401k Plan data: JOHN V. CUA, MD, S.E.R.P. plan

JOHN V. CUA, MD, S.E.R.P. 401k Plan overview

Plan Name	JOHN V. CUA, MD, S.E.R.P.
Plan identification number	001

JOHN V. CUA, MD, S.E.R.P. Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Money purchase (other than target benefit) Profit-sharing Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.

401k Sponsoring company profile

JOHN V. CUA, MD has sponsored the creation of one or more 401k plans.

Company Name: JOHN V. CUA, MD

Employer identification number (EIN): 346669967

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JOHN V. CUA, MD, S.E.R.P.

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 JOHN V. CUA
001 2015-01-01 JOHN V. CUA
001 2014-01-01 JOHN V. CUA
001 2013-01-01 JOHN V. CUA
001 2012-01-01 JOHN V. CUA
001 2011-01-01 JOHN V. CUA

Plan id#	Filing Submission Date	Name of Administrator
001	2016-01-01	JOHN V. CUA
001	2015-01-01	JOHN V. CUA
001	2014-01-01	JOHN V. CUA
001	2013-01-01	JOHN V. CUA
001	2012-01-01	JOHN V. CUA
001	2011-01-01	JOHN V. CUA

Plan Statistics for JOHN V. CUA, MD, S.E.R.P.

401k plan membership statisitcs for JOHN V. CUA, MD, S.E.R.P.

Measure Date Value
2016: JOHN V. CUA, MD, S.E.R.P. 2016 401k membership
Total participants, beginning-of-year 2016-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 2
Total of all active and inactive participants 2016-01-01 2
Total participants 2016-01-01 2
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: JOHN V. CUA, MD, S.E.R.P. 2015 401k membership
Total participants, beginning-of-year 2015-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 1
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 1
Total of all active and inactive participants 2015-01-01 3
Total participants 2015-01-01 3
Number of participants with account balances 2015-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: JOHN V. CUA, MD, S.E.R.P. 2014 401k membership
Total participants, beginning-of-year 2014-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 3
Total of all active and inactive participants 2014-01-01 3
Total participants 2014-01-01 3
Number of participants with account balances 2014-01-01 3
2013: JOHN V. CUA, MD, S.E.R.P. 2013 401k membership
Total participants, beginning-of-year 2013-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 3
Total of all active and inactive participants 2013-01-01 3
Total participants 2013-01-01 3
Number of participants with account balances 2013-01-01 3
2012: JOHN V. CUA, MD, S.E.R.P. 2012 401k membership
Total participants, beginning-of-year 2012-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 3
Total of all active and inactive participants 2012-01-01 3
Total participants 2012-01-01 3
Number of participants with account balances 2012-01-01 3
2011: JOHN V. CUA, MD, S.E.R.P. 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
Total of all active and inactive participants 2011-01-01 2
Total participants 2011-01-01 2
Number of participants with account balances 2011-01-01 2

Measure	Date	Value
2016: JOHN V. CUA, MD, S.E.R.P. 2016 401k membership
Total participants, beginning-of-year	2016-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	2
Total of all active and inactive participants	2016-01-01	2
Total participants	2016-01-01	2
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: JOHN V. CUA, MD, S.E.R.P. 2015 401k membership
Total participants, beginning-of-year	2015-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	1
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	1
Total of all active and inactive participants	2015-01-01	3
Total participants	2015-01-01	3
Number of participants with account balances	2015-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: JOHN V. CUA, MD, S.E.R.P. 2014 401k membership
Total participants, beginning-of-year	2014-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	3
Total of all active and inactive participants	2014-01-01	3
Total participants	2014-01-01	3
Number of participants with account balances	2014-01-01	3
2013: JOHN V. CUA, MD, S.E.R.P. 2013 401k membership
Total participants, beginning-of-year	2013-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	3
Total of all active and inactive participants	2013-01-01	3
Total participants	2013-01-01	3
Number of participants with account balances	2013-01-01	3
2012: JOHN V. CUA, MD, S.E.R.P. 2012 401k membership
Total participants, beginning-of-year	2012-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	3
Total of all active and inactive participants	2012-01-01	3
Total participants	2012-01-01	3
Number of participants with account balances	2012-01-01	3
2011: JOHN V. CUA, MD, S.E.R.P. 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
Total of all active and inactive participants	2011-01-01	2
Total participants	2011-01-01	2
Number of participants with account balances	2011-01-01	2

Financial Data on JOHN V. CUA, MD, S.E.R.P.

Measure	Date	Value
2016 : JOHN V. CUA, MD, S.E.R.P. 2016 401k financial data
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$3,374
Expenses. Total of all expenses incurred	2016-12-31	$1,367,640
Benefits paid (including direct rollovers)	2016-12-31	$1,363,853
Total plan assets at end of year	2016-12-31	$0
Total plan assets at beginning of year	2016-12-31	$1,364,266
Expenses. Other expenses not covered elsewhere	2016-12-31	$3,787
Other income received	2016-12-31	$3,374
Net income (gross income less expenses)	2016-12-31	$-1,364,266
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$1,364,266
2015 : JOHN V. CUA, MD, S.E.R.P. 2015 401k financial data
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$61,318
Expenses. Total of all expenses incurred	2015-12-31	$230,271
Benefits paid (including direct rollovers)	2015-12-31	$170,354
Total plan assets at end of year	2015-12-31	$1,364,266
Total plan assets at beginning of year	2015-12-31	$1,533,219
Expenses. Other expenses not covered elsewhere	2015-12-31	$59,917
Other income received	2015-12-31	$58,318
Net income (gross income less expenses)	2015-12-31	$-168,953
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,364,266
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,533,219
Total contributions received or receivable from employer(s)	2015-12-31	$3,000
2014 : JOHN V. CUA, MD, S.E.R.P. 2014 401k financial data
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$86,186
Expenses. Total of all expenses incurred	2014-12-31	$61,422
Benefits paid (including direct rollovers)	2014-12-31	$61,422
Total plan assets at end of year	2014-12-31	$1,533,219
Total plan assets at beginning of year	2014-12-31	$1,508,455
Other income received	2014-12-31	$78,794
Net income (gross income less expenses)	2014-12-31	$24,764
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,533,219
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,508,455
Total contributions received or receivable from employer(s)	2014-12-31	$7,392
2013 : JOHN V. CUA, MD, S.E.R.P. 2013 401k financial data
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$202,285
Expenses. Total of all expenses incurred	2013-12-31	$53,841
Benefits paid (including direct rollovers)	2013-12-31	$53,841
Total plan assets at end of year	2013-12-31	$1,508,455
Total plan assets at beginning of year	2013-12-31	$1,360,011
Other income received	2013-12-31	$193,163
Net income (gross income less expenses)	2013-12-31	$148,444
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,508,455
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,360,011
Total contributions received or receivable from employer(s)	2013-12-31	$9,122
2012 : JOHN V. CUA, MD, S.E.R.P. 2012 401k financial data
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$150,953
Expenses. Total of all expenses incurred	2012-12-31	$48,374
Benefits paid (including direct rollovers)	2012-12-31	$48,166
Total plan assets at end of year	2012-12-31	$1,360,011
Total plan assets at beginning of year	2012-12-31	$1,257,432
Expenses. Other expenses not covered elsewhere	2012-12-31	$208
Other income received	2012-12-31	$142,831
Net income (gross income less expenses)	2012-12-31	$102,579
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,360,011
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,257,432
Total contributions received or receivable from employer(s)	2012-12-31	$8,122
2011 : JOHN V. CUA, MD, S.E.R.P. 2011 401k financial data
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$65,332
Expenses. Total of all expenses incurred	2011-12-31	$118,688
Benefits paid (including direct rollovers)	2011-12-31	$48,645
Total plan assets at end of year	2011-12-31	$1,257,432
Total plan assets at beginning of year	2011-12-31	$1,310,788
Expenses. Other expenses not covered elsewhere	2011-12-31	$70,043
Other income received	2011-12-31	$55,585
Net income (gross income less expenses)	2011-12-31	$-53,356
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,257,432
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,310,788
Total contributions received or receivable from employer(s)	2011-12-31	$9,747
2010 : JOHN V. CUA, MD, S.E.R.P. 2010 401k financial data
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$156,451
Expenses. Total of all expenses incurred	2010-12-31	$44,981
Benefits paid (including direct rollovers)	2010-12-31	$43,173
Total plan assets at end of year	2010-12-31	$1,310,788
Total plan assets at beginning of year	2010-12-31	$1,199,318
Expenses. Other expenses not covered elsewhere	2010-12-31	$1,808
Other income received	2010-12-31	$156,451
Net income (gross income less expenses)	2010-12-31	$111,470
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,310,788
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,199,318

Form 5500 Responses for JOHN V. CUA, MD, S.E.R.P.

2016: JOHN V. CUA, MD, S.E.R.P. 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	This submission is the final filing	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: JOHN V. CUA, MD, S.E.R.P. 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: JOHN V. CUA, MD, S.E.R.P. 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: JOHN V. CUA, MD, S.E.R.P. 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: JOHN V. CUA, MD, S.E.R.P. 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: JOHN V. CUA, MD, S.E.R.P. 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	JOHN V. CUA, MD
Employer identification number (EIN):	346669967
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)