401k Plan data: SPOONER RETIREMENT SAVINGS PLAN plan

SPOONER RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	SPOONER RETIREMENT SAVINGS PLAN
Plan identification number	001

SPOONER RETIREMENT SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SPOONER PHYSICAL THERAPY, P.C. has sponsored the creation of one or more 401k plans.

Company Name: SPOONER PHYSICAL THERAPY, P.C.

Employer identification number (EIN): 860795982

NAIC Classification: 621340
NAIC Description: Offices of Physical, Occupational and Speech Therapists, and Audiologists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SPOONER RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 NIKI SCHLOTZHAUER 2019-10-08
001 2017-01-01
001 2016-01-01 NIKI SCHLOTZHAUER
001 2015-01-01 KELLY NORLING 2016-05-17
001 2014-01-01 KELLY NORLING 2015-07-27

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2018-01-01	NIKI SCHLOTZHAUER	2019-10-08
001	2017-01-01
001	2016-01-01	NIKI SCHLOTZHAUER
001	2015-01-01	KELLY NORLING	2016-05-17
001	2014-01-01	KELLY NORLING	2015-07-27

Plan Statistics for SPOONER RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for SPOONER RETIREMENT SAVINGS PLAN

Measure Date Value
2018: SPOONER RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 422
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 303
Number of other retired or separated participants entitled to future benefits 2018-01-01 197
Total of all active and inactive participants 2018-01-01 500
Total participants 2018-01-01 500
Number of participants with account balances 2018-01-01 470
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 49
2017: SPOONER RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 349
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 266
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 150
Total of all active and inactive participants 2017-01-01 416
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 416
Number of participants with account balances 2017-01-01 390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 53
2016: SPOONER RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 64
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 267
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 82
Total of all active and inactive participants 2016-01-01 349
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 349
Number of participants with account balances 2016-01-01 323
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 46

Measure	Date	Value
2018: SPOONER RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	422
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	303
Number of other retired or separated participants entitled to future benefits	2018-01-01	197
Total of all active and inactive participants	2018-01-01	500
Total participants	2018-01-01	500
Number of participants with account balances	2018-01-01	470
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	49
2017: SPOONER RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	349
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	266
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	150
Total of all active and inactive participants	2017-01-01	416
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	416
Number of participants with account balances	2017-01-01	390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	53
2016: SPOONER RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	64
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	267
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	82
Total of all active and inactive participants	2016-01-01	349
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	349
Number of participants with account balances	2016-01-01	323
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	46

Financial Data on SPOONER RETIREMENT SAVINGS PLAN

Measure	Date	Value
2018 : SPOONER RETIREMENT SAVINGS PLAN 2018 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$62,875
Total income from all sources (including contributions)	2018-12-31	$932,887
Total of all expenses incurred	2018-12-31	$232,779
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$174,972
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,237,675
Value of total assets at end of year	2018-12-31	$4,917,432
Value of total assets at beginning of year	2018-12-31	$4,280,199
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$57,807
Total interest from all sources	2018-12-31	$5,284
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$158,150
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$158,150
Administrative expenses professional fees incurred	2018-12-31	$5,200
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$831,767
Participant contributions at end of year	2018-12-31	$111,922
Participant contributions at beginning of year	2018-12-31	$125,177
Participant contributions at end of year	2018-12-31	$73,637
Participant contributions at beginning of year	2018-12-31	$71,454
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$25,114
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$62,875
Other income not declared elsewhere	2018-12-31	$30,312
Total non interest bearing cash at end of year	2018-12-31	$45
Total non interest bearing cash at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$700,108
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$4,917,432
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$4,217,324
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$52,607
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$4,709,819
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$4,061,895
Interest on participant loans	2018-12-31	$5,284
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-498,534
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$380,794
Employer contributions (assets) at end of year	2018-12-31	$22,009
Employer contributions (assets) at beginning of year	2018-12-31	$21,673
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$174,972
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	KIMBERLIN COMPANY, PLLC
Accountancy firm EIN	2018-12-31	455497718
2017 : SPOONER RETIREMENT SAVINGS PLAN 2017 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$62,875
Total income from all sources (including contributions)	2017-12-31	$1,630,117
Total of all expenses incurred	2017-12-31	$445,874
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$395,491
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,024,697
Value of total assets at end of year	2017-12-31	$4,280,199
Value of total assets at beginning of year	2017-12-31	$3,033,081
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$50,383
Total interest from all sources	2017-12-31	$5,162
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$82,697
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$82,697
Administrative expenses professional fees incurred	2017-12-31	$50,383
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$681,020
Participant contributions at end of year	2017-12-31	$125,177
Participant contributions at beginning of year	2017-12-31	$93,967
Participant contributions at end of year	2017-12-31	$71,454
Participant contributions at beginning of year	2017-12-31	$66,854
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$3,637
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$62,875
Total non interest bearing cash at end of year	2017-12-31	$0
Total non interest bearing cash at beginning of year	2017-12-31	$429
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,184,243
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$4,217,324
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$3,033,081
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$4,061,895
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$2,850,959
Interest on participant loans	2017-12-31	$5,162
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$517,561
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	Yes
Contributions received in cash from employer	2017-12-31	$340,040
Employer contributions (assets) at end of year	2017-12-31	$21,673
Employer contributions (assets) at beginning of year	2017-12-31	$20,872
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$395,491
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	KIMBERLIN COMPANY, PLLC
Accountancy firm EIN	2017-12-31	455497718
2016 : SPOONER RETIREMENT SAVINGS PLAN 2016 401k financial data
Total transfer of assets to this plan	2016-12-31	$1,725,440
Total income from all sources (including contributions)	2016-12-31	$1,158,996
Total of all expenses incurred	2016-12-31	$197,612
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$181,217
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,007,782
Value of total assets at end of year	2016-12-31	$3,033,081
Value of total assets at beginning of year	2016-12-31	$346,257
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$16,395
Total interest from all sources	2016-12-31	$2,706
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$300,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$681,348
Participant contributions at end of year	2016-12-31	$93,967
Participant contributions at beginning of year	2016-12-31	$15,000
Participant contributions at end of year	2016-12-31	$66,854
Participant contributions at beginning of year	2016-12-31	$4,754
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$10,095
Total non interest bearing cash at end of year	2016-12-31	$429
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$961,384
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$3,033,081
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$346,257
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$2,850,959
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$324,197
Interest on participant loans	2016-12-31	$2,706
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$148,508
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$316,339
Employer contributions (assets) at end of year	2016-12-31	$20,872
Employer contributions (assets) at beginning of year	2016-12-31	$2,306
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$181,217
Contract administrator fees	2016-12-31	$16,395
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	KIMBERLIN COMPANY, PLLC
Accountancy firm EIN	2016-12-31	455497718

Form 5500 Responses for SPOONER RETIREMENT SAVINGS PLAN

2018: SPOONER RETIREMENT SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SPOONER RETIREMENT SAVINGS PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SPOONER RETIREMENT SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SPOONER PHYSICAL THERAPY, P.C.
Employer identification number (EIN):	860795982
NAIC Classification:	621340
NAIC Description:	Offices of Physical, Occupational and Speech Therapists, and Audiologists