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ALLERGY & ASTHMA ASSOC. 401(K) PLAN 401k Plan overview

Plan NameALLERGY & ASTHMA ASSOC. 401(K) PLAN
Plan identification number 001

ALLERGY & ASTHMA ASSOC. 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • 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.
  • Plan covering Self-Employed individuals.
  • 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.

401k Sponsoring company profile

ALLERGY AND ASTHMA ASSOCIATES OF THE MISSISSIPPI VALLEY PLLC has sponsored the creation of one or more 401k plans.

Company Name:ALLERGY AND ASTHMA ASSOCIATES OF THE MISSISSIPPI VALLEY PLLC
Employer identification number (EIN):271455866
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALLERGY & ASTHMA ASSOC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01MARCUS JONES2023-07-05
0012021-01-01KAREN K MAVES2022-07-13 KAREN K MAVES2022-07-13
0012020-01-01KAREN K. MAVES2021-06-10 KAREN K MAVES2021-06-10
0012018-01-01KAREN K. MAVES, M.D.2019-07-15
0012017-01-01KAREN K. MAVES2018-06-13 KAREN K. MAVES2018-06-13
0012016-01-01KAREN K. MAVES, M.D.2017-06-18
0012015-01-01KAREN K. MAVES, M.D.2016-06-24
0012014-01-01KAREN K MAVES
0012013-01-01KAREN MAVES KAREN MAVES2014-05-23
0012012-01-01KAREN MAVES KAREN MAVES2013-07-18
0012011-01-01KAREN MAVES

Plan Statistics for ALLERGY & ASTHMA ASSOC. 401(K) PLAN

401k plan membership statisitcs for ALLERGY & ASTHMA ASSOC. 401(K) PLAN

Measure Date Value
2014: ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-017
Total number of active participants reported on line 7a of the Form 55002014-01-017
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-010
Total of all active and inactive participants2014-01-017
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-017
Number of participants with account balances2014-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-014
Total number of active participants reported on line 7a of the Form 55002013-01-017
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-010
Total of all active and inactive participants2013-01-017
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-017
Number of participants with account balances2013-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-016
Total number of active participants reported on line 7a of the Form 55002012-01-015
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-015
Number of participants with account balances2012-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-014
Total number of active participants reported on line 7a of the Form 55002011-01-016
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-016
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-016
Number of participants with account balances2011-01-016
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010

Financial Data on ALLERGY & ASTHMA ASSOC. 401(K) PLAN

Measure Date Value
2014 : ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2014 401k financial data
Transfers to/from the plan2014-12-31$0
Total income from all sources2014-12-31$59,296
Expenses. Total of all expenses incurred2014-12-31$2,552
Benefits paid (including direct rollovers)2014-12-31$0
Total plan assets at end of year2014-12-31$308,321
Total plan assets at beginning of year2014-12-31$251,577
Value of fidelity bond covering the plan2014-12-31$50,000
Total contributions received or receivable from participants2014-12-31$33,882
Expenses. Other expenses not covered elsewhere2014-12-31$2,552
Contributions received from other sources (not participants or employers)2014-12-31$0
Other income received2014-12-31$6,746
Net income (gross income less expenses)2014-12-31$56,744
Net plan assets at end of year (total assets less liabilities)2014-12-31$308,321
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$251,577
Assets. Value of participant loans2014-12-31$0
Total contributions received or receivable from employer(s)2014-12-31$18,668
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$0
2013 : ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2013 401k financial data
Transfers to/from the plan2013-12-31$0
Total income from all sources2013-12-31$89,466
Expenses. Total of all expenses incurred2013-12-31$2,078
Benefits paid (including direct rollovers)2013-12-31$0
Total plan assets at end of year2013-12-31$251,577
Total plan assets at beginning of year2013-12-31$164,189
Value of fidelity bond covering the plan2013-12-31$50,000
Total contributions received or receivable from participants2013-12-31$35,889
Expenses. Other expenses not covered elsewhere2013-12-31$2,078
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$34,922
Net income (gross income less expenses)2013-12-31$87,388
Net plan assets at end of year (total assets less liabilities)2013-12-31$251,577
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$164,189
Assets. Value of participant loans2013-12-31$0
Total contributions received or receivable from employer(s)2013-12-31$18,655
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
2012 : ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total income from all sources2012-12-31$71,076
Expenses. Total of all expenses incurred2012-12-31$3,498
Benefits paid (including direct rollovers)2012-12-31$2,158
Total plan assets at end of year2012-12-31$164,189
Total plan assets at beginning of year2012-12-31$96,611
Value of fidelity bond covering the plan2012-12-31$50,000
Total contributions received or receivable from participants2012-12-31$35,787
Expenses. Other expenses not covered elsewhere2012-12-31$1,340
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$16,380
Net income (gross income less expenses)2012-12-31$67,578
Net plan assets at end of year (total assets less liabilities)2012-12-31$164,189
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$96,611
Assets. Value of participant loans2012-12-31$0
Total contributions received or receivable from employer(s)2012-12-31$18,909
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Funding deficiency by the employer to the plan for this plan year2012-12-31$0
Minimum employer required contribution for this plan year2012-12-31$0
Amount contributed by the employer to the plan for this plan year2012-12-31$0
2011 : ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total income from all sources2011-12-31$43,340
Expenses. Total of all expenses incurred2011-12-31$1,770
Benefits paid (including direct rollovers)2011-12-31$968
Total plan assets at end of year2011-12-31$96,611
Total plan assets at beginning of year2011-12-31$55,041
Value of fidelity bond covering the plan2011-12-31$50,000
Total contributions received or receivable from participants2011-12-31$31,521
Expenses. Other expenses not covered elsewhere2011-12-31$802
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-4,751
Net income (gross income less expenses)2011-12-31$41,570
Net plan assets at end of year (total assets less liabilities)2011-12-31$96,611
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$55,041
Assets. Value of participant loans2011-12-31$0
Total contributions received or receivable from employer(s)2011-12-31$16,570
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Funding deficiency by the employer to the plan for this plan year2011-12-31$0
Minimum employer required contribution for this plan year2011-12-31$0
Amount contributed by the employer to the plan for this plan year2011-12-31$0
2010 : ALLERGY & ASTHMA ASSOC. 401(K) PLAN 2010 401k financial data
Transfers to/from the plan2010-12-31$0
Total income from all sources2010-12-31$55,212
Expenses. Total of all expenses incurred2010-12-31$171
Benefits paid (including direct rollovers)2010-12-31$0
Total plan assets at end of year2010-12-31$55,041
Total plan assets at beginning of year2010-12-31$0
Total contributions received or receivable from participants2010-12-31$25,327
Expenses. Other expenses not covered elsewhere2010-12-31$171
Contributions received from other sources (not participants or employers)2010-12-31$13,218
Other income received2010-12-31$4,349
Net income (gross income less expenses)2010-12-31$55,041
Net plan assets at end of year (total assets less liabilities)2010-12-31$55,041
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$0
Assets. Value of participant loans2010-12-31$0
Total contributions received or receivable from employer(s)2010-12-31$12,318
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0

Form 5500 Responses for ALLERGY & ASTHMA ASSOC. 401(K) PLAN

2014: ALLERGY & ASTHMA ASSOC. 401(K) 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
2013: ALLERGY & ASTHMA ASSOC. 401(K) 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
2012: ALLERGY & ASTHMA ASSOC. 401(K) 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
2011: ALLERGY & ASTHMA ASSOC. 401(K) 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

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-822149
Policy instance 1
Insurance contract or identification numberGA-822149
Number of Individuals Covered5
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $812
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $812
Insurance broker organization code?3
Insurance broker nameBAIRD INSURANCE SERVICES INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-822149
Policy instance 1
Insurance contract or identification numberGA-822149
Number of Individuals Covered5
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $561
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $561
Insurance broker organization code?3
Insurance broker nameBAIRD INS SERVICES INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-822149
Policy instance 1
Insurance contract or identification numberGA-822149
Number of Individuals Covered5
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $347
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $347
Insurance broker organization code?3
Insurance broker nameBAIRD INS SERVICES INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-822149
Policy instance 1
Insurance contract or identification numberGA-822149
Number of Individuals Covered6
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $232
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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