401k Plan data: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN plan

ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 401k Plan overview

Plan Name	ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN
Plan identification number	001

ST. PAUL HEART CLINIC P.A. PROFIT SHARING 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
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

ST. PAUL HEART CLINIC P.A. has sponsored the creation of one or more 401k plans.

Company Name: ST. PAUL HEART CLINIC P.A.

Employer identification number (EIN): 411288454

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 DAVID D. ROTHSCHILLER 2014-10-10
001 2012-01-01 DAVID D. ROTHSCHILLER 2013-10-10
001 2011-01-01 DAVID D. ROTHSCHILLER
001 2010-01-01 DAVID D. ROTHSCHILLER
001 2009-01-01 DAVID D. ROTHSCHILLER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2013-01-01	DAVID D. ROTHSCHILLER	2014-10-10
001	2012-01-01	DAVID D. ROTHSCHILLER	2013-10-10
001	2011-01-01	DAVID D. ROTHSCHILLER
001	2010-01-01	DAVID D. ROTHSCHILLER
001	2009-01-01	DAVID D. ROTHSCHILLER

Plan Statistics for ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN

401k plan membership statisitcs for ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN

Measure Date Value
2011: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 246
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
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 63
Total of all active and inactive participants 2011-01-01 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 65
Number of participants with account balances 2011-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 270
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 5
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 236
Total of all active and inactive participants 2010-01-01 241
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 241
Number of participants with account balances 2010-01-01 242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 281
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 226
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 44
Total of all active and inactive participants 2009-01-01 270
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 270
Number of participants with account balances 2009-01-01 253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 13

Measure	Date	Value
2011: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	246
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
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	63
Total of all active and inactive participants	2011-01-01	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	65
Number of participants with account balances	2011-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	270
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	5
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	236
Total of all active and inactive participants	2010-01-01	241
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	241
Number of participants with account balances	2010-01-01	242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	281
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	226
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	44
Total of all active and inactive participants	2009-01-01	270
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	270
Number of participants with account balances	2009-01-01	253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	13

Financial Data on ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN

Measure	Date	Value
2011 : ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
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	$388,365
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$34,580,496
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$34,536,454
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$34,681
Value of total assets at end of year	2011-12-31	$4,338,274
Value of total assets at beginning of year	2011-12-31	$38,530,405
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$44,042
Total interest from all sources	2011-12-31	$1,184
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$197,580
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$197,580
Administrative expenses professional fees incurred	2011-12-31	$33,095
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
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	$34,681
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$224,959
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$311,009
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$6,625
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$5,221,400
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Other income not declared elsewhere	2011-12-31	$60,544
Total non interest bearing cash at end of year	2011-12-31	$29,093
Total non interest bearing cash at beginning of year	2011-12-31	$47,449
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	$-34,192,131
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$4,338,274
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$38,530,405
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
Investment advisory and management fees	2011-12-31	$10,947
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$3,291,670
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$25,023,289
Interest on participant loans	2011-12-31	$1,184
Value of interest in common/collective trusts at end of year	2011-12-31	$1,010,886
Value of interest in common/collective trusts at beginning of year	2011-12-31	$7,702,299
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$173,956
Net investment gain or loss from common/collective trusts	2011-12-31	$-79,580
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	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$34,536,454
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	No
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	LURIE BESIKOF LAPIDUS & CO, LLP
Accountancy firm EIN	2011-12-31	410721734
2010 : ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$5,685,612
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,386,016
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,361,197
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,390,842
Value of total assets at end of year	2010-12-31	$38,530,405
Value of total assets at beginning of year	2010-12-31	$34,230,809
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$24,819
Total interest from all sources	2010-12-31	$12,906
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$547,323
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$547,323
Administrative expenses professional fees incurred	2010-12-31	$4,280
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,079,833
Participant contributions at end of year	2010-12-31	$224,959
Participant contributions at beginning of year	2010-12-31	$281,137
Participant contributions at end of year	2010-12-31	$311,009
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$5,221,400
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$4,806,039
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$81,635
Other income not declared elsewhere	2010-12-31	$391,899
Total non interest bearing cash at end of year	2010-12-31	$47,449
Total non interest bearing cash at beginning of year	2010-12-31	$21,882
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$4,299,596
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$38,530,405
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$34,230,809
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$20,539
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$25,023,289
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$21,849,583
Interest on participant loans	2010-12-31	$12,906
Value of interest in common/collective trusts at end of year	2010-12-31	$7,702,299
Value of interest in common/collective trusts at beginning of year	2010-12-31	$7,190,533
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$2,896,380
Net investment gain or loss from common/collective trusts	2010-12-31	$446,262
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$311,009
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,361,197
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	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	LURIE BESIKOF LAPIDUS & CO, LLP
Accountancy firm EIN	2010-12-31	410721734
2009 : ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN

2011: ST. PAUL HEART CLINIC P.A. PROFIT SHARING 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ST. PAUL HEART CLINIC P.A. PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ST. PAUL HEART CLINIC P.A. PROFIT SHARING 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ST. PAUL HEART CLINIC P.A.
Employer identification number (EIN):	411288454
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)