401k Plan data: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN plan

CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN
Plan identification number	001

CARDIO-THORACIC SURGEONS, P.C. 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.
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.
Life insurance

401k Sponsoring company profile

CARDIO-THORACIC SURGEONS, PC has sponsored the creation of one or more 401k plans.

Company Name: CARDIO-THORACIC SURGEONS, PC

Employer identification number (EIN): 630593241

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 HEIDI HUNTER 2023-10-16
001 2022-01-01 HEIDI HUNTER 2023-10-16
001 2021-01-01 DR. JOHN HARLAN 2022-09-14
001 2020-01-01 DR. JOHN HARLAN 2021-07-28
001 2019-01-01 DR. JOHN HARLAN 2020-10-07
001 2018-01-01 DR. JOHN HARLAN 2019-10-09
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 JOHN HARLAN
001 2013-01-01 JOHN HARLAN JOHN HARLAN 2014-10-10
001 2012-01-01 JOHN HARLAN JOHN HARLAN 2013-09-11
001 2011-01-01 JOHN HARLAN
001 2009-01-01 JOHN HARLAN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	HEIDI HUNTER	2023-10-16
001	2022-01-01	HEIDI HUNTER	2023-10-16
001	2021-01-01	DR. JOHN HARLAN	2022-09-14
001	2020-01-01	DR. JOHN HARLAN	2021-07-28
001	2019-01-01	DR. JOHN HARLAN	2020-10-07
001	2018-01-01	DR. JOHN HARLAN	2019-10-09
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	JOHN HARLAN
001	2013-01-01	JOHN HARLAN		JOHN HARLAN	2014-10-10
001	2012-01-01	JOHN HARLAN		JOHN HARLAN	2013-09-11
001	2011-01-01	JOHN HARLAN
001	2009-01-01	JOHN HARLAN

Plan Statistics for CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2020: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 17
Number of retired or separated participants receiving benefits 2020-01-01 7
Number of other retired or separated participants entitled to future benefits 2020-01-01 13
Total of all active and inactive participants 2020-01-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 37
Number of participants with account balances 2020-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 19
Number of retired or separated participants receiving benefits 2019-01-01 6
Number of other retired or separated participants entitled to future benefits 2019-01-01 9
Total of all active and inactive participants 2019-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 34
Number of participants with account balances 2019-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 17
Number of retired or separated participants receiving benefits 2018-01-01 4
Number of other retired or separated participants entitled to future benefits 2018-01-01 11
Total of all active and inactive participants 2018-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 32
Number of participants with account balances 2018-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1
2017: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 15
Number of retired or separated participants receiving benefits 2017-01-01 3
Number of other retired or separated participants entitled to future benefits 2017-01-01 15
Total of all active and inactive participants 2017-01-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 33
Number of participants with account balances 2017-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 14
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 16
Total of all active and inactive participants 2016-01-01 31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 31
Number of participants with account balances 2016-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 21
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 11
Total of all active and inactive participants 2015-01-01 33
Total participants 2015-01-01 33
Number of participants with account balances 2015-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 21
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 12
Total of all active and inactive participants 2014-01-01 34
Total participants 2014-01-01 34
Number of participants with account balances 2014-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 39
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 21
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 15
Total of all active and inactive participants 2013-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 36
Number of participants with account balances 2013-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 30
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 22
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 17
Total of all active and inactive participants 2012-01-01 39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 39
Number of participants with account balances 2012-01-01 39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 23
Number of retired or separated participants receiving benefits 2011-01-01 6
Number of other retired or separated participants entitled to future benefits 2011-01-01 13
Total of all active and inactive participants 2011-01-01 42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 42
Number of participants with account balances 2011-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 3
2009: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 29
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 17
Total of all active and inactive participants 2009-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 46
Number of participants with account balances 2009-01-01 46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2020: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	17
Number of retired or separated participants receiving benefits	2020-01-01	7
Number of other retired or separated participants entitled to future benefits	2020-01-01	13
Total of all active and inactive participants	2020-01-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	37
Number of participants with account balances	2020-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	19
Number of retired or separated participants receiving benefits	2019-01-01	6
Number of other retired or separated participants entitled to future benefits	2019-01-01	9
Total of all active and inactive participants	2019-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	34
Number of participants with account balances	2019-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	17
Number of retired or separated participants receiving benefits	2018-01-01	4
Number of other retired or separated participants entitled to future benefits	2018-01-01	11
Total of all active and inactive participants	2018-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	32
Number of participants with account balances	2018-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1
2017: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	15
Number of retired or separated participants receiving benefits	2017-01-01	3
Number of other retired or separated participants entitled to future benefits	2017-01-01	15
Total of all active and inactive participants	2017-01-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	33
Number of participants with account balances	2017-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	14
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	16
Total of all active and inactive participants	2016-01-01	31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	31
Number of participants with account balances	2016-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	21
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	11
Total of all active and inactive participants	2015-01-01	33
Total participants	2015-01-01	33
Number of participants with account balances	2015-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	21
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	12
Total of all active and inactive participants	2014-01-01	34
Total participants	2014-01-01	34
Number of participants with account balances	2014-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	39
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	21
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	15
Total of all active and inactive participants	2013-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	36
Number of participants with account balances	2013-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	30
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	22
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	17
Total of all active and inactive participants	2012-01-01	39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	39
Number of participants with account balances	2012-01-01	39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	23
Number of retired or separated participants receiving benefits	2011-01-01	6
Number of other retired or separated participants entitled to future benefits	2011-01-01	13
Total of all active and inactive participants	2011-01-01	42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	42
Number of participants with account balances	2011-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	3
2009: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	29
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	17
Total of all active and inactive participants	2009-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	46
Number of participants with account balances	2009-01-01	46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2020 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total income from all sources	2020-12-31	$10,166,260
Expenses. Total of all expenses incurred	2020-12-31	$18,181
Benefits paid (including direct rollovers)	2020-12-31	$8,902
Total plan assets at end of year	2020-12-31	$23,446,738
Total plan assets at beginning of year	2020-12-31	$13,298,659
Value of fidelity bond covering the plan	2020-12-31	$900,000
Total contributions received or receivable from participants	2020-12-31	$99,509
Other income received	2020-12-31	$10,019,838
Net income (gross income less expenses)	2020-12-31	$10,148,079
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$23,446,738
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$13,298,659
Assets. Value of participant loans	2020-12-31	$4,805
Total contributions received or receivable from employer(s)	2020-12-31	$46,913
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$9,279
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
2019 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$4,344,967
Expenses. Total of all expenses incurred	2019-12-31	$369,813
Benefits paid (including direct rollovers)	2019-12-31	$360,157
Total plan assets at end of year	2019-12-31	$13,298,659
Total plan assets at beginning of year	2019-12-31	$9,323,505
Value of fidelity bond covering the plan	2019-12-31	$900,000
Total contributions received or receivable from participants	2019-12-31	$93,699
Other income received	2019-12-31	$4,205,060
Net income (gross income less expenses)	2019-12-31	$3,975,154
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$13,298,659
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$9,323,505
Assets. Value of participant loans	2019-12-31	$5,704
Total contributions received or receivable from employer(s)	2019-12-31	$46,208
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$9,656
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$-1,029,387
Expenses. Total of all expenses incurred	2018-12-31	$1,192,047
Benefits paid (including direct rollovers)	2018-12-31	$1,183,973
Total plan assets at end of year	2018-12-31	$9,323,505
Total plan assets at beginning of year	2018-12-31	$11,544,939
Value of fidelity bond covering the plan	2018-12-31	$900,000
Total contributions received or receivable from participants	2018-12-31	$93,707
Other income received	2018-12-31	$-1,156,477
Net income (gross income less expenses)	2018-12-31	$-2,221,434
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$9,323,505
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$11,544,939
Assets. Value of participant loans	2018-12-31	$7,195
Total contributions received or receivable from employer(s)	2018-12-31	$33,383
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$8,074
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$3,300,046
Expenses. Total of all expenses incurred	2017-12-31	$3,275,254
Benefits paid (including direct rollovers)	2017-12-31	$3,254,835
Total plan assets at end of year	2017-12-31	$11,544,939
Total plan assets at beginning of year	2017-12-31	$11,520,147
Value of fidelity bond covering the plan	2017-12-31	$900,000
Total contributions received or receivable from participants	2017-12-31	$54,997
Other income received	2017-12-31	$3,138,905
Net income (gross income less expenses)	2017-12-31	$24,792
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$11,544,939
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$11,520,147
Assets. Value of participant loans	2017-12-31	$8,670
Total contributions received or receivable from employer(s)	2017-12-31	$106,144
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$20,419
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$1,350,946
Expenses. Total of all expenses incurred	2016-12-31	$244,244
Benefits paid (including direct rollovers)	2016-12-31	$223,216
Total plan assets at end of year	2016-12-31	$11,520,147
Total plan assets at beginning of year	2016-12-31	$10,413,445
Value of fidelity bond covering the plan	2016-12-31	$900,000
Total contributions received or receivable from participants	2016-12-31	$159,438
Other income received	2016-12-31	$953,401
Net income (gross income less expenses)	2016-12-31	$1,106,702
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$11,520,147
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$10,413,445
Assets. Value of participant loans	2016-12-31	$702
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$131,429
Total contributions received or receivable from employer(s)	2016-12-31	$238,107
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$21,028
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total plan liabilities at beginning of year	2015-12-31	$685
Total income from all sources	2015-12-31	$-1,165,419
Expenses. Total of all expenses incurred	2015-12-31	$175,528
Benefits paid (including direct rollovers)	2015-12-31	$162,050
Total plan assets at end of year	2015-12-31	$10,413,445
Total plan assets at beginning of year	2015-12-31	$11,755,077
Value of fidelity bond covering the plan	2015-12-31	$1,000,000
Total contributions received or receivable from participants	2015-12-31	$192,765
Other income received	2015-12-31	$-1,567,007
Net income (gross income less expenses)	2015-12-31	$-1,340,947
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$10,413,445
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$11,754,392
Assets. Value of participant loans	2015-12-31	$1,393
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$149,144
Total contributions received or receivable from employer(s)	2015-12-31	$208,823
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$13,478
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$685
Total income from all sources	2014-12-31	$1,450,883
Expenses. Total of all expenses incurred	2014-12-31	$222,537
Benefits paid (including direct rollovers)	2014-12-31	$176,569
Total plan assets at end of year	2014-12-31	$11,755,077
Total plan assets at beginning of year	2014-12-31	$10,526,046
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Total contributions received or receivable from participants	2014-12-31	$174,344
Other income received	2014-12-31	$1,048,194
Net income (gross income less expenses)	2014-12-31	$1,228,346
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$11,754,392
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$10,526,046
Assets. Value of participant loans	2014-12-31	$2,000
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$896,725
Total contributions received or receivable from employer(s)	2014-12-31	$228,345
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$45,968
2013 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$2,036,015
Expenses. Total of all expenses incurred	2013-12-31	$452,872
Benefits paid (including direct rollovers)	2013-12-31	$411,161
Total plan assets at end of year	2013-12-31	$10,526,046
Total plan assets at beginning of year	2013-12-31	$8,942,903
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Total contributions received or receivable from participants	2013-12-31	$184,214
Other income received	2013-12-31	$1,624,268
Net income (gross income less expenses)	2013-12-31	$1,583,143
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$10,526,046
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$8,942,903
Total contributions received or receivable from employer(s)	2013-12-31	$227,533
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$41,711
2012 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,303,074
Expenses. Total of all expenses incurred	2012-12-31	$199,384
Benefits paid (including direct rollovers)	2012-12-31	$166,250
Total plan assets at end of year	2012-12-31	$8,942,903
Total plan assets at beginning of year	2012-12-31	$7,839,213
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Total contributions received or receivable from participants	2012-12-31	$202,598
Contributions received from other sources (not participants or employers)	2012-12-31	$2,815
Other income received	2012-12-31	$602,651
Net income (gross income less expenses)	2012-12-31	$1,103,690
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$8,942,903
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$7,839,213
Total contributions received or receivable from employer(s)	2012-12-31	$495,010
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$33,134
2011 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$545,000
Expenses. Total of all expenses incurred	2011-12-31	$675,360
Benefits paid (including direct rollovers)	2011-12-31	$667,029
Total plan assets at end of year	2011-12-31	$7,839,213
Total plan assets at beginning of year	2011-12-31	$7,969,573
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$194,539
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$157,472
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$-130,360
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$7,839,213
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$7,969,573
Total contributions received or receivable from employer(s)	2011-12-31	$192,989
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$8,331
2010 : CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$1,571,110
Expenses. Total of all expenses incurred	2010-12-31	$1,962,171
Benefits paid (including direct rollovers)	2010-12-31	$1,941,470
Total plan assets at end of year	2010-12-31	$7,969,573
Total plan assets at beginning of year	2010-12-31	$8,360,634
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$192,339
Expenses. Other expenses not covered elsewhere	2010-12-31	$1
Other income received	2010-12-31	$1,015,771
Net income (gross income less expenses)	2010-12-31	$-391,061
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$7,969,573
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$8,360,634
Total contributions received or receivable from employer(s)	2010-12-31	$363,000
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$20,700

Form 5500 Responses for CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN

2020: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 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	No
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 – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 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 – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 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 – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 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 – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING PLAN 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 – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING 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 – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING 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: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING 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 – 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: CARDIO-THORACIC SURGEONS, P.C. 401(K) PROFIT SHARING 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: CARDIO-THORACIC SURGEONS, P.C. 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 – 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
2009: CARDIO-THORACIC SURGEONS, P.C. 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PHOENIX LIFE INSURANCE (National Association of Insurance Commissioners NAIC id number: 67814 )

Policy contract number

1162181

Policy instance

Insurance contract or identification number	1162181
Number of Individuals Covered	1
Insurance policy start date	2019-03-01
Insurance policy end date	2020-02-28
Are there contracts with allocated funds for individual policies?	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
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

PHOENIX LIFE INSURANCE (National Association of Insurance Commissioners NAIC id number: 67814 )

Policy contract number

1162181

Policy instance

Insurance contract or identification number	1162181
Number of Individuals Covered	1
Insurance policy start date	2018-03-01
Insurance policy end date	2019-02-28
Are there contracts with allocated funds for individual policies?	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
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

PHOENIX LIFE INSURANCE (National Association of Insurance Commissioners NAIC id number: 67814 )

Policy contract number

005EF

Policy instance

Insurance contract or identification number	005EF
Number of Individuals Covered	1
Insurance policy start date	2017-03-01
Insurance policy end date	2018-02-28
Are there contracts with allocated funds for individual policies?	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
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

PHOENIX LIFE INSURANCE (National Association of Insurance Commissioners NAIC id number: 67814 )

Policy contract number

005EF

Policy instance

Insurance contract or identification number	005EF
Number of Individuals Covered	1
Insurance policy start date	2016-03-01
Insurance policy end date	2017-02-28
Are there contracts with allocated funds for individual policies?	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
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

PENN MUTUAL LIFE INSURANCE CO (National Association of Insurance Commissioners NAIC id number: 67644 )

Policy contract number

7134X

Policy instance

Insurance contract or identification number	7134X
Number of Individuals Covered	1
Insurance policy start date	2016-04-01
Insurance policy end date	2017-03-31
Are there contracts with allocated funds for individual policies?	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
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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Company Name:	CARDIO-THORACIC SURGEONS, PC
Employer identification number (EIN):	630593241
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)