401k Plan data: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN plan

SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN
Plan identification number	001

SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

ENDOSCOPY CENTER OF SANTA MARIA, INC. has sponsored the creation of one or more 401k plans.

Company Name: ENDOSCOPY CENTER OF SANTA MARIA, INC.

Employer identification number (EIN): 470880655

NAIC Classification: 621510
NAIC Description: Medical and Diagnostic Laboratories

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) 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 ERIC W. JAHNKE, M.D.
001 2012-01-01 ATUL B. VACHHANI, M.D.
001 2011-01-01 ATUL B. VACHHANI, M.D.
001 2010-01-01 DOUGLAS S. HENDRY
001 2009-01-01 DOUGLAS S. HENDRY

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	ERIC W. JAHNKE, M.D.
001	2012-01-01	ATUL B. VACHHANI, M.D.
001	2011-01-01	ATUL B. VACHHANI, M.D.
001	2010-01-01	DOUGLAS S. HENDRY
001	2009-01-01	DOUGLAS S. HENDRY

Plan Statistics for SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN

Measure Date Value
2013: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 12
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 4
Total of all active and inactive participants 2012-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 16
Number of participants with account balances 2012-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 13
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 4
Total of all active and inactive participants 2011-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 17
Number of participants with account balances 2011-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 16
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 1
Total of all active and inactive participants 2010-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 17
Number of participants with account balances 2010-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 11
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 3
Total of all active and inactive participants 2009-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 14
Number of participants with account balances 2009-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	12
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	4
Total of all active and inactive participants	2012-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	16
Number of participants with account balances	2012-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	13
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	4
Total of all active and inactive participants	2011-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	17
Number of participants with account balances	2011-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	16
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	1
Total of all active and inactive participants	2010-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	17
Number of participants with account balances	2010-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	11
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	3
Total of all active and inactive participants	2009-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	14
Number of participants with account balances	2009-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2013 : SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-07-31	$-618,542
Total plan liabilities at end of year	2013-07-31	$0
Total plan liabilities at beginning of year	2013-07-31	$0
Total income from all sources	2013-07-31	$20,021
Expenses. Total of all expenses incurred	2013-07-31	$17,853
Benefits paid (including direct rollovers)	2013-07-31	$16,907
Total plan assets at end of year	2013-07-31	$0
Total plan assets at beginning of year	2013-07-31	$616,374
Value of fidelity bond covering the plan	2013-07-31	$75,000
Total contributions received or receivable from participants	2013-07-31	$0
Expenses. Other expenses not covered elsewhere	2013-07-31	$946
Contributions received from other sources (not participants or employers)	2013-07-31	$0
Other income received	2013-07-31	$20,021
Noncash contributions received	2013-07-31	$0
Net income (gross income less expenses)	2013-07-31	$2,168
Net plan assets at end of year (total assets less liabilities)	2013-07-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-07-31	$616,374
Assets. Value of participant loans	2013-07-31	$0
Total contributions received or receivable from employer(s)	2013-07-31	$0
Value of certain deemed distributions of participant loans	2013-07-31	$0
Value of corrective distributions	2013-07-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-07-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-07-31	$11,038
2012 : SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$107,335
Expenses. Total of all expenses incurred	2012-12-31	$24,128
Benefits paid (including direct rollovers)	2012-12-31	$23,764
Total plan assets at end of year	2012-12-31	$616,374
Total plan assets at beginning of year	2012-12-31	$533,167
Value of fidelity bond covering the plan	2012-12-31	$75,000
Total contributions received or receivable from participants	2012-12-31	$42,365
Expenses. Other expenses not covered elsewhere	2012-12-31	$364
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$47,950
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$83,207
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$616,374
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$533,167
Assets. Value of participant loans	2012-12-31	$32,855
Total contributions received or receivable from employer(s)	2012-12-31	$17,020
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$74,207
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$533,167
Total plan assets at beginning of year	2011-12-31	$458,960
Value of fidelity bond covering the plan	2011-12-31	$40,000
Total contributions received or receivable from participants	2011-12-31	$40,875
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-6,772
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$74,207
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$533,167
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$458,960
Assets. Value of participant loans	2011-12-31	$24,711
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2011-12-31	$50
Total contributions received or receivable from employer(s)	2011-12-31	$40,104
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$123,347
Expenses. Total of all expenses incurred	2010-12-31	$26,968
Benefits paid (including direct rollovers)	2010-12-31	$26,968
Total plan assets at end of year	2010-12-31	$458,960
Total plan assets at beginning of year	2010-12-31	$362,581
Value of fidelity bond covering the plan	2010-12-31	$40,000
Total contributions received or receivable from participants	2010-12-31	$44,450
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$39,579
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$96,379
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$458,960
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$362,581
Assets. Value of participant loans	2010-12-31	$16,076
Total contributions received or receivable from employer(s)	2010-12-31	$39,318
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) 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 SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING PLAN

2013: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING 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	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) PROFIT SHARING 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) 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: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) 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: SANTA MARIA DIGESTIVE DIAGNOSTIC CENTER 401(K) 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:	ENDOSCOPY CENTER OF SANTA MARIA, INC.
Employer identification number (EIN):	470880655
NAIC Classification:	621510
NAIC Description:	Medical and Diagnostic Laboratories