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ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN
Plan identification number 001

ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

ALABAMA ORTHOPAEDIC CLINIC, P.C. has sponsored the creation of one or more 401k plans.

Company Name:ALABAMA ORTHOPAEDIC CLINIC, P.C.
Employer identification number (EIN):631174582
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012020-01-01
0012019-01-01MIKE PIVER2020-10-14
0012018-01-01MIKE PIVER2019-10-14
0012017-01-01R. DEAN BROWN
0012016-01-01R. DEAN BROWN
0012015-01-01R. DEAN BROWN
0012014-01-01R. DEAN BROWN
0012013-01-01R. DEAN BROWN
0012012-01-01R. DEAN BROWN
0012011-01-01R DEAN BROWN
0012009-01-01R DEAN BROWN R. DEAN BROWN2010-08-04

Plan Statistics for ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2022: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01324
Total number of active participants reported on line 7a of the Form 55002022-01-01190
Number of retired or separated participants receiving benefits2022-01-0112
Number of other retired or separated participants entitled to future benefits2022-01-01101
Total of all active and inactive participants2022-01-01303
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01303
Number of participants with account balances2022-01-01271
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0128
2021: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01337
Total number of active participants reported on line 7a of the Form 55002021-01-01205
Number of retired or separated participants receiving benefits2021-01-0111
Number of other retired or separated participants entitled to future benefits2021-01-0192
Total of all active and inactive participants2021-01-01308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01308
Number of participants with account balances2021-01-01273
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0148
2020: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01304
Total number of active participants reported on line 7a of the Form 55002020-01-01234
Number of retired or separated participants receiving benefits2020-01-012
Number of other retired or separated participants entitled to future benefits2020-01-0192
Total of all active and inactive participants2020-01-01328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01328
Number of participants with account balances2020-01-01279
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0115
2019: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01296
Total number of active participants reported on line 7a of the Form 55002019-01-01208
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0180
Total of all active and inactive participants2019-01-01288
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01288
Number of participants with account balances2019-01-01288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0123
2018: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01279
Total number of active participants reported on line 7a of the Form 55002018-01-01213
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0165
Total of all active and inactive participants2018-01-01278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01278
Number of participants with account balances2018-01-01275
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0117
2017: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01281
Total number of active participants reported on line 7a of the Form 55002017-01-01209
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0159
Total of all active and inactive participants2017-01-01268
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01268
Number of participants with account balances2017-01-01268
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0120
2016: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01262
Total number of active participants reported on line 7a of the Form 55002016-01-01219
Number of retired or separated participants receiving benefits2016-01-015
Number of other retired or separated participants entitled to future benefits2016-01-0143
Total of all active and inactive participants2016-01-01267
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01267
Number of participants with account balances2016-01-01266
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0112
2015: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01255
Total number of active participants reported on line 7a of the Form 55002015-01-01203
Number of retired or separated participants receiving benefits2015-01-0118
Number of other retired or separated participants entitled to future benefits2015-01-0135
Total of all active and inactive participants2015-01-01256
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01256
Number of participants with account balances2015-01-01256
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0115
2014: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01283
Total number of active participants reported on line 7a of the Form 55002014-01-01210
Number of retired or separated participants receiving benefits2014-01-0110
Number of other retired or separated participants entitled to future benefits2014-01-0124
Total of all active and inactive participants2014-01-01244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01244
Number of participants with account balances2014-01-01244
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0113
2013: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01276
Total number of active participants reported on line 7a of the Form 55002013-01-01212
Number of retired or separated participants receiving benefits2013-01-0113
Number of other retired or separated participants entitled to future benefits2013-01-0143
Total of all active and inactive participants2013-01-01268
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01268
Number of participants with account balances2013-01-01267
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0113
2012: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01239
Total number of active participants reported on line 7a of the Form 55002012-01-01221
Number of retired or separated participants receiving benefits2012-01-0111
Number of other retired or separated participants entitled to future benefits2012-01-0142
Total of all active and inactive participants2012-01-01274
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01274
Number of participants with account balances2012-01-01274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0122
2011: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01318
Total number of active participants reported on line 7a of the Form 55002011-01-01253
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0125
Total of all active and inactive participants2011-01-01278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01278
Number of participants with account balances2011-01-01277
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-019
2009: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01305
Total number of active participants reported on line 7a of the Form 55002009-01-01215
Number of retired or separated participants receiving benefits2009-01-015
Number of other retired or separated participants entitled to future benefits2009-01-0176
Total of all active and inactive participants2009-01-01296
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01296
Number of participants with account balances2009-01-01296
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0116

Financial Data on ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2022 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$4,200
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$4,200
Total income from all sources (including contributions)2022-12-31$-2,974,841
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,632,810
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,527,365
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,291,956
Value of total assets at end of year2022-12-31$26,704,699
Value of total assets at beginning of year2022-12-31$31,312,350
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$105,445
Total interest from all sources2022-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$570,263
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$570,263
Assets. Real estate other than employer real property at end of year2022-12-31$0
Assets. Real estate other than employer real property at beginning of year2022-12-31$0
Administrative expenses professional fees incurred2022-12-31$8,316
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$700,165
Assets. Other investments not covered elsewhere at end of year2022-12-31$14,401,863
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$15,912,599
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$145,006
Other income not declared elsewhere2022-12-31$-2,139,276
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-4,607,651
Value of net assets at end of year (total assets less liabilities)2022-12-31$26,700,499
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$31,308,150
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$57,297
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$11,855,851
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$14,376,642
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$28,896
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$67,406
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$67,406
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-2,697,784
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$446,785
Employer contributions (assets) at end of year2022-12-31$418,089
Employer contributions (assets) at beginning of year2022-12-31$955,703
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,527,365
Contract administrator fees2022-12-31$39,832
Liabilities. Value of benefit claims payable at end of year2022-12-31$4,200
Liabilities. Value of benefit claims payable at beginning of year2022-12-31$4,200
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31SMITH DUKES & BUCKALEW
Accountancy firm EIN2022-12-31630191630
2021 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$4,200
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$4,200
Total income from all sources (including contributions)2021-12-31$3,769,297
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$5,768,306
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$5,648,784
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,193,903
Value of total assets at end of year2021-12-31$29,815,451
Value of total assets at beginning of year2021-12-31$31,814,460
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$119,522
Total interest from all sources2021-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$470,845
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$470,845
Assets. Real estate other than employer real property at end of year2021-12-31$121,500
Assets. Real estate other than employer real property at beginning of year2021-12-31$121,500
Administrative expenses professional fees incurred2021-12-31$8,066
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$812,852
Assets. Other investments not covered elsewhere at end of year2021-12-31$15,201,599
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$14,487,620
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$381,051
Other income not declared elsewhere2021-12-31$552,892
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-1,999,009
Value of net assets at end of year (total assets less liabilities)2021-12-31$29,811,251
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$31,810,260
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$63,001
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$14,376,642
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$16,033,136
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$67,406
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$13,925
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$13,925
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$1,551,657
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$970,900
Employer contributions (assets) at end of year2021-12-31$48,304
Employer contributions (assets) at beginning of year2021-12-31$1,158,279
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$5,648,784
Contract administrator fees2021-12-31$48,455
Liabilities. Value of benefit claims payable at end of year2021-12-31$4,200
Liabilities. Value of benefit claims payable at beginning of year2021-12-31$4,200
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Disclaimer
Accountancy firm name2021-12-31SMITH DUKES & BUCKALEW
Accountancy firm EIN2021-12-31630191630
2020 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$4,200
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$34,461
Total income from all sources (including contributions)2020-12-31$5,537,021
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$3,928,865
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$3,778,271
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,926,281
Value of total assets at end of year2020-12-31$31,814,460
Value of total assets at beginning of year2020-12-31$30,236,565
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$150,594
Total interest from all sources2020-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$763,780
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$763,780
Assets. Real estate other than employer real property at end of year2020-12-31$121,500
Assets. Real estate other than employer real property at beginning of year2020-12-31$121,500
Administrative expenses professional fees incurred2020-12-31$20,500
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$770,023
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$58
Assets. Other investments not covered elsewhere at end of year2020-12-31$14,487,620
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$12,683,965
Other income not declared elsewhere2020-12-31$6,000
Liabilities. Value of operating payables at end of year2020-12-31$0
Liabilities. Value of operating payables at beginning of year2020-12-31$30,261
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$1,608,156
Value of net assets at end of year (total assets less liabilities)2020-12-31$31,810,260
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$30,202,104
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$44,359
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$16,033,136
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$17,208,736
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$13,925
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$2,840,960
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,156,258
Employer contributions (assets) at end of year2020-12-31$1,158,279
Employer contributions (assets) at beginning of year2020-12-31$222,306
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$3,778,271
Contract administrator fees2020-12-31$85,735
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31Yes
Liabilities. Value of benefit claims payable at end of year2020-12-31$4,200
Liabilities. Value of benefit claims payable at beginning of year2020-12-31$4,200
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31SMITH DUKES & BUCKALEW
Accountancy firm EIN2020-12-31630191630
2019 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$34,461
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$34,461
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$24,890
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$24,890
Total income from all sources (including contributions)2019-12-31$6,382,371
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$4,191,202
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$4,049,870
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$4,049,870
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,692,447
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,692,447
Value of total assets at end of year2019-12-31$30,236,565
Value of total assets at end of year2019-12-31$30,236,565
Value of total assets at beginning of year2019-12-31$28,035,825
Value of total assets at beginning of year2019-12-31$28,035,825
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$141,332
Total interest from all sources2019-12-31$0
Total interest from all sources2019-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$773,711
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$450,048
Assets. Real estate other than employer real property at end of year2019-12-31$121,500
Assets. Real estate other than employer real property at end of year2019-12-31$121,500
Assets. Real estate other than employer real property at beginning of year2019-12-31$100,875
Assets. Real estate other than employer real property at beginning of year2019-12-31$100,875
Administrative expenses professional fees incurred2019-12-31$108,038
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$684,152
Contributions received from participants2019-12-31$684,152
Participant contributions at end of year2019-12-31$58
Participant contributions at end of year2019-12-31$58
Participant contributions at beginning of year2019-12-31$4,133
Participant contributions at beginning of year2019-12-31$4,133
Assets. Other investments not covered elsewhere at end of year2019-12-31$12,683,965
Assets. Other investments not covered elsewhere at end of year2019-12-31$12,683,965
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$13,158,912
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$13,158,912
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$23,681
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$23,681
Liabilities. Value of operating payables at end of year2019-12-31$30,261
Liabilities. Value of operating payables at end of year2019-12-31$30,261
Liabilities. Value of operating payables at beginning of year2019-12-31$24,890
Liabilities. Value of operating payables at beginning of year2019-12-31$24,890
Total non interest bearing cash at beginning of year2019-12-31$40,437
Total non interest bearing cash at beginning of year2019-12-31$40,437
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$2,191,169
Value of net assets at end of year (total assets less liabilities)2019-12-31$30,202,104
Value of net assets at end of year (total assets less liabilities)2019-12-31$30,202,104
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$28,010,935
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$28,010,935
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$17,208,736
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$17,208,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$14,474,115
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$14,474,115
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,916,213
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,916,213
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$984,614
Contributions received in cash from employer2019-12-31$984,614
Employer contributions (assets) at end of year2019-12-31$222,306
Employer contributions (assets) at end of year2019-12-31$222,306
Employer contributions (assets) at beginning of year2019-12-31$257,353
Employer contributions (assets) at beginning of year2019-12-31$257,353
Income. Dividends from common stock2019-12-31$323,663
Income. Dividends from common stock2019-12-31$323,663
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$4,049,870
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$4,049,870
Contract administrator fees2019-12-31$33,294
Liabilities. Value of benefit claims payable at end of year2019-12-31$4,200
Liabilities. Value of benefit claims payable at end of year2019-12-31$4,200
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31SMITH DUKES & BUCKALEW
Accountancy firm EIN2019-12-31630191630
Accountancy firm EIN2019-12-31630191630
2018 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$24,890
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$20,468
Total income from all sources (including contributions)2018-12-31$-234,709
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,566,283
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,402,398
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,928,195
Value of total assets at end of year2018-12-31$28,035,825
Value of total assets at beginning of year2018-12-31$29,832,395
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$163,885
Total interest from all sources2018-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$802,488
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$802,488
Assets. Real estate other than employer real property at end of year2018-12-31$100,875
Assets. Real estate other than employer real property at beginning of year2018-12-31$100,875
Administrative expenses professional fees incurred2018-12-31$13,533
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$735,272
Participant contributions at end of year2018-12-31$4,133
Participant contributions at beginning of year2018-12-31$39,614
Assets. Other investments not covered elsewhere at end of year2018-12-31$13,158,912
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$13,749,740
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$163,942
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$22
Other income not declared elsewhere2018-12-31$17,618
Liabilities. Value of operating payables at end of year2018-12-31$24,890
Liabilities. Value of operating payables at beginning of year2018-12-31$20,468
Total non interest bearing cash at end of year2018-12-31$40,437
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-1,800,992
Value of net assets at end of year (total assets less liabilities)2018-12-31$28,010,935
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$29,811,927
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$100,093
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$14,474,115
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$15,653,955
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-2,983,010
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,028,981
Employer contributions (assets) at end of year2018-12-31$257,353
Employer contributions (assets) at beginning of year2018-12-31$288,189
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,402,398
Contract administrator fees2018-12-31$50,259
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31SMITH DUKES & BUCKALEW
Accountancy firm EIN2018-12-31630191630
2017 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$20,468
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$6,221,587
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$925,066
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$809,371
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,730,377
Value of total assets at end of year2017-12-31$29,832,395
Value of total assets at beginning of year2017-12-31$24,515,406
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$115,695
Total interest from all sources2017-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$1,181,695
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$1,181,695
Assets. Real estate other than employer real property at end of year2017-12-31$100,875
Assets. Real estate other than employer real property at beginning of year2017-12-31$100,875
Administrative expenses professional fees incurred2017-12-31$111,030
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$704,276
Participant contributions at end of year2017-12-31$39,614
Participant contributions at beginning of year2017-12-31$17,208
Assets. Other investments not covered elsewhere at end of year2017-12-31$13,749,740
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$12,966,879
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$960,612
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$22
Other income not declared elsewhere2017-12-31$155,133
Liabilities. Value of operating payables at end of year2017-12-31$20,468
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$5,296,521
Value of net assets at end of year (total assets less liabilities)2017-12-31$29,811,927
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$24,515,406
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$15,653,955
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$11,138,032
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$2,154,382
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,065,489
Employer contributions (assets) at end of year2017-12-31$288,189
Employer contributions (assets) at beginning of year2017-12-31$292,412
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$809,371
Contract administrator fees2017-12-31$4,665
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31SMITH, DUKES AND BUCKALEW
Accountancy firm EIN2017-12-31630191630
2016 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$30,437
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$29,153
Total income from all sources (including contributions)2016-12-31$3,854,701
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$3,465,885
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$3,356,997
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,715,773
Value of total assets at end of year2016-12-31$24,545,843
Value of total assets at beginning of year2016-12-31$24,155,743
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$108,888
Total interest from all sources2016-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$328,012
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$328,012
Assets. Real estate other than employer real property at end of year2016-12-31$100,875
Assets. Real estate other than employer real property at beginning of year2016-12-31$72,750
Administrative expenses professional fees incurred2016-12-31$31,809
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$739,457
Participant contributions at end of year2016-12-31$17,200
Participant contributions at beginning of year2016-12-31$1
Assets. Other investments not covered elsewhere at end of year2016-12-31$12,966,879
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$13,818,299
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$8
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$281
Other income not declared elsewhere2016-12-31$960,454
Liabilities. Value of operating payables at end of year2016-12-31$30,437
Liabilities. Value of operating payables at beginning of year2016-12-31$29,153
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$388,816
Value of net assets at end of year (total assets less liabilities)2016-12-31$24,515,406
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$24,126,590
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$76,043
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$11,168,469
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$9,902,827
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$850,462
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$976,316
Employer contributions (assets) at end of year2016-12-31$292,412
Employer contributions (assets) at beginning of year2016-12-31$361,585
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$3,356,997
Contract administrator fees2016-12-31$1,036
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31SMITH DUKES BUCKELEW
Accountancy firm EIN2016-12-31631174582
2015 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$29,153
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$13,719
Total income from all sources (including contributions)2015-12-31$1,191,068
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$796,132
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$709,823
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,661,124
Value of total assets at end of year2015-12-31$24,155,743
Value of total assets at beginning of year2015-12-31$23,745,373
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$86,309
Total interest from all sources2015-12-31$1,499,039
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$356,514
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$356,514
Assets. Real estate other than employer real property at end of year2015-12-31$72,750
Assets. Real estate other than employer real property at beginning of year2015-12-31$72,750
Administrative expenses professional fees incurred2015-12-31$16,163
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$687,891
Participant contributions at end of year2015-12-31$1
Participant contributions at beginning of year2015-12-31$2,027
Assets. Other investments not covered elsewhere at end of year2015-12-31$13,818,299
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$13,627,077
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$5,071
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$281
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$330
Liabilities. Value of operating payables at end of year2015-12-31$29,153
Liabilities. Value of operating payables at beginning of year2015-12-31$12,990
Total non interest bearing cash at beginning of year2015-12-31$13,245
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$394,936
Value of net assets at end of year (total assets less liabilities)2015-12-31$24,126,590
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$23,731,654
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$68,170
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$9,902,827
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$9,764,583
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$1,499,039
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-672,220
Net investment gain/loss from pooled separate accounts2015-12-31$-1,653,389
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31Yes
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$968,162
Employer contributions (assets) at end of year2015-12-31$361,585
Employer contributions (assets) at beginning of year2015-12-31$265,361
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$709,823
Contract administrator fees2015-12-31$1,976
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$729
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31SMITH, DUKES & BUCKELEW LLP
Accountancy firm EIN2015-12-31631174582
2014 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$13,719
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$14,866
Total income from all sources (including contributions)2014-12-31$2,789,797
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$451,594
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$352,279
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,657,599
Value of total assets at end of year2014-12-31$23,745,373
Value of total assets at beginning of year2014-12-31$21,408,317
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$99,315
Total interest from all sources2014-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$1,164,937
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$887,398
Assets. Real estate other than employer real property at end of year2014-12-31$72,750
Assets. Real estate other than employer real property at beginning of year2014-12-31$72,750
Administrative expenses professional fees incurred2014-12-31$22,316
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$692,867
Participant contributions at end of year2014-12-31$2,027
Participant contributions at beginning of year2014-12-31$9,687
Assets. Other investments not covered elsewhere at end of year2014-12-31$13,627,077
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$12,006,206
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$3,763
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$330
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$5,711
Liabilities. Value of operating payables at end of year2014-12-31$12,990
Liabilities. Value of operating payables at beginning of year2014-12-31$14,866
Total non interest bearing cash at end of year2014-12-31$13,245
Total non interest bearing cash at beginning of year2014-12-31$14,866
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$2,338,203
Value of net assets at end of year (total assets less liabilities)2014-12-31$23,731,654
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$21,393,451
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$66,628
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$9,764,583
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$7,436,098
Value of interest in common/collective trusts at beginning of year2014-12-31$1,590,409
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$251,891
Net investment gain/loss from pooled separate accounts2014-12-31$-284,630
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$960,969
Employer contributions (assets) at end of year2014-12-31$265,361
Employer contributions (assets) at beginning of year2014-12-31$272,590
Income. Dividends from common stock2014-12-31$277,539
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$352,279
Contract administrator fees2014-12-31$10,371
Liabilities. Value of benefit claims payable at end of year2014-12-31$729
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31SMITH, DUKES AND BUCKALEW
Accountancy firm EIN2014-12-31630191630
2013 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$14,866
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$48,360
Total income from all sources (including contributions)2013-12-31$3,840,948
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$2,657,221
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,532,349
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,522,017
Value of total assets at end of year2013-12-31$21,408,317
Value of total assets at beginning of year2013-12-31$20,258,084
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$124,872
Total interest from all sources2013-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$559,249
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$559,249
Assets. Real estate other than employer real property at end of year2013-12-31$72,750
Assets. Real estate other than employer real property at beginning of year2013-12-31$71,250
Administrative expenses professional fees incurred2013-12-31$14,270
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$579,739
Participant contributions at end of year2013-12-31$9,687
Participant contributions at beginning of year2013-12-31$1,875
Assets. Other investments not covered elsewhere at end of year2013-12-31$12,006,206
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$12,537,161
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$13,428
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$5,711
Other income not declared elsewhere2013-12-31$910,441
Liabilities. Value of operating payables at end of year2013-12-31$14,866
Liabilities. Value of operating payables at beginning of year2013-12-31$28,906
Total non interest bearing cash at end of year2013-12-31$14,866
Total non interest bearing cash at beginning of year2013-12-31$28,906
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$1,183,727
Value of net assets at end of year (total assets less liabilities)2013-12-31$21,393,451
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$20,209,724
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$90,722
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$7,436,098
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$5,791,928
Value of interest in common/collective trusts at end of year2013-12-31$1,590,409
Value of interest in common/collective trusts at beginning of year2013-12-31$1,563,366
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$845,192
Net investment gain or loss from common/collective trusts2013-12-31$4,049
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$928,850
Employer contributions (assets) at end of year2013-12-31$272,590
Employer contributions (assets) at beginning of year2013-12-31$263,598
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,532,349
Contract administrator fees2013-12-31$19,880
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$19,454
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31SMITH, DUKE AND BUCKALEW LLP
Accountancy firm EIN2013-12-31630191630
2012 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$48,360
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$3,057,318
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$601,989
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$430,662
Value of total corrective distributions2012-12-31$19,454
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,640,293
Value of total assets at end of year2012-12-31$20,258,084
Value of total assets at beginning of year2012-12-31$17,754,395
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$151,873
Total interest from all sources2012-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$440,222
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$440,222
Assets. Real estate other than employer real property at end of year2012-12-31$71,250
Assets. Real estate other than employer real property at beginning of year2012-12-31$71,250
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$636,858
Participant contributions at end of year2012-12-31$1,875
Assets. Other investments not covered elsewhere at end of year2012-12-31$12,537,161
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$11,080,930
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$23,563
Other income not declared elsewhere2012-12-31$395,328
Liabilities. Value of operating payables at end of year2012-12-31$28,906
Total non interest bearing cash at end of year2012-12-31$28,906
Total non interest bearing cash at beginning of year2012-12-31$29,955
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$2,455,329
Value of net assets at end of year (total assets less liabilities)2012-12-31$20,209,724
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$17,754,395
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$74,415
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$5,791,928
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$4,639,811
Value of interest in common/collective trusts at end of year2012-12-31$1,563,366
Value of interest in common/collective trusts at beginning of year2012-12-31$1,699,364
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$571,348
Net investment gain or loss from common/collective trusts2012-12-31$10,127
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$979,872
Employer contributions (assets) at end of year2012-12-31$263,598
Employer contributions (assets) at beginning of year2012-12-31$233,085
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$430,662
Contract administrator fees2012-12-31$77,458
Liabilities. Value of benefit claims payable at end of year2012-12-31$19,454
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31SMITH, DUKE AND BUCKALEW, LLP
Accountancy firm EIN2012-12-31630191630
2011 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$1,172,135
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$824,041
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$681,857
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,446,330
Value of total assets at end of year2011-12-31$17,754,395
Value of total assets at beginning of year2011-12-31$17,406,301
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$142,184
Total interest from all sources2011-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$315,780
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$315,780
Assets. Real estate other than employer real property at end of year2011-12-31$71,250
Assets. Real estate other than employer real property at beginning of year2011-12-31$71,250
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$504,868
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$0
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$11,080,930
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$10,506,070
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$1,784
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$1,935
Administrative expenses (other) incurred2011-12-31$1,473
Liabilities. Value of operating payables at end of year2011-12-31$0
Liabilities. Value of operating payables at beginning of year2011-12-31$0
Total non interest bearing cash at end of year2011-12-31$29,955
Total non interest bearing cash at beginning of year2011-12-31$4,222
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$348,094
Value of net assets at end of year (total assets less liabilities)2011-12-31$17,754,395
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$17,406,301
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$122,241
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$4,639,811
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$6,516,181
Value of interest in common/collective trusts at end of year2011-12-31$1,699,364
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-616,601
Net investment gain or loss from common/collective trusts2011-12-31$26,626
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$939,678
Employer contributions (assets) at end of year2011-12-31$233,085
Employer contributions (assets) at beginning of year2011-12-31$306,643
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$681,857
Contract administrator fees2011-12-31$18,470
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31SMITH, DUKE AND BUCKALEW, L.L.P.
Accountancy firm EIN2011-12-31630191630
2010 : ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$13,581
Total income from all sources (including contributions)2010-12-31$1,900,594
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,896,041
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,800,830
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$650,875
Value of total assets at end of year2010-12-31$17,083,371
Value of total assets at beginning of year2010-12-31$17,092,399
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$95,211
Total interest from all sources2010-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$183,443
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$183,443
Assets. Real estate other than employer real property at end of year2010-12-31$71,250
Assets. Real estate other than employer real property at beginning of year2010-12-31$71,250
Administrative expenses professional fees incurred2010-12-31$8,521
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$290,990
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$0
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$402
Assets. Other investments not covered elsewhere at end of year2010-12-31$10,490,850
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$10,389,772
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$1,935
Other income not declared elsewhere2010-12-31$-109,550
Administrative expenses (other) incurred2010-12-31$2,045
Liabilities. Value of operating payables at end of year2010-12-31$0
Liabilities. Value of operating payables at beginning of year2010-12-31$13,581
Total non interest bearing cash at end of year2010-12-31$2,203
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$4,553
Value of net assets at end of year (total assets less liabilities)2010-12-31$17,083,371
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$17,078,818
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$73,310
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$4,915,237
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$6,387,814
Value of interest in common/collective trusts at end of year2010-12-31$1,601,896
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$4,393
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,042,278
Net investment gain or loss from common/collective trusts2010-12-31$23,998
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$359,885
Employer contributions (assets) at end of year2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$243,161
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,796,437
Contract administrator fees2010-12-31$11,335
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31Yes
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31SMITH, DUKE AND BUCKALEW, L.L.P.
Accountancy firm EIN2010-12-31630191630

Form 5500 Responses for ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN

2022: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedYes
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: ALABAMA ORTHOPAEDIC CLINIC, P.C. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number370025-01
Policy instance 1
Insurance contract or identification number370025-01
Number of Individuals Covered0
Insurance policy start date2020-01-01
Insurance policy end date2020-11-09
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number37002501
Policy instance 1
Insurance contract or identification number37002501
Number of Individuals Covered18
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number37002501
Policy instance 1
Insurance contract or identification number37002501
Number of Individuals Covered16
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number37002501
Policy instance 1
Insurance contract or identification number37002501
Number of Individuals Covered18
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $63
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $63
Insurance broker organization code?3
Insurance broker nameWESLEY PATTERSON
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number37002501
Policy instance 1
Insurance contract or identification number37002501
Number of Individuals Covered250
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $274
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $274
Insurance broker organization code?3
Insurance broker nameWESLEY PATTERSON
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number37002501
Policy instance 2
Insurance contract or identification number37002501
Number of Individuals Covered227
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $252
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $252
Insurance broker organization code?3
Insurance broker nameWESLEY PATTERSON
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberPFS5850
Policy instance 1
Insurance contract or identification numberPFS5850
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $6,138
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $4,574
Insurance broker organization code?3
Insurance broker nameRBC CAPITAL MARKETS CORPORATION
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberPFS5850
Policy instance 2
Insurance contract or identification numberPFS5850
Number of Individuals Covered1
Insurance policy start date2012-08-01
Insurance policy end date2013-07-31
Total amount of commissions paid to insurance brokerUSD $6,097
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $6,097
Insurance broker organization code?3
Insurance broker nameWILLIAM A WING II
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number77959
Policy instance 1
Insurance contract or identification number77959
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number77959
Policy instance 2
Insurance contract or identification number77959
Number of Individuals Covered2
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberPFS5850
Policy instance 1
Insurance contract or identification numberPFS5850
Number of Individuals Covered1
Insurance policy start date2011-08-01
Insurance policy end date2012-07-31
Total amount of commissions paid to insurance brokerUSD $5,891
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $4,407
Insurance broker organization code?3
Insurance broker nameWILLIAM A. WING II
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number77959
Policy instance 1
Insurance contract or identification number77959
Number of Individuals Covered0
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number77959
Policy instance 1
Insurance contract or identification number77959
Number of Individuals Covered2
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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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