401k Plan data: CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN plan

CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN 401k Plan overview

Plan Name	CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN
Plan identification number	002

CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.
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) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFILIATES has sponsored the creation of one or more 401k plans.

Company Name: CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFILIATES

Employer identification number (EIN): 222785033

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 CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 WILLIAM LOCKHART WILLIAM LOCKHART 2014-10-15
002 2012-01-01 MARY MORGAN
002 2011-02-01 MARY MORGAN MARY MORGAN 2012-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2013-01-01	WILLIAM LOCKHART	WILLIAM LOCKHART	2014-10-15
002	2012-01-01	MARY MORGAN
002	2011-02-01	MARY MORGAN	MARY MORGAN	2012-10-15

Financial Data on CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN

Measure	Date	Value
2013 : CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$25,172,394
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$6,189,046
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$6,010,841
Expenses. Certain deemed distributions of participant loans	2013-12-31	$134,077
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$12,212,230
Value of total assets at end of year	2013-12-31	$84,595,752
Value of total assets at beginning of year	2013-12-31	$65,612,404
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$44,128
Total interest from all sources	2013-12-31	$357,333
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$540,406
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$540,406
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$8,907,454
Participant contributions at end of year	2013-12-31	$1,023,550
Participant contributions at beginning of year	2013-12-31	$787,042
Participant contributions at end of year	2013-12-31	$2,917
Participant contributions at beginning of year	2013-12-31	$2,315
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,045,153
Other income not declared elsewhere	2013-12-31	$6,215
Administrative expenses (other) incurred	2013-12-31	$44,128
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$18,983,348
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$84,595,752
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$65,612,404
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$68,242,739
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$50,508,372
Interest on participant loans	2013-12-31	$36,808
Interest earned on other investments	2013-12-31	$320,525
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$15,325,957
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$14,305,457
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$12,056,210
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$2,259,623
Employer contributions (assets) at end of year	2013-12-31	$589
Employer contributions (assets) at beginning of year	2013-12-31	$9,218
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$6,010,841
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	SASLOW LUFKIN & BUGGY LLP
Accountancy firm EIN	2013-12-31	061533253
2012 : CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
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	$18,372,192
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$3,478,355
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,141,360
Expenses. Certain deemed distributions of participant loans	2012-12-31	$173,507
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$12,075,135
Value of total assets at end of year	2012-12-31	$65,612,404
Value of total assets at beginning of year	2012-12-31	$50,718,567
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$163,488
Total interest from all sources	2012-12-31	$346,835
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$621,898
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$621,898
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$8,805,840
Participant contributions at end of year	2012-12-31	$787,042
Participant contributions at beginning of year	2012-12-31	$785,074
Participant contributions at end of year	2012-12-31	$2,315
Participant contributions at beginning of year	2012-12-31	$56,548
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$1,056,623
Administrative expenses (other) incurred	2012-12-31	$163,488
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$14,893,837
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$65,612,404
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$50,718,567
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$50,508,372
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$38,167,801
Interest on participant loans	2012-12-31	$33,020
Interest earned on other investments	2012-12-31	$313,815
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$14,305,457
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$11,697,050
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$5,328,324
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$2,212,672
Employer contributions (assets) at end of year	2012-12-31	$9,218
Employer contributions (assets) at beginning of year	2012-12-31	$12,094
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,141,360
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	SASLOW LUFKIN AND BUGGY, LLP
Accountancy firm EIN	2012-12-31	061533253
2011 : CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$44,541,105
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	$8,994,729
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,817,267
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,735,988
Expenses. Certain deemed distributions of participant loans	2011-12-31	$72,735
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$11,180,258
Value of total assets at end of year	2011-12-31	$50,718,567
Value of total assets at beginning of year	2011-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$8,544
Total interest from all sources	2011-12-31	$262,819
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$408,475
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$408,475
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$7,618,308
Participant contributions at end of year	2011-12-31	$785,074
Participant contributions at beginning of year	2011-12-31	$0
Participant contributions at end of year	2011-12-31	$56,548
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$322,571
Other income not declared elsewhere	2011-12-31	$166,943
Administrative expenses (other) incurred	2011-12-31	$8,544
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$6,177,462
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$50,718,567
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$38,167,801
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$0
Interest on participant loans	2011-12-31	$26,539
Interest earned on other investments	2011-12-31	$236,280
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$11,697,050
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-3,023,766
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$3,239,379
Employer contributions (assets) at end of year	2011-12-31	$12,094
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,735,988
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	Yes
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	SASLOW LUFKIN & BUGGY
Accountancy firm EIN	2011-12-31	061533253

Form 5500 Responses for CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN

2013: CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFLIATES 403B PLAN 2011 form 5500 responses
2011-02-01	Type of plan entity	Single employer plan
2011-02-01	First time form 5500 has been submitted	Yes
2011-02-01	Submission has been amended	No
2011-02-01	This submission is the final filing	No
2011-02-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2011-02-01	Plan is a collectively bargained plan	No
2011-02-01	Plan funding arrangement – Insurance	Yes
2011-02-01	Plan funding arrangement – Trust	Yes
2011-02-01	Plan benefit arrangement – Insurance	Yes
2011-02-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CENTRAL CONNECTICUT HEALTH ALLIANCE & AFFILIATES
Employer identification number (EIN):	222785033
NAIC Classification:	621340
NAIC Description:	Offices of Physical, Occupational and Speech Therapists, and Audiologists