401k Plan data: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN plan

HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 401k Plan overview

Plan Name	HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN
Plan identification number	001

HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

HUDSON EYE PHYSICIANS & SURGEONS, LLC has sponsored the creation of one or more 401k plans.

Company Name: HUDSON EYE PHYSICIANS & SURGEONS, LLC

Employer identification number (EIN): 200298999

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01 WILLIAM CONSTAD 2016-09-29
001 2014-01-01 WILLIAM CONSTAD 2015-10-06
001 2013-01-01 WILLIAM CONSTAD 2013-12-31 WILLIAM CONSTAD 2013-12-31
001 2012-01-01 WILLIAM CONSTAD 2013-06-17 WILLIAM CONSTAD 2013-06-17
001 2011-01-01 WILLIAM CONSTAD 2012-06-15 WILLIAM CONSTAD 2012-06-15
001 2009-01-01 WILLIAM CONSTAD 2010-05-10 WILLIAM CONSTAD 2010-06-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01	WILLIAM CONSTAD	2016-09-29
001	2014-01-01	WILLIAM CONSTAD	2015-10-06
001	2013-01-01	WILLIAM CONSTAD	2013-12-31	WILLIAM CONSTAD	2013-12-31
001	2012-01-01	WILLIAM CONSTAD	2013-06-17	WILLIAM CONSTAD	2013-06-17
001	2011-01-01	WILLIAM CONSTAD	2012-06-15	WILLIAM CONSTAD	2012-06-15
001	2009-01-01	WILLIAM CONSTAD	2010-05-10	WILLIAM CONSTAD	2010-06-21

Plan Statistics for HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN

401k plan membership statisitcs for HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN

Measure Date Value
2013: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 33
Number of retired or separated participants receiving benefits 2013-01-01 2
Total of all active and inactive participants 2013-01-01 35
Total participants 2013-01-01 35
Number of participants with account balances 2013-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 8
2012: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 30
Number of retired or separated participants receiving benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 33
Total participants 2012-01-01 33
Number of participants with account balances 2012-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 8
2011: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 23
Number of retired or separated participants receiving benefits 2011-01-01 5
Total of all active and inactive participants 2011-01-01 28
Total participants 2011-01-01 28
Number of participants with account balances 2011-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 4
2009: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 24
Number of retired or separated participants receiving benefits 2009-01-01 8
Total of all active and inactive participants 2009-01-01 32
Total participants 2009-01-01 32
Number of participants with account balances 2009-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	33
Number of retired or separated participants receiving benefits	2013-01-01	2
Total of all active and inactive participants	2013-01-01	35
Total participants	2013-01-01	35
Number of participants with account balances	2013-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	8
2012: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	30
Number of retired or separated participants receiving benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	33
Total participants	2012-01-01	33
Number of participants with account balances	2012-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	8
2011: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	23
Number of retired or separated participants receiving benefits	2011-01-01	5
Total of all active and inactive participants	2011-01-01	28
Total participants	2011-01-01	28
Number of participants with account balances	2011-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	4
2009: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	24
Number of retired or separated participants receiving benefits	2009-01-01	8
Total of all active and inactive participants	2009-01-01	32
Total participants	2009-01-01	32
Number of participants with account balances	2009-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN

Measure	Date	Value
2013 : HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$4,785
Total income from all sources	2013-12-31	$796,192
Expenses. Total of all expenses incurred	2013-12-31	$117,137
Benefits paid (including direct rollovers)	2013-12-31	$67,902
Total plan assets at end of year	2013-12-31	$5,046,375
Total plan assets at beginning of year	2013-12-31	$4,362,535
Value of fidelity bond covering the plan	2013-12-31	$400,000
Total contributions received or receivable from participants	2013-12-31	$63,175
Other income received	2013-12-31	$658,704
Net income (gross income less expenses)	2013-12-31	$679,055
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$5,041,590
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$4,362,535
Total contributions received or receivable from employer(s)	2013-12-31	$74,313
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$49,235
2012 : HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$613,519
Expenses. Total of all expenses incurred	2012-12-31	$89,756
Benefits paid (including direct rollovers)	2012-12-31	$44,370
Total plan assets at end of year	2012-12-31	$4,362,535
Total plan assets at beginning of year	2012-12-31	$3,838,772
Value of fidelity bond covering the plan	2012-12-31	$400,000
Total contributions received or receivable from participants	2012-12-31	$64,245
Other income received	2012-12-31	$470,011
Net income (gross income less expenses)	2012-12-31	$523,763
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$4,362,535
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$3,838,772
Assets. Value of participant loans	2012-12-31	$4,102
Total contributions received or receivable from employer(s)	2012-12-31	$79,263
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$45,386
2011 : HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$5,753
Expenses. Total of all expenses incurred	2011-12-31	$73,640
Benefits paid (including direct rollovers)	2011-12-31	$27,004
Total plan assets at end of year	2011-12-31	$3,838,772
Total plan assets at beginning of year	2011-12-31	$3,906,659
Value of fidelity bond covering the plan	2011-12-31	$400,000
Total contributions received or receivable from participants	2011-12-31	$60,880
Other income received	2011-12-31	$-136,136
Net income (gross income less expenses)	2011-12-31	$-67,887
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,838,772
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,906,659
Assets. Value of participant loans	2011-12-31	$5,153
Total contributions received or receivable from employer(s)	2011-12-31	$81,009
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$46,636
2010 : HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$511,513
Expenses. Total of all expenses incurred	2010-12-31	$41,971
Benefits paid (including direct rollovers)	2010-12-31	$2,786
Total plan assets at end of year	2010-12-31	$3,906,659
Total plan assets at beginning of year	2010-12-31	$3,437,117
Value of fidelity bond covering the plan	2010-12-31	$400,000
Total contributions received or receivable from participants	2010-12-31	$74,510
Other income received	2010-12-31	$354,590
Net income (gross income less expenses)	2010-12-31	$469,542
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,906,659
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,437,117
Assets. Value of participant loans	2010-12-31	$4,964
Total contributions received or receivable from employer(s)	2010-12-31	$82,413
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$39,185

Form 5500 Responses for HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN

2013: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Mulitple employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: HUDSON EYE EMPLOYEES' PROFIT SHARING & 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Mulitple employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )

Policy contract number

3815033/2945726

Policy instance

Insurance contract or identification number	3815033/2945726
Number of Individuals Covered	1
Insurance policy start date	2012-12-14
Insurance policy end date	2013-12-13
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Insurance broker organization code?	3
Insurance broker name

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )

Policy contract number

3815033/2945726

Policy instance

Insurance contract or identification number	3815033/2945726
Number of Individuals Covered	1
Insurance policy start date	2011-12-14
Insurance policy end date	2012-12-13
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Insurance broker organization code?	3
Insurance broker name

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )

Policy contract number

3815033/2945726

Policy instance

Insurance contract or identification number	3815033/2945726
Number of Individuals Covered	1
Insurance policy start date	2010-12-14
Insurance policy end date	2011-12-13
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $2,482
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )

Policy contract number

3815033/2945726

Policy instance

Insurance contract or identification number	3815033/2945726
Number of Individuals Covered	1
Insurance policy start date	2009-12-14
Insurance policy end date	2010-12-13
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Insurance broker organization code?	3
Insurance broker name

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Company Name:	HUDSON EYE PHYSICIANS & SURGEONS, LLC
Employer identification number (EIN):	200298999
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)