401k Plan data: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN plan

STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN
Plan identification number	002

STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
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

STEPHEN P. SUTTON, M.D., INC. has sponsored the creation of one or more 401k plans.

Company Name: STEPHEN P. SUTTON, M.D., INC.

Employer identification number (EIN): 341546474

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-01-01 STEPHEN P. SUTTON
002 2014-01-01 STEPHEN P. SUTTON
002 2013-01-01 STEPHEN P. SUTTON
002 2012-01-01 STEPHEN P. SUTTON STEPHEN P. SUTTON, M.D. 2013-07-05
002 2011-01-01 STEPHEN P. SUTTON
002 2010-01-01 STEPHEN P SUTTON MD
002 2009-01-01 STEPHEN P. SUTTON STEPHEN P. SUTTON 2010-10-01

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2015-01-01	STEPHEN P. SUTTON
002	2014-01-01	STEPHEN P. SUTTON
002	2013-01-01	STEPHEN P. SUTTON
002	2012-01-01	STEPHEN P. SUTTON	STEPHEN P. SUTTON, M.D.	2013-07-05
002	2011-01-01	STEPHEN P. SUTTON
002	2010-01-01	STEPHEN P SUTTON MD
002	2009-01-01	STEPHEN P. SUTTON	STEPHEN P. SUTTON	2010-10-01

Plan Statistics for STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN

Measure Date Value
2015: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 4
Total of all active and inactive participants 2014-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 5
Number of participants with account balances 2014-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 4
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 3
Total of all active and inactive participants 2013-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 7
Number of participants with account balances 2013-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 7
Total of all active and inactive participants 2012-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 7
Number of participants with account balances 2012-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS 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 7
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 7
Number of participants with account balances 2011-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 6
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 1
Total of all active and inactive participants 2010-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 7
Number of participants with account balances 2010-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 7
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 0
Total of all active and inactive participants 2009-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 7
Number of participants with account balances 2009-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	4
Total of all active and inactive participants	2014-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	5
Number of participants with account balances	2014-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	4
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	3
Total of all active and inactive participants	2013-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	7
Number of participants with account balances	2013-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	7
Total of all active and inactive participants	2012-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	7
Number of participants with account balances	2012-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS 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	7
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	7
Number of participants with account balances	2011-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	6
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	1
Total of all active and inactive participants	2010-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	7
Number of participants with account balances	2010-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	7
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	0
Total of all active and inactive participants	2009-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	7
Number of participants with account balances	2009-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN

Measure	Date	Value
2015 : STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2015 401k financial data
Total income from all sources	2015-07-21	$254,640
Expenses. Total of all expenses incurred	2015-07-21	$3,769,370
Benefits paid (including direct rollovers)	2015-07-21	$3,764,320
Total plan assets at end of year	2015-07-21	$0
Total plan assets at beginning of year	2015-07-21	$3,514,730
Value of fidelity bond covering the plan	2015-07-21	$350,000
Total contributions received or receivable from participants	2015-07-21	$0
Contributions received from other sources (not participants or employers)	2015-07-21	$0
Other income received	2015-07-21	$254,640
Noncash contributions received	2015-07-21	$0
Net income (gross income less expenses)	2015-07-21	$-3,514,730
Net plan assets at end of year (total assets less liabilities)	2015-07-21	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-07-21	$3,514,730
Assets. Value of assets in partnership/joint-venture interests	2015-07-21	$0
Total contributions received or receivable from employer(s)	2015-07-21	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-07-21	$5,050
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-07-21	$0
2014 : STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$334,227
Expenses. Total of all expenses incurred	2014-12-31	$59,648
Benefits paid (including direct rollovers)	2014-12-31	$59,648
Total plan assets at end of year	2014-12-31	$3,514,730
Total plan assets at beginning of year	2014-12-31	$3,240,151
Value of fidelity bond covering the plan	2014-12-31	$350,000
Total contributions received or receivable from participants	2014-12-31	$23,000
Other income received	2014-12-31	$258,474
Net income (gross income less expenses)	2014-12-31	$274,579
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$3,514,730
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,240,151
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$21,239
Total contributions received or receivable from employer(s)	2014-12-31	$52,753
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$764,416
Expenses. Total of all expenses incurred	2013-12-31	$368,018
Benefits paid (including direct rollovers)	2013-12-31	$368,018
Total plan assets at end of year	2013-12-31	$3,240,151
Total plan assets at beginning of year	2013-12-31	$2,843,753
Value of fidelity bond covering the plan	2013-12-31	$350,000
Total contributions received or receivable from participants	2013-12-31	$23,000
Other income received	2013-12-31	$693,604
Net income (gross income less expenses)	2013-12-31	$396,398
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,240,151
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,843,753
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$35,668
Total contributions received or receivable from employer(s)	2013-12-31	$47,812
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$487,378
Expenses. Total of all expenses incurred	2012-12-31	$93
Total plan assets at end of year	2012-12-31	$2,843,753
Total plan assets at beginning of year	2012-12-31	$2,356,468
Value of fidelity bond covering the plan	2012-12-31	$250,000
Total contributions received or receivable from participants	2012-12-31	$22,500
Other income received	2012-12-31	$416,585
Net income (gross income less expenses)	2012-12-31	$487,285
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,843,753
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,356,468
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$20,974
Total contributions received or receivable from employer(s)	2012-12-31	$48,293
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$93
2011 : STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$116,608
Expenses. Total of all expenses incurred	2011-12-31	$138,718
Benefits paid (including direct rollovers)	2011-12-31	$138,718
Total plan assets at end of year	2011-12-31	$2,356,468
Total plan assets at beginning of year	2011-12-31	$2,378,578
Value of fidelity bond covering the plan	2011-12-31	$250,000
Total contributions received or receivable from participants	2011-12-31	$22,000
Other income received	2011-12-31	$52,158
Net income (gross income less expenses)	2011-12-31	$-22,110
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,356,468
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,378,578
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$57,842
Total contributions received or receivable from employer(s)	2011-12-31	$42,450
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$426,917
Expenses. Total of all expenses incurred	2010-12-31	$60,000
Benefits paid (including direct rollovers)	2010-12-31	$60,000
Total plan assets at end of year	2010-12-31	$2,378,578
Total plan assets at beginning of year	2010-12-31	$2,011,661
Value of fidelity bond covering the plan	2010-12-31	$250,000
Total contributions received or receivable from participants	2010-12-31	$22,000
Other income received	2010-12-31	$359,980
Net income (gross income less expenses)	2010-12-31	$366,917
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,378,578
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,011,661
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$63,503
Total contributions received or receivable from employer(s)	2010-12-31	$44,937
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN

2015: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: STEPHEN P. SUTTON, M.D., INC. RETIREMENT SAVINGS 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

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Company Name:	STEPHEN P. SUTTON, M.D., INC.
Employer identification number (EIN):	341546474
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)