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ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN
Plan identification number 004

ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 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.

401k Sponsoring company profile

ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. has sponsored the creation of one or more 401k plans.

Company Name:ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC.
Employer identification number (EIN):262450404
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0042022-01-01
0042021-01-01
0042020-01-01JEFFREY STERN, M.D. FACS2021-04-08
0042019-01-01JEFFREY STERN, M.D. FACS2020-04-23
0042018-01-01
0042018-01-01JEFFREY STERN, M.D. FACS2019-12-17
0042017-01-01
0042016-01-01
0042016-01-01JEFFREY STERN, MD FACS2017-06-09

Plan Statistics for ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2020: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-0138
Total number of active participants reported on line 7a of the Form 55002020-01-0110
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0111
Total of all active and inactive participants2020-01-0121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-0121
Number of participants with account balances2020-01-0121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-0139
Total number of active participants reported on line 7a of the Form 55002019-01-018
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0130
Total of all active and inactive participants2019-01-0138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-0138
Number of participants with account balances2019-01-0138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-0179
Total number of active participants reported on line 7a of the Form 55002018-01-018
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0131
Total of all active and inactive participants2018-01-0139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-0139
Number of participants with account balances2018-01-0135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-0153
Total number of active participants reported on line 7a of the Form 55002017-01-0159
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0120
Total of all active and inactive participants2017-01-0179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-0179
Number of participants with account balances2017-01-0179
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-0149
Total number of active participants reported on line 7a of the Form 55002016-01-0153
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-0153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0153
Number of participants with account balances2016-01-0121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010

Financial Data on ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2020 : ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Transfers to/from the plan2020-12-31$0
Total plan liabilities at end of year2020-12-31$0
Total plan liabilities at beginning of year2020-12-31$0
Total income from all sources2020-12-31$92,257
Expenses. Total of all expenses incurred2020-12-31$67,387
Benefits paid (including direct rollovers)2020-12-31$63,286
Total plan assets at end of year2020-12-31$477,056
Total plan assets at beginning of year2020-12-31$452,186
Value of fidelity bond covering the plan2020-12-31$100,000
Total contributions received or receivable from participants2020-12-31$22,906
Expenses. Other expenses not covered elsewhere2020-12-31$0
Contributions received from other sources (not participants or employers)2020-12-31$0
Other income received2020-12-31$55,291
Noncash contributions received2020-12-31$0
Net income (gross income less expenses)2020-12-31$24,870
Net plan assets at end of year (total assets less liabilities)2020-12-31$477,056
Net plan assets at beginning of year (total assets less liabilities)2020-12-31$452,186
Assets. Value of participant loans2020-12-31$41,271
Total contributions received or receivable from employer(s)2020-12-31$14,060
Value of certain deemed distributions of participant loans2020-12-31$0
Value of corrective distributions2020-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2020-12-31$4,101
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
2019 : ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Transfers to/from the plan2019-12-31$0
Total plan liabilities at end of year2019-12-31$0
Total plan liabilities at beginning of year2019-12-31$0
Total income from all sources2019-12-31$104,286
Expenses. Total of all expenses incurred2019-12-31$36,025
Benefits paid (including direct rollovers)2019-12-31$31,490
Total plan assets at end of year2019-12-31$452,186
Total plan assets at beginning of year2019-12-31$383,925
Value of fidelity bond covering the plan2019-12-31$100,000
Total contributions received or receivable from participants2019-12-31$23,278
Assets. Value of loans (other than to participants)2019-12-31$32,525
Expenses. Other expenses not covered elsewhere2019-12-31$0
Contributions received from other sources (not participants or employers)2019-12-31$16,125
Other income received2019-12-31$52,165
Noncash contributions received2019-12-31$0
Net income (gross income less expenses)2019-12-31$68,261
Net plan assets at end of year (total assets less liabilities)2019-12-31$452,186
Net plan assets at beginning of year (total assets less liabilities)2019-12-31$383,925
Total contributions received or receivable from employer(s)2019-12-31$12,718
Value of certain deemed distributions of participant loans2019-12-31$0
Value of corrective distributions2019-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2019-12-31$4,535
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
2018 : ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total plan liabilities at end of year2018-12-31$0
Total plan liabilities at beginning of year2018-12-31$0
Total income from all sources2018-12-31$15,900
Expenses. Total of all expenses incurred2018-12-31$251,328
Benefits paid (including direct rollovers)2018-12-31$243,941
Total plan assets at end of year2018-12-31$397,738
Total plan assets at beginning of year2018-12-31$633,166
Value of fidelity bond covering the plan2018-12-31$100,000
Total contributions received or receivable from participants2018-12-31$11,266
Expenses. Other expenses not covered elsewhere2018-12-31$0
Contributions received from other sources (not participants or employers)2018-12-31$0
Other income received2018-12-31$-41,215
Noncash contributions received2018-12-31$0
Net income (gross income less expenses)2018-12-31$-235,428
Net plan assets at end of year (total assets less liabilities)2018-12-31$397,738
Net plan assets at beginning of year (total assets less liabilities)2018-12-31$633,166
Total contributions received or receivable from employer(s)2018-12-31$45,849
Value of certain deemed distributions of participant loans2018-12-31$0
Value of corrective distributions2018-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2018-12-31$7,387
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
2017 : ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources2017-12-31$344,691
Expenses. Total of all expenses incurred2017-12-31$6,426
Benefits paid (including direct rollovers)2017-12-31$2,365
Total plan assets at end of year2017-12-31$633,166
Total plan assets at beginning of year2017-12-31$294,901
Value of fidelity bond covering the plan2017-12-31$250,000
Total contributions received or receivable from participants2017-12-31$163,747
Expenses. Other expenses not covered elsewhere2017-12-31$4,061
Contributions received from other sources (not participants or employers)2017-12-31$6,233
Other income received2017-12-31$45,235
Noncash contributions received2017-12-31$0
Net income (gross income less expenses)2017-12-31$338,265
Net plan assets at end of year (total assets less liabilities)2017-12-31$633,166
Net plan assets at beginning of year (total assets less liabilities)2017-12-31$294,901
Total contributions received or receivable from employer(s)2017-12-31$129,476
Value of certain deemed distributions of participant loans2017-12-31$0
Value of corrective distributions2017-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
2016 : ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources2016-12-31$295,705
Expenses. Total of all expenses incurred2016-12-31$804
Total plan assets at end of year2016-12-31$294,901
Total plan assets at beginning of year2016-12-31$0
Value of fidelity bond covering the plan2016-12-31$1,000
Total contributions received or receivable from participants2016-12-31$106,656
Expenses. Other expenses not covered elsewhere2016-12-31$804
Contributions received from other sources (not participants or employers)2016-12-31$71,371
Other income received2016-12-31$1,510
Net income (gross income less expenses)2016-12-31$294,901
Net plan assets at end of year (total assets less liabilities)2016-12-31$294,901
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$0
Total contributions received or receivable from employer(s)2016-12-31$116,168

Form 5500 Responses for ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN

2020: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 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: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 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: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 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: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 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: ACADEMIC UROLOGY & UROGYNECOLOGY OF ARIZONA, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01First time form 5500 has been submittedYes
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

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered24
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $4
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerFEE'S
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered63
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered66
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered96
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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

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