401k Plan data: WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN plan

WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

WATZ SURGICAL GROUP, LLC 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.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

WATZ SURGICAL GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: WATZ SURGICAL GROUP, LLC

Employer identification number (EIN): 470843078

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01 THOMAS WHITE 2019-07-30 THOMAS WHITE 2019-07-30
001 2018-01-01 THOMAS WHITE 2019-07-30 THOMAS WHITE 2019-07-30
001 2017-01-01 THOMAS WHITE 2018-10-15 THOMAS WHITE 2018-10-15
001 2016-01-01 THOMAS WHITE 2017-08-10 THOMAS WHITE 2017-08-10
001 2015-01-01 THOMAS WHITE 2016-09-22 THOMAS WHITE 2016-09-22
001 2014-01-01 THOMAS WHITE 2015-10-09 THOMAS WHITE 2015-10-09
001 2013-01-01 THOMAS WHITE 2014-07-28 THOMAS WHITE 2014-07-28
001 2012-01-01 THOMAS WHITE 2013-09-16 THOMAS WHITE 2013-09-16
001 2011-01-01 THOMAS WHITE THOMAS WHITE 2012-07-31
001 2010-01-01 THOMAS WHITE THOMAS WHITE 2011-09-01
001 2009-01-01 THOMAS WHITE THOMAS WHITE 2010-07-22

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01	THOMAS WHITE	2019-07-30	THOMAS WHITE	2019-07-30
001	2018-01-01	THOMAS WHITE	2019-07-30	THOMAS WHITE	2019-07-30
001	2017-01-01	THOMAS WHITE	2018-10-15	THOMAS WHITE	2018-10-15
001	2016-01-01	THOMAS WHITE	2017-08-10	THOMAS WHITE	2017-08-10
001	2015-01-01	THOMAS WHITE	2016-09-22	THOMAS WHITE	2016-09-22
001	2014-01-01	THOMAS WHITE	2015-10-09	THOMAS WHITE	2015-10-09
001	2013-01-01	THOMAS WHITE	2014-07-28	THOMAS WHITE	2014-07-28
001	2012-01-01	THOMAS WHITE	2013-09-16	THOMAS WHITE	2013-09-16
001	2011-01-01	THOMAS WHITE		THOMAS WHITE	2012-07-31
001	2010-01-01	THOMAS WHITE		THOMAS WHITE	2011-09-01
001	2009-01-01	THOMAS WHITE		THOMAS WHITE	2010-07-22

Plan Statistics for WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2011: WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 15
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 17
Number of participants with account balances 2011-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 15
Number of retired or separated participants receiving benefits 2010-01-01 1
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 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 18
Number of participants with account balances 2010-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 11
Number of retired or separated participants receiving benefits 2009-01-01 2
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 14
Number of participants with account balances 2009-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2011: WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	15
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	17
Number of participants with account balances	2011-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	15
Number of retired or separated participants receiving benefits	2010-01-01	1
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	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	18
Number of participants with account balances	2010-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	11
Number of retired or separated participants receiving benefits	2009-01-01	2
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	14
Number of participants with account balances	2009-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2011 : WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$219,254
Expenses. Total of all expenses incurred	2011-12-31	$2,111
Benefits paid (including direct rollovers)	2011-12-31	$2,111
Total plan assets at end of year	2011-12-31	$3,061,994
Total plan assets at beginning of year	2011-12-31	$2,844,851
Value of fidelity bond covering the plan	2011-12-31	$265,000
Total contributions received or receivable from participants	2011-12-31	$100,022
Other income received	2011-12-31	$-61,575
Net income (gross income less expenses)	2011-12-31	$217,143
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,061,994
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,844,851
Total contributions received or receivable from employer(s)	2011-12-31	$180,807
2010 : WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$659,482
Expenses. Total of all expenses incurred	2010-12-31	$399
Benefits paid (including direct rollovers)	2010-12-31	$399
Total plan assets at end of year	2010-12-31	$2,844,851
Total plan assets at beginning of year	2010-12-31	$2,185,768
Value of fidelity bond covering the plan	2010-12-31	$265,000
Total contributions received or receivable from participants	2010-12-31	$102,634
Other income received	2010-12-31	$354,683
Net income (gross income less expenses)	2010-12-31	$659,083
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,844,851
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,185,768
Total contributions received or receivable from employer(s)	2010-12-31	$202,165

Form 5500 Responses for WATZ SURGICAL GROUP, LLC 401(K) PROFIT SHARING PLAN

2011: WATZ SURGICAL GROUP, LLC 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: WATZ SURGICAL GROUP, LLC 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: WATZ SURGICAL GROUP, LLC 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:	WATZ SURGICAL GROUP, LLC
Employer identification number (EIN):	470843078
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)