401k Plan data: ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN plan

ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN 401k Plan overview

Plan Name	ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN
Plan identification number	002

ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

ORTHOPEDIC ASSOCIATES LLC has sponsored the creation of one or more 401k plans.

Company Name: ORTHOPEDIC ASSOCIATES LLC

Employer identification number (EIN): 841535245

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 DEB ROTH 2017-11-02
002 2016-01-01 DEB ROTH 2017-09-25
002 2015-01-01 DEB ROTH 2016-10-04
002 2015-01-01 DEB ROTH 2016-09-21
002 2014-01-01 DEB ROTH 2015-10-12
002 2013-01-01 DEB ROTH 2014-10-03
002 2010-01-01 ORTHOPEDIC ASSOCIATES LLC

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2017-01-01	DEB ROTH	2017-11-02
002	2016-01-01	DEB ROTH	2017-09-25
002	2015-01-01	DEB ROTH	2016-10-04
002	2015-01-01	DEB ROTH	2016-09-21
002	2014-01-01	DEB ROTH	2015-10-12
002	2013-01-01	DEB ROTH	2014-10-03
002	2010-01-01	ORTHOPEDIC ASSOCIATES LLC

Plan Statistics for ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN

401k plan membership statisitcs for ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN

Measure Date Value
2016: ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN 2016 401k membership
Market value of plan assets 2016-12-31 674,854
Acturial value of plan assets 2016-12-31 674,854
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 0
Number of terminated vested participants 2016-12-31 3
Fundng target for terminated vested participants 2016-12-31 5,921
Active participant vested funding target 2016-12-31 625,910
Number of active participants 2016-12-31 44
Total funding liabilities for active participants 2016-12-31 636,251
Total participant count 2016-12-31 47
Total funding target for all participants 2016-12-31 642,172
Balance at beginning of prior year after applicable adjustments 2016-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 110,586
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 13,550
Amount remaining of carryover balance 2016-12-31 0
Amount remaining of prefunding balance 2016-12-31 97,036
Present value of excess contributions 2016-12-31 0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 0
Balance of prefunding at beginning of current year 2016-12-31 93,203
Total employer contributions 2016-12-31 319,794
Total employee contributions 2016-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 320,077
Liquidity shortfalls end of Q1 2016-12-31 0
Liquidity shortfalls end of Q2 2016-12-31 0
Liquidity shortfalls end of Q3 2016-12-31 0
Liquidity shortfalls end of Q4 2016-12-31 0
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 186,516
Net shortfall amortization installment of oustanding balance 2016-12-31 66,095
Waiver amortization installment 2016-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 198,563
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 98,777
Additional cash requirement 2016-12-31 99,786
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 320,077
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0
2010: ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 73
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 31
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 4
Total of all active and inactive participants 2010-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 35
Number of participants with account balances 2010-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 2

Measure	Date	Value
2016: ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN 2016 401k membership
Market value of plan assets	2016-12-31	674,854
Acturial value of plan assets	2016-12-31	674,854
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	0
Number of terminated vested participants	2016-12-31	3
Fundng target for terminated vested participants	2016-12-31	5,921
Active participant vested funding target	2016-12-31	625,910
Number of active participants	2016-12-31	44
Total funding liabilities for active participants	2016-12-31	636,251
Total participant count	2016-12-31	47
Total funding target for all participants	2016-12-31	642,172
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	110,586
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	13,550
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	97,036
Present value of excess contributions	2016-12-31	0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	93,203
Total employer contributions	2016-12-31	319,794
Total employee contributions	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	320,077
Liquidity shortfalls end of Q1	2016-12-31	0
Liquidity shortfalls end of Q2	2016-12-31	0
Liquidity shortfalls end of Q3	2016-12-31	0
Liquidity shortfalls end of Q4	2016-12-31	0
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	186,516
Net shortfall amortization installment of oustanding balance	2016-12-31	66,095
Waiver amortization installment	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	198,563
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	98,777
Additional cash requirement	2016-12-31	99,786
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	320,077
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0
2010: ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	73
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	31
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	4
Total of all active and inactive participants	2010-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	35
Number of participants with account balances	2010-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	2

Financial Data on ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN

Measure	Date	Value
2010 : ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$-392,706
Expenses. Total of all expenses incurred	2010-12-31	$788,459
Benefits paid (including direct rollovers)	2010-12-31	$788,008
Total plan assets at end of year	2010-12-31	$9,335,485
Total plan assets at beginning of year	2010-12-31	$10,516,650
Value of fidelity bond covering the plan	2010-12-31	$0
Total contributions received or receivable from participants	2010-12-31	$190,413
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$43,727
Other income received	2010-12-31	$-695,772
Net income (gross income less expenses)	2010-12-31	$-1,181,165
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$9,335,485
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$10,516,650
Assets. Value of participant loans	2010-12-31	$125,710
Total contributions received or receivable from employer(s)	2010-12-31	$68,926
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$451
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0

Form 5500 Responses for ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN

2010: ORTHOPEDIC ASSOCIATES LLC CASH BALANCE PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ORTHOPEDIC ASSOCIATES LLC
Employer identification number (EIN):	841535245
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)