insurance company	USD $9
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
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	9
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

813499

Policy instance

Insurance contract or identification number	813499
Number of Individuals Covered	120
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $3,585
Total amount of fees paid to insurance company	USD $717
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?	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
Commission paid to Insurance Broker	USD $3,583
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

813499

Policy instance

Insurance contract or identification number	813499
Number of Individuals Covered	117
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $2,788
Total amount of fees paid to insurance company	USD $0
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?	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
Commission paid to Insurance Broker	USD $2,788
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	AMERIPRISE FINANCIAL SVCS INC - 201

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	117
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $31
Total amount of fees paid to insurance company	USD $0
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
Commission paid to Insurance Broker	USD $31
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	AMERIPRISE FINANCIAL SVCS INC - 201

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Company Name:	UNIVERSITY ORTHOPAEDIC ASSOCIATES, LLC
Employer identification number (EIN):	261257314
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)

Jurisdiction of Incorporation:	New Jersey Division of Revenue and Enterprise Services
Incorporation Date:
Company Identification Number:	0600310734