401k Plan data: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST plan

NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 401k Plan overview

Plan Name	NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST
Plan identification number	003

NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 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.
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

ERNST NICOLITZ M.D. P.A. has sponsored the creation of one or more 401k plans.

Company Name: ERNST NICOLITZ M.D. P.A.

Employer identification number (EIN): 592020660

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2020-01-01
003 2019-01-01
003 2018-01-01 ERNST NICOLITZ, M.D. ERNST NICOLITZ, M.D. 2019-07-15
003 2017-01-01 ERNST NICOLITZ, M.D. ERNST NICOLITZ, M.D. 2018-09-17
003 2016-01-01 ERNST NICOLITZ, M.D. ERNST NICOLITZ, M.D. 2017-09-26
003 2015-01-01 ERNST NICOLITZ, M.D. ERNST NICOLITZ, M.D. 2016-07-19
003 2014-01-01 ERNST NICOLITZ, M.D. ERNST NICOLITZ, M.D. 2015-09-30
003 2013-01-01 ERNST NICOLITZ, M.D. ERNST NICOLITZ, M.D. 2014-09-24

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2020-01-01
003	2019-01-01
003	2018-01-01	ERNST NICOLITZ, M.D.	ERNST NICOLITZ, M.D.	2019-07-15
003	2017-01-01	ERNST NICOLITZ, M.D.	ERNST NICOLITZ, M.D.	2018-09-17
003	2016-01-01	ERNST NICOLITZ, M.D.	ERNST NICOLITZ, M.D.	2017-09-26
003	2015-01-01	ERNST NICOLITZ, M.D.	ERNST NICOLITZ, M.D.	2016-07-19
003	2014-01-01	ERNST NICOLITZ, M.D.	ERNST NICOLITZ, M.D.	2015-09-30
003	2013-01-01	ERNST NICOLITZ, M.D.	ERNST NICOLITZ, M.D.	2014-09-24

Financial Data on NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST

Measure	Date	Value
2020 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2020 401k financial data
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$621,861
Expenses. Total of all expenses incurred	2020-12-31	$4,626,228
Benefits paid (including direct rollovers)	2020-12-31	$4,606,213
Total plan assets at end of year	2020-12-31	$0
Total plan assets at beginning of year	2020-12-31	$4,004,367
Value of fidelity bond covering the plan	2020-12-31	$275,000
Total contributions received or receivable from participants	2020-12-31	$149,257
Other income received	2020-12-31	$411,724
Net income (gross income less expenses)	2020-12-31	$-4,004,367
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$4,004,367
Total contributions received or receivable from employer(s)	2020-12-31	$60,880
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$20,015
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
2019 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2019 401k financial data
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$892,525
Expenses. Total of all expenses incurred	2019-12-31	$95,099
Benefits paid (including direct rollovers)	2019-12-31	$77,370
Total plan assets at end of year	2019-12-31	$4,004,367
Total plan assets at beginning of year	2019-12-31	$3,206,941
Value of fidelity bond covering the plan	2019-12-31	$275,000
Total contributions received or receivable from participants	2019-12-31	$197,792
Contributions received from other sources (not participants or employers)	2019-12-31	$4,535
Other income received	2019-12-31	$599,236
Net income (gross income less expenses)	2019-12-31	$797,426
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$4,004,367
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$3,206,941
Total contributions received or receivable from employer(s)	2019-12-31	$90,962
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$17,729
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2018 401k financial data
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$112,447
Expenses. Total of all expenses incurred	2018-12-31	$120,572
Benefits paid (including direct rollovers)	2018-12-31	$104,470
Total plan assets at end of year	2018-12-31	$3,206,941
Total plan assets at beginning of year	2018-12-31	$3,215,066
Value of fidelity bond covering the plan	2018-12-31	$275,000
Total contributions received or receivable from participants	2018-12-31	$195,517
Expenses. Other expenses not covered elsewhere	2018-12-31	$120
Contributions received from other sources (not participants or employers)	2018-12-31	$14,568
Other income received	2018-12-31	$-179,887
Net income (gross income less expenses)	2018-12-31	$-8,125
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$3,206,941
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$3,215,066
Total contributions received or receivable from employer(s)	2018-12-31	$82,249
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$15,982
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2017 401k financial data
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$601,744
Expenses. Total of all expenses incurred	2017-12-31	$157,167
Benefits paid (including direct rollovers)	2017-12-31	$142,612
Total plan assets at end of year	2017-12-31	$3,215,066
Total plan assets at beginning of year	2017-12-31	$2,770,489
Value of fidelity bond covering the plan	2017-12-31	$275,000
Total contributions received or receivable from participants	2017-12-31	$166,995
Contributions received from other sources (not participants or employers)	2017-12-31	$14,427
Other income received	2017-12-31	$343,792
Net income (gross income less expenses)	2017-12-31	$444,577
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$3,215,066
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,770,489
Total contributions received or receivable from employer(s)	2017-12-31	$76,530
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$14,555
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2016 401k financial data
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$435,429
Expenses. Total of all expenses incurred	2016-12-31	$86,040
Benefits paid (including direct rollovers)	2016-12-31	$86,040
Total plan assets at end of year	2016-12-31	$2,770,489
Total plan assets at beginning of year	2016-12-31	$2,421,100
Value of fidelity bond covering the plan	2016-12-31	$275,000
Total contributions received or receivable from participants	2016-12-31	$135,035
Other income received	2016-12-31	$231,327
Net income (gross income less expenses)	2016-12-31	$349,389
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,770,489
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,421,100
Total contributions received or receivable from employer(s)	2016-12-31	$69,067
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$69
Total income from all sources	2015-12-31	$75,375
Expenses. Total of all expenses incurred	2015-12-31	$85,561
Benefits paid (including direct rollovers)	2015-12-31	$85,561
Total plan assets at end of year	2015-12-31	$2,421,100
Total plan assets at beginning of year	2015-12-31	$2,431,355
Total contributions received or receivable from participants	2015-12-31	$124,426
Other income received	2015-12-31	$-122,437
Net income (gross income less expenses)	2015-12-31	$-10,186
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,421,100
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,431,286
Total contributions received or receivable from employer(s)	2015-12-31	$73,386
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$69
Total plan liabilities at beginning of year	2014-12-31	$240
Total income from all sources	2014-12-31	$142,660
Expenses. Total of all expenses incurred	2014-12-31	$24,527
Benefits paid (including direct rollovers)	2014-12-31	$24,527
Total plan assets at end of year	2014-12-31	$2,431,355
Total plan assets at beginning of year	2014-12-31	$2,313,393
Total contributions received or receivable from participants	2014-12-31	$108,118
Other income received	2014-12-31	$-24,620
Net income (gross income less expenses)	2014-12-31	$118,133
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,431,286
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,313,153
Total contributions received or receivable from employer(s)	2014-12-31	$59,162
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2013 401k financial data
Transfers to/from the plan	2013-12-31	$1,958,558
Total plan liabilities at end of year	2013-12-31	$240
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$359,956
Expenses. Total of all expenses incurred	2013-12-31	$5,361
Benefits paid (including direct rollovers)	2013-12-31	$5,361
Total plan assets at end of year	2013-12-31	$2,313,393
Total plan assets at beginning of year	2013-12-31	$0
Total contributions received or receivable from participants	2013-12-31	$60,681
Other income received	2013-12-31	$193,216
Net income (gross income less expenses)	2013-12-31	$354,595
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$2,313,153
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$0
Total contributions received or receivable from employer(s)	2013-12-31	$106,059
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0

Form 5500 Responses for NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST

2020: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	Yes
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 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: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 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 – 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: NICOLITZ EYE CONSULTANTS 401(K) SAVINGS PLAN AND TRUST 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	First time form 5500 has been submitted	Yes
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 – 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

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	623791
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	623791
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	623791
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	623791
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	109857
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	109857
Policy instance	1
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number	109857
Policy instance	1

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Company Name:	ERNST NICOLITZ M.D. P.A.
Employer identification number (EIN):	592020660
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)