401k Plan data: NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN plan

NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN
Plan identification number	002

NEBRASKA HEART INSTITUTE, P.C. 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NEBRASKA HEART INSTITUTE, P.C. has sponsored the creation of one or more 401k plans.

Company Name: NEBRASKA HEART INSTITUTE, P.C.

Employer identification number (EIN): 470705923

NAIC Classification: 621498
NAIC Description: All Other Outpatient Care Centers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2011-01-01 MARLIN AUSDEMORE
002 2009-01-01 MARLIN AUSDEMORE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2011-01-01	MARLIN AUSDEMORE
002	2009-01-01	MARLIN AUSDEMORE

Plan Statistics for NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2011: NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 623
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 502
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 105
Total of all active and inactive participants 2011-01-01 607
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 607
Number of participants with account balances 2011-01-01 548
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 18
2009: NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 277
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 251
Number of retired or separated participants receiving benefits 2009-01-01 15
Number of other retired or separated participants entitled to future benefits 2009-01-01 51
Total of all active and inactive participants 2009-01-01 317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 317
Number of participants with account balances 2009-01-01 276
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 9

Measure	Date	Value
2011: NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	623
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	502
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	105
Total of all active and inactive participants	2011-01-01	607
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	607
Number of participants with account balances	2011-01-01	548
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	18
2009: NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	277
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	251
Number of retired or separated participants receiving benefits	2009-01-01	15
Number of other retired or separated participants entitled to future benefits	2009-01-01	51
Total of all active and inactive participants	2009-01-01	317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	317
Number of participants with account balances	2009-01-01	276
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	9

Financial Data on NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2011 : NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$1,032,815
Total of all expenses incurred	2011-12-31	$2,848,357
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,745,817
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$3,225,295
Value of total assets at end of year	2011-12-31	$28,556,975
Value of total assets at beginning of year	2011-12-31	$30,372,517
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$102,540
Total interest from all sources	2011-12-31	$14,707
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$453,021
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$453,021
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,874,357
Participant contributions at end of year	2011-12-31	$359,027
Participant contributions at beginning of year	2011-12-31	$139,399
Participant contributions at beginning of year	2011-12-31	$74,107
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$7,114,184
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$5,839,013
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$25,213
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$10,883,659
Other income not declared elsewhere	2011-12-31	$-1,390,378
Administrative expenses (other) incurred	2011-12-31	$86,132
Total non interest bearing cash at end of year	2011-12-31	$5,183
Total non interest bearing cash at beginning of year	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-1,815,542
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$28,556,975
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$30,372,517
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$16,408
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$21,044,551
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$13,232,405
Interest on participant loans	2011-12-31	$14,658
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$34,030
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$49
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,269,830
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$1,325,725
Employer contributions (assets) at beginning of year	2011-12-31	$203,934
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,745,817
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	2011-12-31	Yes
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	SHERRI L. BONIFAS, CPA, LLC
Accountancy firm EIN	2011-12-31	460576739
2010 : NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total transfer of assets to this plan	2010-12-31	$10,883,659
Total income from all sources (including contributions)	2010-12-31	$3,273,338
Total of all expenses incurred	2010-12-31	$2,008,829
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,929,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$942,412
Value of total assets at end of year	2010-12-31	$30,372,517
Value of total assets at beginning of year	2010-12-31	$18,224,349
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$79,829
Total interest from all sources	2010-12-31	$4,726
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$391,020
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$391,020
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$701,235
Participant contributions at end of year	2010-12-31	$139,399
Participant contributions at beginning of year	2010-12-31	$98,730
Participant contributions at end of year	2010-12-31	$74,107
Participant contributions at beginning of year	2010-12-31	$166,712
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$5,839,013
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$5,757,215
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$40,270
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$10,883,659
Other income not declared elsewhere	2010-12-31	$820,237
Administrative expenses (other) incurred	2010-12-31	$79,829
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,264,509
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$30,372,517
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$18,224,349
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$13,232,405
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$11,804,235
Interest on participant loans	2010-12-31	$4,726
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$184,173
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$184,173
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,114,943
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$200,907
Employer contributions (assets) at end of year	2010-12-31	$203,934
Employer contributions (assets) at beginning of year	2010-12-31	$213,284
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,929,000
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	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MCDERMOTT & MILLER
Accountancy firm EIN	2010-12-31	470608676

Form 5500 Responses for NEBRASKA HEART INSTITUTE, P.C. 401(K) PROFIT SHARING PLAN

2011: NEBRASKA HEART INSTITUTE, P.C. 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	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: NEBRASKA HEART INSTITUTE, P.C. 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

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Company Name:	NEBRASKA HEART INSTITUTE, P.C.
Employer identification number (EIN):	470705923
NAIC Classification:	621498
NAIC Description:	All Other Outpatient Care Centers