401k Plan data: THE NEUROSURGICAL GROUP RETIREMENT PLAN plan

THE NEUROSURGICAL GROUP RETIREMENT PLAN 401k Plan overview

Plan Name	THE NEUROSURGICAL GROUP RETIREMENT PLAN
Plan identification number	002

THE NEUROSURGICAL GROUP RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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

THE NEUROSURGICAL GROUP-TIPPETT, CHAPLEAU & GIOVANINI, M.D.'S, P.A. has sponsored the creation of one or more 401k plans.

Company Name: THE NEUROSURGICAL GROUP-TIPPETT, CHAPLEAU & GIOVANINI, M.D.'S, P.A.

Employer identification number (EIN): 591803268

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE NEUROSURGICAL GROUP RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-01-01 CHARLES CHAPLEAU CHARLES CHAPLEAU 2015-10-07
002 2013-01-01 CHARLES E CHAPLEAU, M.D. CHARLES E CHAPLEAU, M.D. 2014-04-22
002 2012-01-01 TROY M TIPPETT TROY M TIPPETT 2013-07-30
002 2011-01-01 TROY M. TIPPETT, M.D. TROY M. TIPPETT, M.D. 2012-10-12
002 2009-01-01 TROY M TIPPETT TROY M TIPPETT 2010-09-23

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2014-01-01	CHARLES CHAPLEAU	CHARLES CHAPLEAU	2015-10-07
002	2013-01-01	CHARLES E CHAPLEAU, M.D.	CHARLES E CHAPLEAU, M.D.	2014-04-22
002	2012-01-01	TROY M TIPPETT	TROY M TIPPETT	2013-07-30
002	2011-01-01	TROY M. TIPPETT, M.D.	TROY M. TIPPETT, M.D.	2012-10-12
002	2009-01-01	TROY M TIPPETT	TROY M TIPPETT	2010-09-23

Plan Statistics for THE NEUROSURGICAL GROUP RETIREMENT PLAN

401k plan membership statisitcs for THE NEUROSURGICAL GROUP RETIREMENT PLAN

Measure Date Value
2014: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 11
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 6
Total of all active and inactive participants 2013-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 17
Number of participants with account balances 2013-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 18
Total of all active and inactive participants 2012-01-01 18
Total participants 2012-01-01 18
Number of participants with account balances 2012-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 10
Number of other retired or separated participants entitled to future benefits 2011-01-01 5
Total of all active and inactive participants 2011-01-01 15
Total participants 2011-01-01 15
Number of participants with account balances 2011-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 18
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 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 16
Number of participants with account balances 2009-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	11
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	6
Total of all active and inactive participants	2013-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	17
Number of participants with account balances	2013-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	18
Total of all active and inactive participants	2012-01-01	18
Total participants	2012-01-01	18
Number of participants with account balances	2012-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	10
Number of other retired or separated participants entitled to future benefits	2011-01-01	5
Total of all active and inactive participants	2011-01-01	15
Total participants	2011-01-01	15
Number of participants with account balances	2011-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	18
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	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	16
Number of participants with account balances	2009-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on THE NEUROSURGICAL GROUP RETIREMENT PLAN

Measure	Date	Value
2014 : THE NEUROSURGICAL GROUP RETIREMENT PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$1,293
Total income from all sources	2014-12-31	$35,757
Expenses. Total of all expenses incurred	2014-12-31	$5,416,372
Benefits paid (including direct rollovers)	2014-12-31	$5,408,769
Total plan assets at end of year	2014-12-31	$0
Total plan assets at beginning of year	2014-12-31	$5,381,908
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$0
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$35,757
Net income (gross income less expenses)	2014-12-31	$-5,380,615
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$5,380,615
Total contributions received or receivable from employer(s)	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$7,603
2013 : THE NEUROSURGICAL GROUP RETIREMENT PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$1,293
Total plan liabilities at beginning of year	2013-12-31	$27,846
Total income from all sources	2013-12-31	$931,402
Expenses. Total of all expenses incurred	2013-12-31	$6,574,433
Benefits paid (including direct rollovers)	2013-12-31	$6,519,342
Total plan assets at end of year	2013-12-31	$5,381,908
Total plan assets at beginning of year	2013-12-31	$11,051,492
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$74,623
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$759,137
Net income (gross income less expenses)	2013-12-31	$-5,643,031
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$5,380,615
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$11,023,646
Assets. Value of participant loans	2013-12-31	$26,311
Total contributions received or receivable from employer(s)	2013-12-31	$97,642
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$55,091
2012 : THE NEUROSURGICAL GROUP RETIREMENT PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$27,846
Total plan liabilities at beginning of year	2012-12-31	$24,331
Total income from all sources	2012-12-31	$1,410,124
Expenses. Total of all expenses incurred	2012-12-31	$628,208
Benefits paid (including direct rollovers)	2012-12-31	$608,534
Total plan assets at end of year	2012-12-31	$11,051,492
Total plan assets at beginning of year	2012-12-31	$10,266,061
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$89,747
Other income received	2012-12-31	$1,175,849
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$781,916
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$11,023,646
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$10,241,730
Assets. Value of participant loans	2012-12-31	$42,818
Total contributions received or receivable from employer(s)	2012-12-31	$144,528
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$19,674
2011 : THE NEUROSURGICAL GROUP RETIREMENT PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$39,225
Total plan liabilities at end of year	2011-12-31	$24,331
Total plan liabilities at beginning of year	2011-12-31	$1,293
Total income from all sources	2011-12-31	$-595,603
Expenses. Total of all expenses incurred	2011-12-31	$1,024,251
Benefits paid (including direct rollovers)	2011-12-31	$907,437
Total plan assets at end of year	2011-12-31	$10,266,061
Total plan assets at beginning of year	2011-12-31	$11,823,652
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$79,899
Other income received	2011-12-31	$-809,804
Net income (gross income less expenses)	2011-12-31	$-1,619,854
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$10,241,730
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$11,822,359
Assets. Value of participant loans	2011-12-31	$61,477
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2011-12-31	$44,778
Total contributions received or receivable from employer(s)	2011-12-31	$134,302
Value of certain deemed distributions of participant loans	2011-12-31	$9,131
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$107,683
2010 : THE NEUROSURGICAL GROUP RETIREMENT PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$6,186,016
Total plan liabilities at end of year	2010-12-31	$1,293
Total plan liabilities at beginning of year	2010-12-31	$922
Total income from all sources	2010-12-31	$663,856
Expenses. Total of all expenses incurred	2010-12-31	$91,868
Benefits paid (including direct rollovers)	2010-12-31	$12,030
Total plan assets at end of year	2010-12-31	$11,823,652
Total plan assets at beginning of year	2010-12-31	$5,065,277
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$81,005
Expenses. Other expenses not covered elsewhere	2010-12-31	$30
Other income received	2010-12-31	$447,054
Net income (gross income less expenses)	2010-12-31	$571,988
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$11,822,359
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$5,064,355
Assets. Value of participant loans	2010-12-31	$90,697
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2010-12-31	$86,388
Total contributions received or receivable from employer(s)	2010-12-31	$135,797
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$79,808

Form 5500 Responses for THE NEUROSURGICAL GROUP RETIREMENT PLAN

2014: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: THE NEUROSURGICAL GROUP RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE NEUROSURGICAL GROUP RETIREMENT 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
2009: THE NEUROSURGICAL GROUP RETIREMENT 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

Potentially related plans

THE NEUROSURGICAL GROUP DEFERRED PROFIT SHARING PLAN [EIN = 620644893]

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Company Name:	THE NEUROSURGICAL GROUP-TIPPETT, CHAPLEAU & GIOVANINI, M.D.'S, P.A.
Employer identification number (EIN):	591803268
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)