401k Plan data: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN plan

SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN
Plan identification number	001

SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K 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.
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

SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. ASSOCIATES, P.A. has sponsored the creation of one or more 401k plans.

Company Name: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. ASSOCIATES, P.A.

Employer identification number (EIN): 742172738

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 ARVO NEIDRE 2015-03-03
001 2013-01-01 ARVO NEIDRE 2014-09-02
001 2012-01-01 ARVO NEIDRE
001 2011-01-01 ARVO NEIDRE
001 2010-01-01 ARVO NEIDRE
001 2009-01-01 ARVO NEIDRE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2014-01-01	ARVO NEIDRE	2015-03-03
001	2013-01-01	ARVO NEIDRE	2014-09-02
001	2012-01-01	ARVO NEIDRE
001	2011-01-01	ARVO NEIDRE
001	2010-01-01	ARVO NEIDRE
001	2009-01-01	ARVO NEIDRE

Plan Statistics for SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN

401k plan membership statisitcs for SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN

Measure Date Value
2012: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 8
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 12
Number of participants with account balances 2012-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 6
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 10
Number of participants with account balances 2011-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 7
Number of retired or separated participants receiving benefits 2010-01-01 1
Number of other retired or separated participants entitled to future benefits 2010-01-01 4
Total of all active and inactive participants 2010-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 12
Number of participants with account balances 2010-01-01 10
2009: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 10
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 4
Total of all active and inactive participants 2009-01-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 15
Number of participants with account balances 2009-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2012: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	8
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	12
Number of participants with account balances	2012-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	6
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	10
Number of participants with account balances	2011-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	7
Number of retired or separated participants receiving benefits	2010-01-01	1
Number of other retired or separated participants entitled to future benefits	2010-01-01	4
Total of all active and inactive participants	2010-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	12
Number of participants with account balances	2010-01-01	10
2009: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	10
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	4
Total of all active and inactive participants	2009-01-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	15
Number of participants with account balances	2009-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN

Measure	Date	Value
2012 : SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$21,868
Expenses. Total of all expenses incurred	2012-12-31	$497
Total plan assets at end of year	2012-12-31	$118,561
Total plan assets at beginning of year	2012-12-31	$97,190
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$8,909
Other income received	2012-12-31	$12,959
Net income (gross income less expenses)	2012-12-31	$21,371
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$118,561
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$97,190
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$497
2011 : SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$27,599
Expenses. Total of all expenses incurred	2011-12-31	$373,517
Benefits paid (including direct rollovers)	2011-12-31	$373,066
Total plan assets at end of year	2011-12-31	$97,190
Total plan assets at beginning of year	2011-12-31	$443,108
Value of fidelity bond covering the plan	2011-12-31	$100,000
Total contributions received or receivable from participants	2011-12-31	$7,834
Other income received	2011-12-31	$19,765
Net income (gross income less expenses)	2011-12-31	$-345,918
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$97,190
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$443,108
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$451
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$70,501
Expenses. Total of all expenses incurred	2010-12-31	$49,394
Benefits paid (including direct rollovers)	2010-12-31	$49,017
Total plan assets at end of year	2010-12-31	$443,108
Total plan assets at beginning of year	2010-12-31	$422,001
Value of fidelity bond covering the plan	2010-12-31	$100,000
Total contributions received or receivable from participants	2010-12-31	$7,598
Other income received	2010-12-31	$62,903
Net income (gross income less expenses)	2010-12-31	$21,107
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$443,108
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$422,001
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$377
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K 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 SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K PROFIT SHARING PLAN

2012: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K 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 – 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: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K 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 – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. 401K 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

AMERICAN UNITED LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60895 )

Policy contract number

G99933

Policy instance

Insurance contract or identification number	G99933
Number of Individuals Covered	8
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $78
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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

AMERICAN UNITED LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60895 )

Policy contract number

G99933

Policy instance

Insurance contract or identification number	G99933
Number of Individuals Covered	10
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $76
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $76
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3
Insurance broker name	OWEN R SEIDENBERGER

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Company Name:	SOUTH TEXAS ORTHOPAEDIC & SPINAL SURGERY ASSOC. ASSOCIATES, P.A.
Employer identification number (EIN):	742172738
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)