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ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN
Plan identification number 001

ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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

ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, PC has sponsored the creation of one or more 401k plans.

Company Name:ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, PC
Employer identification number (EIN):840593455
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01LISA AUGUSTINE
0012016-01-01LISA AUGUSTINE
0012015-01-01LISA AUGUSTINE
0012014-01-01LISA AUGUSTINE
0012013-01-01LISA AUGUSTINE
0012012-01-01CAMILLE SUSEMIHL
0012011-01-01CAMILLE SUSEMIHL CAMILLE SUSEMIHL2012-07-27
0012010-01-01CAMILLE SUSEMIHL CAMILLE SUSEMIHL2011-10-07
0012009-01-01CAMILLE SUSEMIHL

Plan Statistics for ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2023: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01667
Total number of active participants reported on line 7a of the Form 55002023-01-01577
Number of retired or separated participants receiving benefits2023-01-0116
Number of other retired or separated participants entitled to future benefits2023-01-01100
Total of all active and inactive participants2023-01-01693
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-010
Total participants2023-01-01693
Number of participants with account balances2023-01-01683
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-0143
2022: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01626
Total number of active participants reported on line 7a of the Form 55002022-01-01576
Number of retired or separated participants receiving benefits2022-01-019
Number of other retired or separated participants entitled to future benefits2022-01-0182
Total of all active and inactive participants2022-01-01667
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01667
Number of participants with account balances2022-01-01635
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0136
2021: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01641
Total number of active participants reported on line 7a of the Form 55002021-01-01507
Number of retired or separated participants receiving benefits2021-01-016
Number of other retired or separated participants entitled to future benefits2021-01-0183
Total of all active and inactive participants2021-01-01596
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01596
Number of participants with account balances2021-01-01596
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0131
2020: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01494
Total number of active participants reported on line 7a of the Form 55002020-01-01443
Number of retired or separated participants receiving benefits2020-01-019
Number of other retired or separated participants entitled to future benefits2020-01-0187
Total of all active and inactive participants2020-01-01539
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01539
Number of participants with account balances2020-01-01533
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0120
2019: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01416
Total number of active participants reported on line 7a of the Form 55002019-01-01392
Number of retired or separated participants receiving benefits2019-01-0110
Number of other retired or separated participants entitled to future benefits2019-01-0183
Total of all active and inactive participants2019-01-01485
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01485
Number of participants with account balances2019-01-01483
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0119
2018: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01381
Total number of active participants reported on line 7a of the Form 55002018-01-01324
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0168
Total of all active and inactive participants2018-01-01392
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01392
Number of participants with account balances2018-01-01389
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0116
2017: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01322
Total number of active participants reported on line 7a of the Form 55002017-01-01304
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0130
Total of all active and inactive participants2017-01-01334
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01334
Number of participants with account balances2017-01-01295
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0114
2016: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01304
Total number of active participants reported on line 7a of the Form 55002016-01-01217
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0177
Total of all active and inactive participants2016-01-01294
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01294
Number of participants with account balances2016-01-01282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-012
2015: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01252
Total number of active participants reported on line 7a of the Form 55002015-01-01255
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0149
Total of all active and inactive participants2015-01-01304
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01304
Number of participants with account balances2015-01-01257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-016
2014: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01257
Total number of active participants reported on line 7a of the Form 55002014-01-01214
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0138
Total of all active and inactive participants2014-01-01252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01252
Number of participants with account balances2014-01-01235
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-012
2013: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01248
Total number of active participants reported on line 7a of the Form 55002013-01-01227
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0130
Total of all active and inactive participants2013-01-01257
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01257
Number of participants with account balances2013-01-01224
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-016
2012: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01259
Total number of active participants reported on line 7a of the Form 55002012-01-01206
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0142
Total of all active and inactive participants2012-01-01248
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01248
Number of participants with account balances2012-01-01233
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-019
2011: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01245
Total number of active participants reported on line 7a of the Form 55002011-01-01215
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0144
Total of all active and inactive participants2011-01-01259
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01259
Number of participants with account balances2011-01-01231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2010: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01232
Total number of active participants reported on line 7a of the Form 55002010-01-01200
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0145
Total of all active and inactive participants2010-01-01245
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01245
Number of participants with account balances2010-01-01216
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0111
2009: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01217
Total number of active participants reported on line 7a of the Form 55002009-01-01189
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0143
Total of all active and inactive participants2009-01-01232
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01232
Number of participants with account balances2009-01-01202
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0115

Financial Data on ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2023 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$16,908,517
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$7,939,364
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$7,844,868
Value of total corrective distributions2023-12-31$2,379
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$6,717,277
Value of total assets at end of year2023-12-31$76,479,793
Value of total assets at beginning of year2023-12-31$67,510,640
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$92,117
Total interest from all sources2023-12-31$7,871
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$199,000
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$199,000
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$500,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$2,718,841
Participant contributions at end of year2023-12-31$132,044
Participant contributions at beginning of year2023-12-31$83,621
Participant contributions at end of year2023-12-31$0
Participant contributions at beginning of year2023-12-31$1,080
Assets. Other investments not covered elsewhere at end of year2023-12-31$11,235,343
Assets. Other investments not covered elsewhere at beginning of year2023-12-31$9,461,811
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$321,934
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2023-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2023-12-31$0
Other income not declared elsewhere2023-12-31$1,548,495
Administrative expenses (other) incurred2023-12-31$4,358
Total non interest bearing cash at end of year2023-12-31$0
Total non interest bearing cash at beginning of year2023-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$8,969,153
Value of net assets at end of year (total assets less liabilities)2023-12-31$76,479,793
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$67,510,640
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$22,500
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$11,187,137
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$12,097,936
Value of interest in pooled separate accounts at end of year2023-12-31$5,226,296
Value of interest in pooled separate accounts at beginning of year2023-12-31$4,640,987
Income. Interest from loans (other than to participants)2023-12-31$7,871
Value of interest in common/collective trusts at end of year2023-12-31$45,015,983
Value of interest in common/collective trusts at beginning of year2023-12-31$38,818,492
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$1,532,850
Net investment gain/loss from pooled separate accounts2023-12-31$962,610
Net investment gain or loss from common/collective trusts2023-12-31$5,940,414
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$3,676,502
Employer contributions (assets) at end of year2023-12-31$3,682,990
Employer contributions (assets) at beginning of year2023-12-31$2,406,713
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$7,844,868
Contract administrator fees2023-12-31$65,259
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2023-12-31381357951
2022 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-7,327,502
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$7,559,052
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$7,438,882
Value of total corrective distributions2022-12-31$1,899
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$5,653,581
Value of total assets at end of year2022-12-31$67,510,640
Value of total assets at beginning of year2022-12-31$82,397,194
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$118,271
Total interest from all sources2022-12-31$5,469
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$250,527
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$2,381,979
Participant contributions at end of year2022-12-31$83,621
Participant contributions at beginning of year2022-12-31$110,185
Participant contributions at end of year2022-12-31$1,080
Participant contributions at beginning of year2022-12-31$0
Assets. Other investments not covered elsewhere at end of year2022-12-31$9,461,811
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$13,917,769
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$835,920
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$0
Other income not declared elsewhere2022-12-31$-1,673,953
Administrative expenses (other) incurred2022-12-31$3,640
Total non interest bearing cash at end of year2022-12-31$0
Total non interest bearing cash at beginning of year2022-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-14,886,554
Value of net assets at end of year (total assets less liabilities)2022-12-31$67,510,640
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$82,397,194
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$25,166
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$12,097,936
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$15,589,678
Value of interest in pooled separate accounts at end of year2022-12-31$4,640,987
Value of interest in pooled separate accounts at beginning of year2022-12-31$5,757,945
Interest on participant loans2022-12-31$5,469
Income. Interest from loans (other than to participants)2022-12-31$0
Income. Interest from US Government securities2022-12-31$0
Income. Interest from corporate debt instruments2022-12-31$0
Value of interest in common/collective trusts at end of year2022-12-31$38,818,492
Value of interest in common/collective trusts at beginning of year2022-12-31$44,746,583
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2022-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-3,236,099
Net investment gain/loss from pooled separate accounts2022-12-31$-1,080,051
Net investment gain or loss from common/collective trusts2022-12-31$-7,246,976
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$2,435,682
Employer contributions (assets) at end of year2022-12-31$2,406,713
Employer contributions (assets) at beginning of year2022-12-31$2,275,034
Income. Dividends from preferred stock2022-12-31$250,527
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$7,438,882
Contract administrator fees2022-12-31$89,465
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2022-12-31381357951
2021 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$289
Total income from all sources (including contributions)2021-12-31$17,857,432
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$8,380,182
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$8,251,828
Value of total corrective distributions2021-12-31$17,455
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$8,044,901
Value of total assets at end of year2021-12-31$82,397,194
Value of total assets at beginning of year2021-12-31$72,920,233
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$110,899
Total interest from all sources2021-12-31$7,422
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$486,592
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$486,592
Administrative expenses professional fees incurred2021-12-31$18,825
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$2,240,435
Participant contributions at end of year2021-12-31$110,185
Participant contributions at beginning of year2021-12-31$101,199
Participant contributions at end of year2021-12-31$0
Participant contributions at beginning of year2021-12-31$15
Assets. Other investments not covered elsewhere at end of year2021-12-31$13,917,769
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$14,528,679
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$3,537,629
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$289
Other income not declared elsewhere2021-12-31$1,726,582
Total non interest bearing cash at end of year2021-12-31$0
Total non interest bearing cash at beginning of year2021-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$9,477,250
Value of net assets at end of year (total assets less liabilities)2021-12-31$82,397,194
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$72,919,944
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$40,950
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$15,589,678
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$14,548,710
Value of interest in pooled separate accounts at end of year2021-12-31$5,757,945
Value of interest in pooled separate accounts at beginning of year2021-12-31$4,053,417
Interest on participant loans2021-12-31$7,296
Income. Interest from loans (other than to participants)2021-12-31$0
Interest earned on other investments2021-12-31$126
Income. Interest from US Government securities2021-12-31$0
Income. Interest from corporate debt instruments2021-12-31$0
Value of interest in common/collective trusts at end of year2021-12-31$44,746,583
Value of interest in common/collective trusts at beginning of year2021-12-31$36,162,410
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2021-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$1,545,822
Net investment gain/loss from pooled separate accounts2021-12-31$1,175,055
Net investment gain or loss from common/collective trusts2021-12-31$4,871,058
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$2,266,837
Employer contributions (assets) at end of year2021-12-31$2,275,034
Employer contributions (assets) at beginning of year2021-12-31$3,525,803
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$8,251,828
Contract administrator fees2021-12-31$51,124
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2021-12-31381357951
2020 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$289
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$15,022,149
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$3,773,694
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$3,673,097
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$5,528,827
Value of total assets at end of year2020-12-31$72,920,233
Value of total assets at beginning of year2020-12-31$61,671,489
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$100,597
Total interest from all sources2020-12-31$6,190
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$143,857
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$143,857
Administrative expenses professional fees incurred2020-12-31$0
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,420,108
Participant contributions at end of year2020-12-31$101,199
Participant contributions at beginning of year2020-12-31$93,850
Participant contributions at end of year2020-12-31$15
Participant contributions at beginning of year2020-12-31$86
Assets. Other investments not covered elsewhere at end of year2020-12-31$14,528,679
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$11,617,781
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$575,731
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$289
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$0
Other income not declared elsewhere2020-12-31$2,251,596
Total non interest bearing cash at end of year2020-12-31$0
Total non interest bearing cash at beginning of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$11,248,455
Value of net assets at end of year (total assets less liabilities)2020-12-31$72,919,944
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$61,671,489
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$50,444
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$14,548,710
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$12,749,447
Value of interest in pooled separate accounts at end of year2020-12-31$4,053,417
Value of interest in pooled separate accounts at beginning of year2020-12-31$3,579,618
Interest on participant loans2020-12-31$6,190
Income. Interest from loans (other than to participants)2020-12-31$0
Income. Interest from US Government securities2020-12-31$0
Income. Interest from corporate debt instruments2020-12-31$0
Value of interest in common/collective trusts at end of year2020-12-31$36,162,410
Value of interest in common/collective trusts at beginning of year2020-12-31$30,668,299
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$2,057,897
Net investment gain/loss from pooled separate accounts2020-12-31$612,406
Net investment gain or loss from common/collective trusts2020-12-31$4,421,376
Net gain/loss from 103.12 investment entities2020-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$3,532,988
Employer contributions (assets) at end of year2020-12-31$3,525,803
Employer contributions (assets) at beginning of year2020-12-31$2,962,408
Income. Dividends from preferred stock2020-12-31$0
Income. Dividends from common stock2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$3,673,097
Contract administrator fees2020-12-31$50,153
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2020-12-31381357951
2019 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets2019-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Expenses. Interest paid2019-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022019-12-31$0
Total income from all sources (including contributions)2019-12-31$14,714,521
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$3,225,836
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$3,148,481
Expenses. Certain deemed distributions of participant loans2019-12-31$0
Value of total corrective distributions2019-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$4,482,707
Value of total assets at end of year2019-12-31$61,671,489
Value of total assets at beginning of year2019-12-31$50,182,804
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$77,355
Total interest from all sources2019-12-31$6,095
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$181,591
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$181,591
Administrative expenses professional fees incurred2019-12-31$11,248
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,304,600
Participant contributions at end of year2019-12-31$93,850
Participant contributions at beginning of year2019-12-31$19,588
Participant contributions at end of year2019-12-31$86
Participant contributions at beginning of year2019-12-31$0
Assets. Other investments not covered elsewhere at end of year2019-12-31$11,617,781
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$9,236,294
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$212,498
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$0
Other income not declared elsewhere2019-12-31$2,014,320
Administrative expenses (other) incurred2019-12-31$0
Total non interest bearing cash at end of year2019-12-31$0
Total non interest bearing cash at beginning of year2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$11,488,685
Value of net assets at end of year (total assets less liabilities)2019-12-31$61,671,489
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$50,182,804
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$32,634
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$12,749,447
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$9,743,762
Value of interest in pooled separate accounts at end of year2019-12-31$3,579,618
Value of interest in pooled separate accounts at beginning of year2019-12-31$2,990,564
Interest on participant loans2019-12-31$6,095
Income. Interest from loans (other than to participants)2019-12-31$0
Income. Interest from US Government securities2019-12-31$0
Income. Interest from corporate debt instruments2019-12-31$0
Value of interest in common/collective trusts at end of year2019-12-31$30,668,299
Value of interest in common/collective trusts at beginning of year2019-12-31$25,310,903
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$2,156,249
Net investment gain/loss from pooled separate accounts2019-12-31$878,717
Net investment gain or loss from common/collective trusts2019-12-31$4,994,842
Net gain/loss from 103.12 investment entities2019-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$2,965,609
Employer contributions (assets) at end of year2019-12-31$2,962,408
Employer contributions (assets) at beginning of year2019-12-31$2,881,693
Income. Dividends from preferred stock2019-12-31$0
Income. Dividends from common stock2019-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$3,148,481
Contract administrator fees2019-12-31$33,473
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$0
Aggregate carrying amount (costs) on sale of assets2019-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2019-12-31381357951
2018 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$1,503,183
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,953,290
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,894,098
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$4,710,520
Value of total assets at end of year2018-12-31$50,182,804
Value of total assets at beginning of year2018-12-31$50,632,911
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$59,192
Total interest from all sources2018-12-31$1,127
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$346,805
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$346,805
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,137,697
Participant contributions at end of year2018-12-31$19,588
Participant contributions at beginning of year2018-12-31$10,856
Assets. Other investments not covered elsewhere at end of year2018-12-31$9,236,294
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$7,868,741
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$685,767
Other income not declared elsewhere2018-12-31$-739,645
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-450,107
Value of net assets at end of year (total assets less liabilities)2018-12-31$50,182,804
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$50,632,911
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$29,217
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$9,743,762
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$9,475,372
Value of interest in pooled separate accounts at end of year2018-12-31$2,990,564
Value of interest in pooled separate accounts at beginning of year2018-12-31$3,179,086
Interest on participant loans2018-12-31$1,127
Value of interest in common/collective trusts at end of year2018-12-31$25,310,903
Value of interest in common/collective trusts at beginning of year2018-12-31$27,409,039
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-813,801
Net investment gain/loss from pooled separate accounts2018-12-31$-199,304
Net investment gain or loss from common/collective trusts2018-12-31$-1,802,519
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$2,887,056
Employer contributions (assets) at end of year2018-12-31$2,881,693
Employer contributions (assets) at beginning of year2018-12-31$2,689,817
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,894,098
Contract administrator fees2018-12-31$29,975
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2018-12-31381357951
2017 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$10,823,820
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,940,030
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,829,494
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$4,115,434
Value of total assets at end of year2017-12-31$50,632,911
Value of total assets at beginning of year2017-12-31$41,749,121
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$110,536
Total interest from all sources2017-12-31$316
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$203,024
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$94,907
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,083,900
Participant contributions at end of year2017-12-31$10,856
Participant contributions at beginning of year2017-12-31$0
Assets. Other investments not covered elsewhere at end of year2017-12-31$7,868,741
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$7,407,251
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$341,717
Other income not declared elsewhere2017-12-31$990,384
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$8,883,790
Value of net assets at end of year (total assets less liabilities)2017-12-31$50,632,911
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$41,749,121
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$33,609
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$9,475,372
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$22,231,012
Value of interest in pooled separate accounts at end of year2017-12-31$3,179,086
Value of interest in pooled separate accounts at beginning of year2017-12-31$0
Interest on participant loans2017-12-31$316
Value of interest in common/collective trusts at end of year2017-12-31$27,409,039
Value of interest in common/collective trusts at beginning of year2017-12-31$9,946,208
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$279
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$279
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$2,416,100
Net investment gain/loss from pooled separate accounts2017-12-31$306,057
Net investment gain or loss from common/collective trusts2017-12-31$2,792,505
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$2,689,817
Employer contributions (assets) at end of year2017-12-31$2,689,817
Employer contributions (assets) at beginning of year2017-12-31$2,164,371
Income. Dividends from common stock2017-12-31$108,117
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,829,494
Contract administrator fees2017-12-31$76,927
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31EKS&H, LLLP
Accountancy firm EIN2017-12-31461497033
2016 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$6,060,834
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$2,758,086
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,639,292
Value of total corrective distributions2016-12-31$4,196
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,978,242
Value of total assets at end of year2016-12-31$41,749,121
Value of total assets at beginning of year2016-12-31$38,446,373
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$114,598
Total interest from all sources2016-12-31$10,479
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$638,339
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$638,339
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$991,857
Assets. Other investments not covered elsewhere at end of year2016-12-31$7,407,251
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$6,579,629
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$30,626
Other income not declared elsewhere2016-12-31$644,817
Administrative expenses (other) incurred2016-12-31$70,977
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$3,302,748
Value of net assets at end of year (total assets less liabilities)2016-12-31$41,749,121
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$38,446,373
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Assets. partnership/joint venture interests at end of year2016-12-31$0
Assets. partnership/joint venture interests at beginning of year2016-12-31$0
Investment advisory and management fees2016-12-31$43,621
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$22,231,012
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$20,423,779
Value of interest in common/collective trusts at end of year2016-12-31$9,946,208
Value of interest in common/collective trusts at beginning of year2016-12-31$8,148,383
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$279
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$1,042,455
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$1,042,455
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$10,479
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,158,001
Net investment gain or loss from common/collective trusts2016-12-31$630,956
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$1,955,759
Employer contributions (assets) at end of year2016-12-31$2,164,371
Employer contributions (assets) at beginning of year2016-12-31$2,252,127
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,639,292
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31EKS & H, LLLP
Accountancy firm EIN2016-12-31461497033
2015 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$2,481,209
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$2,320,878
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,207,094
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,263,355
Value of total assets at end of year2015-12-31$38,446,373
Value of total assets at beginning of year2015-12-31$38,286,042
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$113,784
Total interest from all sources2015-12-31$9,840
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$1,017,576
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$1,017,576
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$884,458
Assets. Other investments not covered elsewhere at end of year2015-12-31$6,579,629
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$7,131,306
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$126,770
Other income not declared elsewhere2015-12-31$-268,979
Administrative expenses (other) incurred2015-12-31$67,994
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$160,331
Value of net assets at end of year (total assets less liabilities)2015-12-31$38,446,373
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$38,286,042
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Assets. partnership/joint venture interests at end of year2015-12-31$0
Assets. partnership/joint venture interests at beginning of year2015-12-31$0
Investment advisory and management fees2015-12-31$45,790
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$20,423,779
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$20,238,285
Value of interest in common/collective trusts at end of year2015-12-31$8,148,383
Value of interest in common/collective trusts at beginning of year2015-12-31$7,325,681
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$1,042,455
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$1,252,393
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$1,252,393
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$9,840
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,489,921
Net investment gain or loss from common/collective trusts2015-12-31$-50,662
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$2,252,127
Employer contributions (assets) at end of year2015-12-31$2,252,127
Employer contributions (assets) at beginning of year2015-12-31$2,338,377
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,207,094
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31EKS & H, LLLP
Accountancy firm EIN2015-12-31461497033
2014 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$0
Total transfer of assets from this plan2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$4,805,634
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,882,940
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,792,996
Value of total corrective distributions2014-12-31$4,884
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,181,902
Value of total assets at end of year2014-12-31$38,286,042
Value of total assets at beginning of year2014-12-31$36,363,348
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$85,060
Total interest from all sources2014-12-31$2,453
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$1,063,107
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$1,063,107
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$5,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$742,037
Assets. Other investments not covered elsewhere at end of year2014-12-31$7,131,306
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$6,435,305
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$101,488
Other income not declared elsewhere2014-12-31$396,502
Administrative expenses (other) incurred2014-12-31$37,168
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,922,694
Value of net assets at end of year (total assets less liabilities)2014-12-31$38,286,042
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$36,363,348
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Assets. partnership/joint venture interests at end of year2014-12-31$0
Assets. partnership/joint venture interests at beginning of year2014-12-31$0
Investment advisory and management fees2014-12-31$47,892
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$20,238,285
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$19,710,697
Value of interest in common/collective trusts at end of year2014-12-31$7,325,681
Value of interest in common/collective trusts at beginning of year2014-12-31$6,996,987
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$1,252,393
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$1,003,529
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$1,003,529
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$2,453
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-266,953
Net investment gain or loss from common/collective trusts2014-12-31$428,623
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$2,338,377
Employer contributions (assets) at end of year2014-12-31$2,338,377
Employer contributions (assets) at beginning of year2014-12-31$2,216,830
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,792,996
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31EKS & H, LLP
Accountancy firm EIN2014-12-31461497033
2013 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$198,950
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$8,239,486
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$1,964,638
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,921,112
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,151,852
Value of total assets at end of year2013-12-31$36,363,348
Value of total assets at beginning of year2013-12-31$29,889,550
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$43,526
Total interest from all sources2013-12-31$88
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$676,309
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$676,309
Administrative expenses professional fees incurred2013-12-31$9,985
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$742,073
Assets. Other investments not covered elsewhere at end of year2013-12-31$6,435,305
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$5,079,937
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$192,949
Other income not declared elsewhere2013-12-31$860,283
Administrative expenses (other) incurred2013-12-31$575
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$6,274,848
Value of net assets at end of year (total assets less liabilities)2013-12-31$36,363,348
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$29,889,550
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$32,966
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$19,710,697
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$16,138,264
Value of interest in common/collective trusts at end of year2013-12-31$6,996,987
Value of interest in common/collective trusts at beginning of year2013-12-31$5,602,157
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$1,003,529
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$953,503
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$953,503
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$88
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$2,489,706
Net investment gain or loss from common/collective trusts2013-12-31$1,061,248
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$2,216,830
Employer contributions (assets) at end of year2013-12-31$2,216,830
Employer contributions (assets) at beginning of year2013-12-31$2,115,689
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,921,112
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31SAMPLE & BAILEY
Accountancy firm EIN2013-12-31841041726
2012 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$6,227,081
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,039,908
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$986,728
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$3,128,155
Value of total assets at end of year2012-12-31$29,889,550
Value of total assets at beginning of year2012-12-31$24,702,377
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$53,180
Total interest from all sources2012-12-31$117
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$544,239
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$544,239
Administrative expenses professional fees incurred2012-12-31$9,745
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$702,065
Assets. Other investments not covered elsewhere at end of year2012-12-31$5,079,937
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$3,886,531
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$312,495
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$8,966
Other income not declared elsewhere2012-12-31$459,723
Administrative expenses (other) incurred2012-12-31$3,322
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$5,187,173
Value of net assets at end of year (total assets less liabilities)2012-12-31$29,889,550
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$24,702,377
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Assets. partnership/joint venture interests at end of year2012-12-31$0
Assets. partnership/joint venture interests at beginning of year2012-12-31$19,602
Investment advisory and management fees2012-12-31$40,113
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$16,138,264
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$13,607,854
Value of interest in common/collective trusts at end of year2012-12-31$5,602,157
Value of interest in common/collective trusts at beginning of year2012-12-31$4,421,573
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$953,503
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$677,306
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$677,306
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$117
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,452,963
Net investment gain or loss from common/collective trusts2012-12-31$641,884
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$2,113,595
Employer contributions (assets) at end of year2012-12-31$2,115,689
Employer contributions (assets) at beginning of year2012-12-31$2,080,545
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$986,728
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31SAMPLE & BAILEY
Accountancy firm EIN2012-12-31841041726
2011 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$2,311,124
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,648,439
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,606,140
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$2,760,559
Value of total assets at end of year2011-12-31$24,702,377
Value of total assets at beginning of year2011-12-31$25,039,692
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$42,299
Total interest from all sources2011-12-31$68
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$398,608
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$398,608
Administrative expenses professional fees incurred2011-12-31$8,750
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$670,382
Assets. Other investments not covered elsewhere at end of year2011-12-31$3,886,531
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$6,042,650
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$9,632
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$8,966
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$11,352
Other income not declared elsewhere2011-12-31$-112,368
Administrative expenses (other) incurred2011-12-31$3,722
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-337,315
Value of net assets at end of year (total assets less liabilities)2011-12-31$24,702,377
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$25,039,692
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at end of year2011-12-31$19,602
Assets. partnership/joint venture interests at beginning of year2011-12-31$31,950
Investment advisory and management fees2011-12-31$29,827
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$13,607,854
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$12,446,969
Value of interest in common/collective trusts at end of year2011-12-31$4,421,573
Value of interest in common/collective trusts at beginning of year2011-12-31$4,024,841
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$677,306
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$601,472
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$601,472
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$68
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-608,889
Net investment gain or loss from common/collective trusts2011-12-31$-126,854
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$2,080,545
Employer contributions (assets) at end of year2011-12-31$2,080,545
Employer contributions (assets) at beginning of year2011-12-31$1,880,458
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,606,140
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31SAMPLE & BAILEY, P.C.
Accountancy firm EIN2011-12-31841041726
2010 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$5,259,402
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$305,128
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$280,103
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$2,508,879
Value of total assets at end of year2010-12-31$25,039,692
Value of total assets at beginning of year2010-12-31$20,085,418
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$25,025
Total interest from all sources2010-12-31$63
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$239,573
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$239,573
Administrative expenses professional fees incurred2010-12-31$8,500
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$565,712
Assets. Other investments not covered elsewhere at end of year2010-12-31$6,042,650
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$4,411,991
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$56,157
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$11,352
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$10,041
Other income not declared elsewhere2010-12-31$555,198
Administrative expenses (other) incurred2010-12-31$1,525
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$4,954,274
Value of net assets at end of year (total assets less liabilities)2010-12-31$25,039,692
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$20,085,418
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at end of year2010-12-31$31,950
Assets. partnership/joint venture interests at beginning of year2010-12-31$22,228
Investment advisory and management fees2010-12-31$15,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$12,446,969
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$10,224,769
Value of interest in common/collective trusts at end of year2010-12-31$4,024,841
Value of interest in common/collective trusts at beginning of year2010-12-31$3,061,530
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$601,472
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$653,623
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$653,623
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$63
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,460,493
Net investment gain or loss from common/collective trusts2010-12-31$495,196
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$1,887,010
Employer contributions (assets) at end of year2010-12-31$1,880,458
Employer contributions (assets) at beginning of year2010-12-31$1,701,236
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$280,103
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31SAMPLE & BAILEY, P.C.
Accountancy firm EIN2010-12-31841041726
2009 : ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN

2023: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement – InsuranceYes
2023-01-01Plan benefit arrangement - TrustYes
2022: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: ORTHOPAEDIC & SPINE CENTER OF THE ROCKIES, P.C. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464992
Policy instance 1
Insurance contract or identification number464992
Number of Individuals Covered699
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,183
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464992
Policy instance 1
Insurance contract or identification number464992
Number of Individuals Covered671
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,125
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees2125
Additional information about fees paid to insurance brokerREFEERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464992
Policy instance 1
Insurance contract or identification number464992
Number of Individuals Covered625
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,097
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees2097
Additional information about fees paid to insurance brokerREFEERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464992
Policy instance 1
Insurance contract or identification number464992
Number of Individuals Covered551
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,682
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees1682
Additional information about fees paid to insurance brokerREFEERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464992
Policy instance 1
Insurance contract or identification number464992
Number of Individuals Covered501
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,691
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees1691
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464992
Policy instance 1
Insurance contract or identification number464992
Number of Individuals Covered417
Insurance policy start date2018-05-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $7,226
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees7226
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464992
Policy instance 1
Insurance contract or identification number464992
Number of Individuals Covered401
Insurance policy start date2017-05-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $18,673
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees18673
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameFIRST WESTERN TRUST BANK

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