401k Plan data: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN plan

ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 401k Plan overview

Plan Name	ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN
Plan identification number	001

ALLERGY & ASTHMA AFFILIATES,PC 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.
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

ALLERGY & ASTHMA AFFILITATES,PC has sponsored the creation of one or more 401k plans.

Company Name: ALLERGY & ASTHMA AFFILITATES,PC

Employer identification number (EIN): 621115052

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 DONALD T. ELLENBURG 2016-05-23
001 2014-01-01 DONALD T. ELLENBURG 2015-07-10
001 2013-01-01 DONALD T. ELLENBURG
001 2012-01-01 DONALD T. ELLENBURG
001 2011-01-01 DONALD T. ELLENBURG
001 2009-01-01 DONALD T. ELLENBURG

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01	DONALD T. ELLENBURG	2016-05-23
001	2014-01-01	DONALD T. ELLENBURG	2015-07-10
001	2013-01-01	DONALD T. ELLENBURG
001	2012-01-01	DONALD T. ELLENBURG
001	2011-01-01	DONALD T. ELLENBURG
001	2009-01-01	DONALD T. ELLENBURG

Plan Statistics for ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN

401k plan membership statisitcs for ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN

Measure Date Value
2013: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 45
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 38
Number of other retired or separated participants entitled to future benefits 2013-01-01 11
Total of all active and inactive participants 2013-01-01 49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 49
Number of participants with account balances 2013-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 49
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 33
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 12
Total of all active and inactive participants 2012-01-01 45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 45
Number of participants with account balances 2012-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 48
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 37
Number of other retired or separated participants entitled to future benefits 2011-01-01 12
Total of all active and inactive participants 2011-01-01 49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 49
Number of participants with account balances 2011-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 36
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 10
Total of all active and inactive participants 2009-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 46
Number of participants with account balances 2009-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	45
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	38
Number of other retired or separated participants entitled to future benefits	2013-01-01	11
Total of all active and inactive participants	2013-01-01	49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	49
Number of participants with account balances	2013-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	49
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	33
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	12
Total of all active and inactive participants	2012-01-01	45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	45
Number of participants with account balances	2012-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	48
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	37
Number of other retired or separated participants entitled to future benefits	2011-01-01	12
Total of all active and inactive participants	2011-01-01	49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	49
Number of participants with account balances	2011-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	36
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	10
Total of all active and inactive participants	2009-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	46
Number of participants with account balances	2009-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN

Measure	Date	Value
2013 : ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$313,734
Expenses. Total of all expenses incurred	2013-12-31	$29,210
Benefits paid (including direct rollovers)	2013-12-31	$29,210
Total plan assets at end of year	2013-12-31	$1,903,433
Total plan assets at beginning of year	2013-12-31	$1,618,909
Value of fidelity bond covering the plan	2013-12-31	$200,000
Total contributions received or receivable from participants	2013-12-31	$74,480
Other income received	2013-12-31	$176,273
Net income (gross income less expenses)	2013-12-31	$284,524
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,903,433
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,618,909
Total contributions received or receivable from employer(s)	2013-12-31	$62,981
2012 : ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$210,660
Expenses. Total of all expenses incurred	2012-12-31	$35,796
Benefits paid (including direct rollovers)	2012-12-31	$35,299
Total plan assets at end of year	2012-12-31	$1,618,909
Total plan assets at beginning of year	2012-12-31	$1,444,045
Value of fidelity bond covering the plan	2012-12-31	$175,000
Total contributions received or receivable from participants	2012-12-31	$74,705
Expenses. Other expenses not covered elsewhere	2012-12-31	$497
Other income received	2012-12-31	$80,473
Net income (gross income less expenses)	2012-12-31	$174,864
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,618,909
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,444,045
Total contributions received or receivable from employer(s)	2012-12-31	$55,482
2011 : ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$6,217
Expenses. Total of all expenses incurred	2011-12-31	$116,687
Benefits paid (including direct rollovers)	2011-12-31	$93,218
Total plan assets at end of year	2011-12-31	$1,444,045
Total plan assets at beginning of year	2011-12-31	$1,554,515
Value of fidelity bond covering the plan	2011-12-31	$150,000
Total contributions received or receivable from participants	2011-12-31	$74,853
Other income received	2011-12-31	$-139,425
Net income (gross income less expenses)	2011-12-31	$-110,470
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,444,045
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,554,515
Total contributions received or receivable from employer(s)	2011-12-31	$70,789
Value of corrective distributions	2011-12-31	$23,469
2010 : ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$288,966
Expenses. Total of all expenses incurred	2010-12-31	$56,956
Benefits paid (including direct rollovers)	2010-12-31	$37,253
Total plan assets at end of year	2010-12-31	$1,554,515
Total plan assets at beginning of year	2010-12-31	$1,322,505
Value of fidelity bond covering the plan	2010-12-31	$150,000
Total contributions received or receivable from participants	2010-12-31	$76,533
Contributions received from other sources (not participants or employers)	2010-12-31	$32,211
Other income received	2010-12-31	$113,719
Net income (gross income less expenses)	2010-12-31	$232,010
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,554,515
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,322,505
Total contributions received or receivable from employer(s)	2010-12-31	$66,503
Value of corrective distributions	2010-12-31	$19,703

Form 5500 Responses for ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN

2013: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ALLERGY & ASTHMA AFFILIATES,PC PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

26555

Policy instance

Insurance contract or identification number	26555
Number of Individuals Covered	43
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $5,746
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,746
Insurance broker organization code?	3
Insurance broker name	LINCOLN FINANCIAL SECURITIES

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

26555

Policy instance

Insurance contract or identification number	26555
Number of Individuals Covered	43
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $4,650
Total amount of fees paid to insurance company	USD $35
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,650
Insurance broker organization code?	3
Amount paid for insurance broker fees	35
Additional information about fees paid to insurance broker	RECORDKEEPING
Insurance broker name	FINANCIAL SERVICE ASSOCIATES

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

26555

Policy instance

Insurance contract or identification number	26555
Number of Individuals Covered	49
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $4,702
Total amount of fees paid to insurance company	USD $580
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

26555

Policy instance

Insurance contract or identification number	26555
Number of Individuals Covered	45
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $6,313
Total amount of fees paid to insurance company	USD $471
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,313
Insurance broker organization code?	3
Amount paid for insurance broker fees	471
Additional information about fees paid to insurance broker	RECORDKEEPING
Insurance broker name	FINANCIAL SERVICE ASSOCIATES

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Company Name:	ALLERGY & ASTHMA AFFILITATES,PC
Employer identification number (EIN):	621115052
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)