401k Plan data: NBEA 401(K) PLAN plan

NBEA 401(K) PLAN 401k Plan overview

Plan Name	NBEA 401(K) PLAN
Plan identification number	002

NBEA 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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.
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

NORTH BAY EYE ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name: NORTH BAY EYE ASSOCIATES

Employer identification number (EIN): 680368973

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NBEA 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 DAWN STIRLING 2023-06-21 DAWN STIRLING 2023-06-21
002 2021-01-01 DAWN STIRLING 2022-07-12
002 2020-01-01 LISA KAISER 2021-05-03
002 2019-01-01 LISA KAISER 2020-04-30
002 2018-01-01 LISA KAISER 2019-05-31
002 2017-01-01 LISA KAISER 2018-05-10
002 2016-01-01 LISA KAISER 2017-07-26 LISA KAISER 2017-07-26
002 2015-01-01 LISA KAISER 2016-05-03 LISA KAISER 2016-05-03
002 2014-01-01 LISA KAISER 2015-07-10 LISA KAISER 2015-07-10
002 2013-01-01 LISA KAISER 2014-05-23
002 2012-01-01 LISA KAISER LISA KAISER 2013-06-18
002 2011-01-01 LISA KAISER
002 2009-01-01 MICHELE CLITES WILLIAM BARTLETT 2010-07-22

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01	DAWN STIRLING	2023-06-21	DAWN STIRLING	2023-06-21
002	2021-01-01	DAWN STIRLING	2022-07-12
002	2020-01-01	LISA KAISER	2021-05-03
002	2019-01-01	LISA KAISER	2020-04-30
002	2018-01-01	LISA KAISER	2019-05-31
002	2017-01-01	LISA KAISER	2018-05-10
002	2016-01-01	LISA KAISER	2017-07-26	LISA KAISER	2017-07-26
002	2015-01-01	LISA KAISER	2016-05-03	LISA KAISER	2016-05-03
002	2014-01-01	LISA KAISER	2015-07-10	LISA KAISER	2015-07-10
002	2013-01-01	LISA KAISER	2014-05-23
002	2012-01-01	LISA KAISER		LISA KAISER	2013-06-18
002	2011-01-01	LISA KAISER
002	2009-01-01	MICHELE CLITES		WILLIAM BARTLETT	2010-07-22

Plan Statistics for NBEA 401(K) PLAN

401k plan membership statisitcs for NBEA 401(K) PLAN

Measure Date Value
2012: NBEA 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 68
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 71
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 28
Total of all active and inactive participants 2012-01-01 99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 99
Number of participants with account balances 2012-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2
2011: NBEA 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 89
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 60
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 7
Total of all active and inactive participants 2011-01-01 67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 67
Number of participants with account balances 2011-01-01 67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: NBEA 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 82
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 49
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 30
Total of all active and inactive participants 2009-01-01 79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 79
Number of participants with account balances 2009-01-01 66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2012: NBEA 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	68
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	71
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	28
Total of all active and inactive participants	2012-01-01	99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	99
Number of participants with account balances	2012-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2
2011: NBEA 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	89
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	60
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	7
Total of all active and inactive participants	2011-01-01	67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	67
Number of participants with account balances	2011-01-01	67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: NBEA 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	82
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	49
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	30
Total of all active and inactive participants	2009-01-01	79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	79
Number of participants with account balances	2009-01-01	66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on NBEA 401(K) PLAN

Measure	Date	Value
2012 : NBEA 401(K) PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total income from all sources	2012-12-31	$582,984
Expenses. Total of all expenses incurred	2012-12-31	$86,328
Benefits paid (including direct rollovers)	2012-12-31	$85,768
Total plan assets at end of year	2012-12-31	$3,016,743
Total plan assets at beginning of year	2012-12-31	$2,520,087
Value of fidelity bond covering the plan	2012-12-31	$200,000
Total contributions received or receivable from participants	2012-12-31	$119,959
Expenses. Other expenses not covered elsewhere	2012-12-31	$560
Contributions received from other sources (not participants or employers)	2012-12-31	$61
Other income received	2012-12-31	$331,613
Net income (gross income less expenses)	2012-12-31	$496,656
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,016,743
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,520,087
Assets. Value of participant loans	2012-12-31	$87,720
Total contributions received or receivable from employer(s)	2012-12-31	$131,351
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2011 : NBEA 401(K) PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total income from all sources	2011-12-31	$59,663
Expenses. Total of all expenses incurred	2011-12-31	$117,690
Benefits paid (including direct rollovers)	2011-12-31	$117,410
Total plan assets at end of year	2011-12-31	$2,520,087
Total plan assets at beginning of year	2011-12-31	$2,578,114
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$117,946
Expenses. Other expenses not covered elsewhere	2011-12-31	$280
Contributions received from other sources (not participants or employers)	2011-12-31	$10,106
Other income received	2011-12-31	$-141,507
Net income (gross income less expenses)	2011-12-31	$-58,027
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,520,087
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,578,114
Assets. Value of participant loans	2011-12-31	$23,718
Total contributions received or receivable from employer(s)	2011-12-31	$73,118
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : NBEA 401(K) PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total income from all sources	2010-12-31	$560,705
Expenses. Total of all expenses incurred	2010-12-31	$86,287
Benefits paid (including direct rollovers)	2010-12-31	$86,147
Total plan assets at end of year	2010-12-31	$2,578,114
Total plan assets at beginning of year	2010-12-31	$2,103,696
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$125,660
Expenses. Other expenses not covered elsewhere	2010-12-31	$140
Contributions received from other sources (not participants or employers)	2010-12-31	$35,714
Other income received	2010-12-31	$332,288
Net income (gross income less expenses)	2010-12-31	$474,418
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,578,114
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,103,696
Assets. Value of participant loans	2010-12-31	$23,902
Total contributions received or receivable from employer(s)	2010-12-31	$67,043
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2009 : NBEA 401(K) PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for NBEA 401(K) PLAN

2012: NBEA 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2011: NBEA 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2009: NBEA 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-023251

Policy instance

Insurance contract or identification number	GA-023251
Number of Individuals Covered	71
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $9,136
Total amount of fees paid to insurance company	USD $74
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,136
Insurance broker organization code?	3
Amount paid for insurance broker fees	74
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker name	LPL FINANCIAL LLC

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-023251

Policy instance

Insurance contract or identification number	GA-023251
Number of Individuals Covered	67
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $8,568
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-023251

Policy instance

Insurance contract or identification number	GA-023251
Number of Individuals Covered	67
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $7,698
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,698
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	NORTH BAY EYE ASSOCIATES
Employer identification number (EIN):	680368973
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)