401k Plan data: NOVO 1 401K PLAN plan

NOVO 1 401K PLAN 401k Plan overview

Plan Name	NOVO 1 401K PLAN
Plan identification number	001

NOVO 1 401K PLAN Benefits

401k Plan Type

Defined 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CAREPOINT RESOURCES, INC. has sponsored the creation of one or more 401k plans.

Company Name: CAREPOINT RESOURCES, INC.

Employer identification number (EIN): 270907708

NAIC Classification: 561420

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NOVO 1 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 KERRI CLARK
001 2014-01-01 KERRI CLARK
001 2013-01-01 DIANE SHAFFER
001 2012-01-01 DIANE SHAFFER DIANE SHAFFER 2013-10-08
001 2011-01-01 TRULS MORTENSEN
001 2010-01-01 DIANE SHAFFER

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	KERRI CLARK
001	2014-01-01	KERRI CLARK
001	2013-01-01	DIANE SHAFFER
001	2012-01-01	DIANE SHAFFER	DIANE SHAFFER	2013-10-08
001	2011-01-01	TRULS MORTENSEN
001	2010-01-01	DIANE SHAFFER

Plan Statistics for NOVO 1 401K PLAN

401k plan membership statisitcs for NOVO 1 401K PLAN

Measure Date Value
2015: NOVO 1 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4,570
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
2014: NOVO 1 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 3,030
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 3,292
Number of other retired or separated participants entitled to future benefits 2014-01-01 39
Total of all active and inactive participants 2014-01-01 3,331
Total participants 2014-01-01 3,331
Number of participants with account balances 2014-01-01 230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 15
2013: NOVO 1 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,657
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1,621
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 35
Total of all active and inactive participants 2013-01-01 1,656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 1,656
Number of participants with account balances 2013-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 28
2012: NOVO 1 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,335
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,143
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 23
Total of all active and inactive participants 2012-01-01 1,166
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 1,166
Number of participants with account balances 2012-01-01 108
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 29
2011: NOVO 1 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 986
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1,188
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 12
Total of all active and inactive participants 2011-01-01 1,200
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 1,200
Number of participants with account balances 2011-01-01 94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 16
2010: NOVO 1 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 688
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 901
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 2010-01-01 903
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 903
Number of participants with account balances 2010-01-01 55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1

Measure	Date	Value
2015: NOVO 1 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4,570
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
2014: NOVO 1 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	3,030
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	3,292
Number of other retired or separated participants entitled to future benefits	2014-01-01	39
Total of all active and inactive participants	2014-01-01	3,331
Total participants	2014-01-01	3,331
Number of participants with account balances	2014-01-01	230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	15
2013: NOVO 1 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,657
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1,621
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	35
Total of all active and inactive participants	2013-01-01	1,656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	1,656
Number of participants with account balances	2013-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	28
2012: NOVO 1 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,335
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,143
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	23
Total of all active and inactive participants	2012-01-01	1,166
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	1,166
Number of participants with account balances	2012-01-01	108
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	29
2011: NOVO 1 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	986
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1,188
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	12
Total of all active and inactive participants	2011-01-01	1,200
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	1,200
Number of participants with account balances	2011-01-01	94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	16
2010: NOVO 1 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	688
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	901
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	903
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	903
Number of participants with account balances	2010-01-01	55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1

Financial Data on NOVO 1 401K PLAN

Measure	Date	Value
2015 : NOVO 1 401K PLAN 2015 401k financial data
Total transfer of assets from this plan	2015-12-17	$2,372,878
Total income from all sources (including contributions)	2015-12-17	$488,417
Total of all expenses incurred	2015-12-17	$630,073
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-17	$577,460
Expenses. Certain deemed distributions of participant loans	2015-12-17	$655
Value of total corrective distributions	2015-12-17	$31,785
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-17	$525,465
Value of total assets at end of year	2015-12-17	$0
Value of total assets at beginning of year	2015-12-17	$2,514,534
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-17	$20,173
Total interest from all sources	2015-12-17	$2,593
Total dividends received (eg from common stock, registered investment company shares)	2015-12-17	$39,137
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-17	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-17	$0
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-17	$39,137
Administrative expenses professional fees incurred	2015-12-17	$7,888
Was this plan covered by a fidelity bond	2015-12-17	Yes
Value of fidelity bond cover	2015-12-17	$5,000,000
If this is an individual account plan, was there a blackout period	2015-12-17	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-17	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-17	No
Contributions received from participants	2015-12-17	$487,072
Participant contributions at end of year	2015-12-17	$0
Participant contributions at beginning of year	2015-12-17	$81,906
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-17	$38,393
Other income not declared elsewhere	2015-12-17	$1,638
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-17	No
Value of net income/loss	2015-12-17	$-141,656
Value of net assets at end of year (total assets less liabilities)	2015-12-17	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-12-17	$2,514,534
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-17	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-17	No
Were any leases to which the plan was party in default or uncollectible	2015-12-17	No
Investment advisory and management fees	2015-12-17	$12,285
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-17	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-17	$2,241,115
Interest on participant loans	2015-12-17	$2,593
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-17	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-17	$191,513
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-17	$-80,416
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-17	No
Was there a failure to transmit to the plan any participant contributions	2015-12-17	No
Has the plan failed to provide any benefit when due under the plan	2015-12-17	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-17	$577,460
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-17	Yes
Did the plan have assets held for investment	2015-12-17	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-17	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-17	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-17	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-17	Disclaimer
Accountancy firm name	2015-12-17	UHY LLP
Accountancy firm EIN	2015-12-17	200694403
2014 : NOVO 1 401K PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$1,524,027
Total of all expenses incurred	2014-12-31	$204,761
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$160,867
Value of total corrective distributions	2014-12-31	$29,618
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,408,106
Value of total assets at end of year	2014-12-31	$2,514,534
Value of total assets at beginning of year	2014-12-31	$1,195,268
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$14,276
Total interest from all sources	2014-12-31	$1,319
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$84,669
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$84,669
Administrative expenses professional fees incurred	2014-12-31	$5,700
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$538,341
Participant contributions at end of year	2014-12-31	$81,906
Participant contributions at beginning of year	2014-12-31	$23,148
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$869,497
Other income not declared elsewhere	2014-12-31	$983
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,319,266
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,514,534
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$1,195,268
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$8,576
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$2,241,115
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$1,086,990
Interest on participant loans	2014-12-31	$1,319
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$191,513
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$85,130
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$28,950
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$268
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$160,867
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	UHY LLP
Accountancy firm EIN	2014-12-31	200694403
2013 : NOVO 1 401K PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$554,103
Total of all expenses incurred	2013-12-31	$119,114
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$101,840
Value of total corrective distributions	2013-12-31	$9,883
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$396,865
Value of total assets at end of year	2013-12-31	$1,195,268
Value of total assets at beginning of year	2013-12-31	$760,279
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$7,391
Total interest from all sources	2013-12-31	$666
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$15,784
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$15,784
Administrative expenses professional fees incurred	2013-12-31	$2,750
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$324,002
Participant contributions at end of year	2013-12-31	$23,148
Participant contributions at beginning of year	2013-12-31	$12,118
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$22,904
Other income not declared elsewhere	2013-12-31	$658
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$434,989
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$1,195,268
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$760,279
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$4,641
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$1,086,990
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$643,164
Interest on participant loans	2013-12-31	$666
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$85,130
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$104,997
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$140,130
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$49,959
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$101,840
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	UHY LLP
Accountancy firm EIN	2013-12-31	200694403
2012 : NOVO 1 401K PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$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	$438,901
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$103,164
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$81,397
Value of total corrective distributions	2012-12-31	$17,054
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$377,476
Value of total assets at end of year	2012-12-31	$760,279
Value of total assets at beginning of year	2012-12-31	$424,542
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$4,713
Total interest from all sources	2012-12-31	$1,376
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$12,711
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$12,711
Administrative expenses professional fees incurred	2012-12-31	$2,215
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$298,988
Participant contributions at end of year	2012-12-31	$12,118
Participant contributions at beginning of year	2012-12-31	$9,814
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$34,493
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$335,737
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$760,279
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$424,542
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$2,498
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$643,164
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$345,561
Interest on participant loans	2012-12-31	$383
Interest earned on other investments	2012-12-31	$993
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$104,997
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$69,167
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$47,338
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$43,995
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$81,397
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2012-12-31	752393478
2011 : NOVO 1 401K PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$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	$290,636
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$19,366
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$15,158
Value of total corrective distributions	2011-12-31	$1,077
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$296,693
Value of total assets at end of year	2011-12-31	$424,542
Value of total assets at beginning of year	2011-12-31	$153,272
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$3,131
Total interest from all sources	2011-12-31	$223
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$6,562
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$6,562
Administrative expenses professional fees incurred	2011-12-31	$1,803
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$253,082
Participant contributions at end of year	2011-12-31	$9,814
Participant contributions at beginning of year	2011-12-31	$1,617
Other income not declared elsewhere	2011-12-31	$536
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$271,270
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$424,542
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$153,272
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$1,328
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$345,561
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$143,295
Interest on participant loans	2011-12-31	$223
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$587
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$587
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$69,167
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$7,773
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-13,378
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$43,611
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$15,158
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2011-12-31	752393478
2010 : NOVO 1 401K PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$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	$153,596
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$324
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$141,245
Value of total assets at end of year	2010-12-31	$153,272
Value of total assets at beginning of year	2010-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$324
Total interest from all sources	2010-12-31	$33
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$100
Was this plan covered by a fidelity bond	2010-12-31	No
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$97,326
Participant contributions at end of year	2010-12-31	$1,617
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$27,221
Other income not declared elsewhere	2010-12-31	$35
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$153,272
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$153,272
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$224
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$143,295
Interest on participant loans	2010-12-31	$33
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$587
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$7,773
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$12,283
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$16,698
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2010-12-31	752393478

Form 5500 Responses for NOVO 1 401K PLAN

2015: NOVO 1 401K PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: NOVO 1 401K PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: NOVO 1 401K PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: NOVO 1 401K 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: NOVO 1 401K 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: NOVO 1 401K PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	First time form 5500 has been submitted	Yes
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 – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512026-000

Policy instance

Insurance contract or identification number	512026-000
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-17
Total amount of commissions paid to insurance broker	USD $420
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $420
Insurance broker organization code?	3
Insurance broker name	MICHAEL VATTER

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512026-000

Policy instance

Insurance contract or identification number	512026-000
Number of Individuals Covered	230
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $301
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $301
Insurance broker organization code?	3
Insurance broker name	MICHAEL VATTER

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512026-000

Policy instance

Insurance contract or identification number	512026-000
Number of Individuals Covered	142
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $208
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $208
Insurance broker organization code?	3
Insurance broker name	MICHAEL VATTER

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512026-000

Policy instance

Insurance contract or identification number	512026-000
Number of Individuals Covered	108
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $233
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $190
Insurance broker organization code?	3
Insurance broker name	MICHAEL VATTER

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512026-000

Policy instance

Insurance contract or identification number	512026-000
Number of Individuals Covered	94
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512026-000

Policy instance

Insurance contract or identification number	512026-000
Number of Individuals Covered	55
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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

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The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
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Company Name:	CAREPOINT RESOURCES, INC.
Employer identification number (EIN):	270907708
NAIC Classification:	561420