401k Plan data: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN plan

RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN
Plan identification number	001

RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT 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
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.
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

RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. has sponsored the creation of one or more 401k plans.

Company Name: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C.

Employer identification number (EIN): 611101302

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01
001 2013-01-01
001 2012-01-01 DAVID ROUBEN, M.D. DAVID ROUBEN, M.D. 2013-09-24
001 2011-01-01 DAVID ROUBEN, M.D. DAVID ROUBEN, M.D. 2012-10-08
001 2009-01-01 DAVID ROUBEN

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01
001	2013-01-01
001	2012-01-01	DAVID ROUBEN, M.D.	DAVID ROUBEN, M.D.	2013-09-24
001	2011-01-01	DAVID ROUBEN, M.D.	DAVID ROUBEN, M.D.	2012-10-08
001	2009-01-01	DAVID ROUBEN

Plan Statistics for RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN

401k plan membership statisitcs for RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN

Measure Date Value
2014: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 4
Number of participants with account balances 2013-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 18
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 21
Number of participants with account balances 2012-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 18
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 2
Total of all active and inactive participants 2011-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 20
Number of participants with account balances 2011-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 20
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 3
Total of all active and inactive participants 2009-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 23
Number of participants with account balances 2009-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	4
Number of participants with account balances	2013-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	18
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	21
Number of participants with account balances	2012-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	18
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	2
Total of all active and inactive participants	2011-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	20
Number of participants with account balances	2011-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	20
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	3
Total of all active and inactive participants	2009-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	23
Number of participants with account balances	2009-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN

Measure	Date	Value
2014 : RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$30,122
Expenses. Total of all expenses incurred	2014-12-31	$827,183
Benefits paid (including direct rollovers)	2014-12-31	$826,858
Total plan assets at end of year	2014-12-31	$0
Total plan assets at beginning of year	2014-12-31	$797,061
Value of fidelity bond covering the plan	2014-12-31	$200,000
Other income received	2014-12-31	$30,122
Net income (gross income less expenses)	2014-12-31	$-797,061
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$797,061
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$325
2013 : RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2013 401k financial data
Total plan liabilities at beginning of year	2013-12-31	$6,538
Total income from all sources	2013-12-31	$251,803
Expenses. Total of all expenses incurred	2013-12-31	$1,666,515
Benefits paid (including direct rollovers)	2013-12-31	$1,664,966
Total plan assets at end of year	2013-12-31	$797,061
Total plan assets at beginning of year	2013-12-31	$2,218,311
Value of fidelity bond covering the plan	2013-12-31	$200,000
Other income received	2013-12-31	$251,803
Net income (gross income less expenses)	2013-12-31	$-1,414,712
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$797,061
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,211,773
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$1,549
2012 : RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$6,538
Total income from all sources	2012-12-31	$329,274
Expenses. Total of all expenses incurred	2012-12-31	$211,233
Benefits paid (including direct rollovers)	2012-12-31	$195,281
Total plan assets at end of year	2012-12-31	$2,218,311
Total plan assets at beginning of year	2012-12-31	$2,093,732
Value of fidelity bond covering the plan	2012-12-31	$200,000
Total contributions received or receivable from participants	2012-12-31	$23,499
Other income received	2012-12-31	$267,183
Net income (gross income less expenses)	2012-12-31	$118,041
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,211,773
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,093,732
Total contributions received or receivable from employer(s)	2012-12-31	$38,592
Value of corrective distributions	2012-12-31	$6,538
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$9,414
2011 : RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$97,484
Expenses. Total of all expenses incurred	2011-12-31	$117,419
Benefits paid (including direct rollovers)	2011-12-31	$107,403
Total plan assets at end of year	2011-12-31	$2,093,732
Total plan assets at beginning of year	2011-12-31	$2,113,667
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$76,363
Other income received	2011-12-31	$-76,107
Net income (gross income less expenses)	2011-12-31	$-19,935
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,093,732
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,113,667
Total contributions received or receivable from employer(s)	2011-12-31	$97,228
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$10,016
2010 : RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$374,553
Expenses. Total of all expenses incurred	2010-12-31	$8,151
Total plan assets at end of year	2010-12-31	$2,113,667
Total plan assets at beginning of year	2010-12-31	$1,747,265
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$76,439
Other income received	2010-12-31	$196,352
Net income (gross income less expenses)	2010-12-31	$366,402
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,113,667
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,747,265
Total contributions received or receivable from employer(s)	2010-12-31	$101,762
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$8,151

Form 5500 Responses for RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT PLAN

2014: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT 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	Yes
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: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT 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: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT 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: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT 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
2009: RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C. 401(K) RETIREMENT 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:	RIVER CITY ORTHOPAEDIC SURGEONS, P.S.C.
Employer identification number (EIN):	611101302
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)