401k Plan data: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST plan

NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 401k Plan overview

Plan Name	NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST
Plan identification number	001

NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 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.
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

NEUROLOGY CONSULTANTS OF ROCHE has sponsored the creation of one or more 401k plans.

Company Name: NEUROLOGY CONSULTANTS OF ROCHE

Employer identification number (EIN): 770720419

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 HAROLD LESSER 2018-04-06 HAROLD LESSER 2018-04-06
001 2014-01-01 ALLEN PARDEE 2015-07-31
001 2013-01-01 LAWRENCE PARDEE
001 2012-01-01 NEUROLOGY CONSULTANTS OF ROCHE
001 2011-01-01 NEUROLOGY CONSULTANTS OF ROCHE 2012-07-30
001 2010-01-01 NEUROLOGY CONSULTANTS OF ROCHE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	HAROLD LESSER	2018-04-06	HAROLD LESSER	2018-04-06
001	2014-01-01	ALLEN PARDEE	2015-07-31
001	2013-01-01	LAWRENCE PARDEE
001	2012-01-01	NEUROLOGY CONSULTANTS OF ROCHE
001	2011-01-01	NEUROLOGY CONSULTANTS OF ROCHE	2012-07-30
001	2010-01-01	NEUROLOGY CONSULTANTS OF ROCHE

Plan Statistics for NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST

401k plan membership statisitcs for NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST

Measure Date Value
2013: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 6
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 2
Total of all active and inactive participants 2013-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 8
Number of participants with account balances 2013-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 6
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 1
Total of all active and inactive participants 2012-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 7
Number of participants with account balances 2012-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2010: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 6
Number of retired or separated participants receiving benefits 2010-01-01 0
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 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 6
Number of participants with account balances 2010-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0

Measure	Date	Value
2013: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	6
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	2
Total of all active and inactive participants	2013-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	8
Number of participants with account balances	2013-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	6
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	1
Total of all active and inactive participants	2012-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	7
Number of participants with account balances	2012-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2010: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	6
Number of retired or separated participants receiving benefits	2010-01-01	0
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	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	6
Number of participants with account balances	2010-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0

Financial Data on NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST

Measure	Date	Value
2013 : NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
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	$498,057
Expenses. Total of all expenses incurred	2013-12-31	$182,918
Benefits paid (including direct rollovers)	2013-12-31	$182,853
Total plan assets at end of year	2013-12-31	$1,795,406
Total plan assets at beginning of year	2013-12-31	$1,480,267
Value of fidelity bond covering the plan	2013-12-31	$0
Total contributions received or receivable from participants	2013-12-31	$52,585
Expenses. Other expenses not covered elsewhere	2013-12-31	$65
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$350,543
Net income (gross income less expenses)	2013-12-31	$315,139
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,795,406
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,480,267
Assets. Value of participant loans	2013-12-31	$1,301
Total contributions received or receivable from employer(s)	2013-12-31	$94,929
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
2012 : NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 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	$348,084
Expenses. Total of all expenses incurred	2012-12-31	$340,667
Benefits paid (including direct rollovers)	2012-12-31	$340,138
Total plan assets at end of year	2012-12-31	$1,480,267
Total plan assets at beginning of year	2012-12-31	$1,472,850
Value of fidelity bond covering the plan	2012-12-31	$0
Total contributions received or receivable from participants	2012-12-31	$90,919
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$180,820
Net income (gross income less expenses)	2012-12-31	$7,417
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,480,267
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,472,850
Assets. Value of participant loans	2012-12-31	$5,123
Total contributions received or receivable from employer(s)	2012-12-31	$76,345
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	$529
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2010 : NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 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	$220,555
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,274,027
Total plan assets at beginning of year	2010-12-31	$1,053,472
Value of fidelity bond covering the plan	2010-12-31	$0
Total contributions received or receivable from participants	2010-12-31	$69,153
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	$124,687
Net income (gross income less expenses)	2010-12-31	$220,555
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,274,027
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,053,472
Assets. Value of participant loans	2010-12-31	$11,552
Total contributions received or receivable from employer(s)	2010-12-31	$26,715
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	$0

Form 5500 Responses for NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST

2013: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 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: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 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
2010: NEUROLOGY CONSULTANTS OF ROCHE 401 K PROFIT SHARING PLAN TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
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:	NEUROLOGY CONSULTANTS OF ROCHE
Employer identification number (EIN):	770720419
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)