401k Plan data: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN plan

ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 401k Plan overview

Plan Name	ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN
Plan identification number	002

ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) 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.
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.
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.
Plan covering Self-Employed individuals.
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

ROBERT HARTMAN, M.D. has sponsored the creation of one or more 401k plans.

Company Name: ROBERT HARTMAN, M.D.

Employer identification number (EIN): 680111832

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01 CETERA RETIREMENT PLAN SPECIALISTS 2024-07-24
002 2022-01-01 CETERA RETIREMENT PLAN SPECIALISTS 2023-08-03
002 2021-01-01 CETERA RETIREMENT PLAN SPECIALISTS 2022-08-04
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01
002 2016-01-01
002 2015-01-01
002 2014-01-01
002 2013-01-01 ROBERT HARTMAN, MD 2014-04-06
002 2012-01-01 ROBERT HARTMAN, M.D.
002 2011-01-01 ROBERT HARTMAN, M.D.
002 2010-01-01 ROBERT HARTMAN, M.D.

Plan Statistics for ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN

401k plan membership statisitcs for ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN

Measure Date Value
2012: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 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
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 0
Total of all active and inactive participants 2012-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 3
Number of participants with account balances 2012-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1
Number of retired or separated participants receiving benefits 2011-01-01 1
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 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 2
Number of participants with account balances 2011-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 2
Number of retired or separated participants receiving benefits 2010-01-01 1
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 3
Number of participants with account balances 2010-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0

Measure	Date	Value
2012: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 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
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	0
Total of all active and inactive participants	2012-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	3
Number of participants with account balances	2012-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1
Number of retired or separated participants receiving benefits	2011-01-01	1
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	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	2
Number of participants with account balances	2011-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	2
Number of retired or separated participants receiving benefits	2010-01-01	1
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	3
Number of participants with account balances	2010-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0

Financial Data on ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN

Measure	Date	Value
2012 : ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
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	$190,952
Expenses. Total of all expenses incurred	2012-12-31	$155,892
Benefits paid (including direct rollovers)	2012-12-31	$146,382
Total plan assets at end of year	2012-12-31	$1,550,161
Total plan assets at beginning of year	2012-12-31	$1,515,101
Value of fidelity bond covering the plan	2012-12-31	$300,000
Total contributions received or receivable from participants	2012-12-31	$5,500
Expenses. Other expenses not covered elsewhere	2012-12-31	$9,510
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$124,992
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$35,060
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,550,161
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,515,101
Total contributions received or receivable from employer(s)	2012-12-31	$60,460
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$-81,419
Expenses. Total of all expenses incurred	2011-12-31	$54,019
Benefits paid (including direct rollovers)	2011-12-31	$41,263
Total plan assets at end of year	2011-12-31	$1,515,101
Total plan assets at beginning of year	2011-12-31	$1,650,539
Value of fidelity bond covering the plan	2011-12-31	$300,000
Total contributions received or receivable from participants	2011-12-31	$5,500
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-136,294
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$-135,438
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,515,101
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,650,539
Total contributions received or receivable from employer(s)	2011-12-31	$49,375
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$12,756
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$202,412
Expenses. Total of all expenses incurred	2010-12-31	$15,315
Benefits paid (including direct rollovers)	2010-12-31	$3,950
Total plan assets at end of year	2010-12-31	$1,650,539
Total plan assets at beginning of year	2010-12-31	$1,463,442
Value of fidelity bond covering the plan	2010-12-31	$300,000
Total contributions received or receivable from participants	2010-12-31	$950
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$144,014
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$187,097
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,650,539
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,463,442
Total contributions received or receivable from employer(s)	2010-12-31	$57,448
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$11,365
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 ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN

2012: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) 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: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) 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: ROBERT HARTMAN, M.D. PROFIT SHARING 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
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

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Company Name:	ROBERT HARTMAN, M.D.
Employer identification number (EIN):	680111832
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2023-01-01	CETERA RETIREMENT PLAN SPECIALISTS	2024-07-24
002	2022-01-01	CETERA RETIREMENT PLAN SPECIALISTS	2023-08-03
002	2021-01-01	CETERA RETIREMENT PLAN SPECIALISTS	2022-08-04
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01
002	2016-01-01
002	2015-01-01
002	2014-01-01
002	2013-01-01	ROBERT HARTMAN, MD	2014-04-06
002	2012-01-01	ROBERT HARTMAN, M.D.
002	2011-01-01	ROBERT HARTMAN, M.D.
002	2010-01-01	ROBERT HARTMAN, M.D.