401k Plan data: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN plan

ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN
Plan identification number	002

ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

ESSEX PULMONARY ASSOCIATES, PC has sponsored the creation of one or more 401k plans.

Company Name: ESSEX PULMONARY ASSOCIATES, PC

Employer identification number (EIN): 043513024

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-01-01 JEFFREY NEWTON JEFFREY NEWTON 2015-07-17
002 2013-01-01 JEFFREY NEWTON JEFFREY NEWTON 2014-07-02
002 2012-01-01 JEFFREY NEWTON JEFFREY NEWTON 2013-05-22
002 2011-01-01 JEFFREY B. NEWTON, MD JEFFREY B. NEWTON, MD 2012-05-30
002 2010-01-01 JEFFREY NEWTON JEFFREY NEWTON 2011-07-13
002 2009-01-01 JEFFREY NEWTON JEFFREY NEWTON 2010-08-11

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2014-01-01	JEFFREY NEWTON	JEFFREY NEWTON	2015-07-17
002	2013-01-01	JEFFREY NEWTON	JEFFREY NEWTON	2014-07-02
002	2012-01-01	JEFFREY NEWTON	JEFFREY NEWTON	2013-05-22
002	2011-01-01	JEFFREY B. NEWTON, MD	JEFFREY B. NEWTON, MD	2012-05-30
002	2010-01-01	JEFFREY NEWTON	JEFFREY NEWTON	2011-07-13
002	2009-01-01	JEFFREY NEWTON	JEFFREY NEWTON	2010-08-11

Plan Statistics for ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 5
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 2
Total of all active and inactive participants 2013-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 7
Number of participants with account balances 2013-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 6
Number of other retired or separated participants entitled to future benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 8
Total participants 2012-01-01 8
Number of participants with account balances 2012-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 7
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 2
Total of all active and inactive participants 2011-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 9
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 8
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 2
Total of all active and inactive participants 2010-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 10
Number of participants with account balances 2010-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 10
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 10
Number of participants with account balances 2009-01-01 10

Measure	Date	Value
2014: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	2
Total of all active and inactive participants	2013-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	7
Number of participants with account balances	2013-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	6
Number of other retired or separated participants entitled to future benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	8
Total participants	2012-01-01	8
Number of participants with account balances	2012-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	7
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	2
Total of all active and inactive participants	2011-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	9
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	8
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	2
Total of all active and inactive participants	2010-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	10
Number of participants with account balances	2010-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	10
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	10
Number of participants with account balances	2009-01-01	10

Financial Data on ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$265,379
Expenses. Total of all expenses incurred	2014-12-31	$3,568,148
Benefits paid (including direct rollovers)	2014-12-31	$3,567,998
Total plan assets at end of year	2014-12-31	$0
Total plan assets at beginning of year	2014-12-31	$3,302,769
Value of fidelity bond covering the plan	2014-12-31	$350,000
Total contributions received or receivable from participants	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$265,379
Net income (gross income less expenses)	2014-12-31	$-3,302,769
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,302,769
Total contributions received or receivable from employer(s)	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$150
2013 : ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$409,570
Expenses. Total of all expenses incurred	2013-12-31	$46,476
Benefits paid (including direct rollovers)	2013-12-31	$46,476
Total plan assets at end of year	2013-12-31	$3,302,769
Total plan assets at beginning of year	2013-12-31	$2,939,675
Value of fidelity bond covering the plan	2013-12-31	$350,000
Assets. Value of tangible personal property	2013-12-31	$11,000
Total contributions received or receivable from participants	2013-12-31	$38,270
Other income received	2013-12-31	$351,518
Net income (gross income less expenses)	2013-12-31	$363,094
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,302,769
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,939,675
Total contributions received or receivable from employer(s)	2013-12-31	$19,782
2012 : ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$266,537
Expenses. Total of all expenses incurred	2012-12-31	$3,856
Benefits paid (including direct rollovers)	2012-12-31	$3,856
Total plan assets at end of year	2012-12-31	$2,939,675
Total plan assets at beginning of year	2012-12-31	$2,676,994
Value of fidelity bond covering the plan	2012-12-31	$300,000
Assets. Value of tangible personal property	2012-12-31	$11,000
Total contributions received or receivable from participants	2012-12-31	$41,635
Other income received	2012-12-31	$214,355
Net income (gross income less expenses)	2012-12-31	$262,681
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,939,675
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,676,994
Total contributions received or receivable from employer(s)	2012-12-31	$10,547
2011 : ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$225,224
Expenses. Total of all expenses incurred	2011-12-31	$4,751
Benefits paid (including direct rollovers)	2011-12-31	$4,751
Total plan assets at end of year	2011-12-31	$2,676,994
Total plan assets at beginning of year	2011-12-31	$2,456,521
Value of fidelity bond covering the plan	2011-12-31	$300,000
Total contributions received or receivable from participants	2011-12-31	$53,570
Contributions received from other sources (not participants or employers)	2011-12-31	$138,155
Other income received	2011-12-31	$21,198
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$220,473
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,676,994
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,456,521
Total contributions received or receivable from employer(s)	2011-12-31	$12,301
2010 : ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$313,572
Expenses. Total of all expenses incurred	2010-12-31	$111,033
Benefits paid (including direct rollovers)	2010-12-31	$111,033
Total plan assets at end of year	2010-12-31	$2,456,521
Total plan assets at beginning of year	2010-12-31	$2,253,982
Value of fidelity bond covering the plan	2010-12-31	$275,000
Total contributions received or receivable from participants	2010-12-31	$55,260
Contributions received from other sources (not participants or employers)	2010-12-31	$22,891
Other income received	2010-12-31	$189,951
Net income (gross income less expenses)	2010-12-31	$202,539
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,456,521
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,253,982
Total contributions received or receivable from employer(s)	2010-12-31	$45,470

Form 5500 Responses for ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN

2014: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING 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
2009: ESSEX PULMONARY ASSOCIATES, PC 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ESSEX PULMONARY ASSOCIATES, PC
Employer identification number (EIN):	043513024
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)