401k Plan data: CVESC 401(K) PLAN plan

CVESC 401(K) PLAN 401k Plan overview

Plan Name	CVESC 401(K) PLAN
Plan identification number	001

CVESC 401(K) 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.

401k Sponsoring company profile

CHICAGO VETERINARY EMERGENCY SERVICES has sponsored the creation of one or more 401k plans.

Company Name: CHICAGO VETERINARY EMERGENCY SERVICES

Employer identification number (EIN): 363691153

NAIC Classification: 541940
NAIC Description: Veterinary Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CVESC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 RAE ANN VAN PELT 2016-10-07
001 2015-01-01 RAE ANN VAN PELT
001 2014-01-01 RAE ANN VAN PELT RAE ANN VAN PELT 2015-10-14
001 2013-01-01 RAE ANN VAN PELT RAE ANN VAN PELT 2014-09-19
001 2012-01-01 RAE ANN VAN PELT 2013-07-23 RAE ANN VAN PELT 2013-07-23
001 2011-01-01 GENE MUELLER 2012-05-02 GENE MUELLER 2012-05-02
001 2010-01-01 GENE MUELLER 2011-05-26 GENE MUELLER 2011-05-26

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01	RAE ANN VAN PELT	2016-10-07
001	2015-01-01	RAE ANN VAN PELT
001	2014-01-01	RAE ANN VAN PELT		RAE ANN VAN PELT	2015-10-14
001	2013-01-01	RAE ANN VAN PELT		RAE ANN VAN PELT	2014-09-19
001	2012-01-01	RAE ANN VAN PELT	2013-07-23	RAE ANN VAN PELT	2013-07-23
001	2011-01-01	GENE MUELLER	2012-05-02	GENE MUELLER	2012-05-02
001	2010-01-01	GENE MUELLER	2011-05-26	GENE MUELLER	2011-05-26

Plan Statistics for CVESC 401(K) PLAN

401k plan membership statisitcs for CVESC 401(K) PLAN

Measure Date Value
2015: CVESC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 108
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 89
Total of all active and inactive participants 2015-01-01 89
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 89
Number of participants with account balances 2015-01-01 88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: CVESC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 113
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 27
Total of all active and inactive participants 2014-01-01 140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 140
Number of participants with account balances 2014-01-01 80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: CVESC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 104
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 19
Total of all active and inactive participants 2013-01-01 123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 123
Number of participants with account balances 2013-01-01 76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2015: CVESC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	108
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	89
Total of all active and inactive participants	2015-01-01	89
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	89
Number of participants with account balances	2015-01-01	88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: CVESC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	113
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	27
Total of all active and inactive participants	2014-01-01	140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	140
Number of participants with account balances	2014-01-01	80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: CVESC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	104
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	19
Total of all active and inactive participants	2013-01-01	123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	123
Number of participants with account balances	2013-01-01	76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on CVESC 401(K) PLAN

Measure	Date	Value
2015 : CVESC 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$363,026
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$46,037
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$39,116
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$377,208
Value of total assets at end of year	2015-12-31	$2,320,119
Value of total assets at beginning of year	2015-12-31	$2,003,130
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$6,921
Total interest from all sources	2015-12-31	$1,862
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$3,879
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$3,879
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$239,924
Participant contributions at end of year	2015-12-31	$37,722
Participant contributions at beginning of year	2015-12-31	$46,542
Participant contributions at end of year	2015-12-31	$4,675
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$316,989
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$2,320,119
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$2,003,130
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$1,956,588
Value of interest in pooled separate accounts at end of year	2015-12-31	$2,264,278
Interest on participant loans	2015-12-31	$1,788
Interest earned on other investments	2015-12-31	$74
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$10,546
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$90,281
Net investment gain/loss from pooled separate accounts	2015-12-31	$-110,204
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$137,284
Employer contributions (assets) at end of year	2015-12-31	$2,898
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$39,116
Contract administrator fees	2015-12-31	$6,921
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	KATZ, SAPPER & MILLER, LLP
Accountancy firm EIN	2015-12-31	351090346
2014 : CVESC 401(K) PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$398,810
Total of all expenses incurred	2014-12-31	$394,718
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$373,488
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$290,382
Value of total assets at end of year	2014-12-31	$2,003,130
Value of total assets at beginning of year	2014-12-31	$1,999,038
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$21,230
Total interest from all sources	2014-12-31	$2,028
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$117,193
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	$117,193
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
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	$179,456
Participant contributions at end of year	2014-12-31	$46,542
Participant contributions at beginning of year	2014-12-31	$42,953
Participant contributions at beginning of year	2014-12-31	$6,069
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$9,492
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	$4,092
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,003,130
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$1,999,038
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$1,956,588
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$1,946,210
Interest on participant loans	2014-12-31	$2,028
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-10,793
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	$101,434
Employer contributions (assets) at beginning of year	2014-12-31	$3,806
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$373,488
Contract administrator fees	2014-12-31	$21,230
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	KATZ, SAPPER & MILLER, LLP
Accountancy firm EIN	2014-12-31	351090346
2013 : CVESC 401(K) PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$631,470
Total of all expenses incurred	2013-12-31	$80,664
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$79,759
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$256,203
Value of total assets at end of year	2013-12-31	$1,999,038
Value of total assets at beginning of year	2013-12-31	$1,448,232
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$905
Total interest from all sources	2013-12-31	$768
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$71,429
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	$71,429
Was this plan covered by a fidelity bond	2013-12-31	No
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$164,771
Participant contributions at end of year	2013-12-31	$42,953
Participant contributions at beginning of year	2013-12-31	$8,702
Participant contributions at end of year	2013-12-31	$6,069
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	$550,806
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$1,999,038
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$1,448,232
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$1,946,210
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$1,439,530
Interest on participant loans	2013-12-31	$768
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$303,070
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	Yes
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	$91,432
Employer contributions (assets) at end of year	2013-12-31	$3,806
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$79,759
Contract administrator fees	2013-12-31	$905
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	KATZ, SAPPER & MILLER, LLP
Accountancy firm EIN	2013-12-31	351090346

Form 5500 Responses for CVESC 401(K) PLAN

2015: CVESC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
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: CVESC 401(K) 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	No
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: CVESC 401(K) 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

Insurance Providers Used on plan

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )

Policy contract number

68582

Policy instance

Insurance contract or identification number	68582
Number of Individuals Covered	89
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $18,153
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
Commission paid to Insurance Broker	USD $18,153
Insurance broker organization code?	3
Insurance broker name	SECURIAN FINANCIAL SERVICES

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Company Name:	CHICAGO VETERINARY EMERGENCY SERVICES
Employer identification number (EIN):	363691153
NAIC Classification:	541940
NAIC Description:	Veterinary Services