401k Plan data: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST plan

MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 401k Plan overview

Plan Name	MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST
Plan identification number	002

MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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.
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

MONTEREY BAY UROLOGY ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name: MONTEREY BAY UROLOGY ASSOCIATES

Employer identification number (EIN): 770486627

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-01-01 ANDREW KNORR 2016-06-09
002 2014-01-01 ANDREW KNORR 2015-09-11
002 2013-01-01 ANDREW KNORR
002 2012-01-01 ANDREW KNORR
002 2011-01-01 ANDREW KNORR 2012-09-14
002 2010-01-01 ANDREW KNORR
002 2009-01-01 ANDREW KNORR

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2015-01-01	ANDREW KNORR	2016-06-09
002	2014-01-01	ANDREW KNORR	2015-09-11
002	2013-01-01	ANDREW KNORR
002	2012-01-01	ANDREW KNORR
002	2011-01-01	ANDREW KNORR	2012-09-14
002	2010-01-01	ANDREW KNORR
002	2009-01-01	ANDREW KNORR

Plan Statistics for MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST

401k plan membership statisitcs for MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST

Measure Date Value
2013: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 11
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 1
Total of all active and inactive participants 2013-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 12
Number of participants with account balances 2013-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 11
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 2
Total of all active and inactive participants 2012-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 13
Number of participants with account balances 2012-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2010: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 9
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 3
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 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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 9
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 8
Total of all active and inactive participants 2009-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 17
Number of participants with account balances 2009-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	11
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	1
Total of all active and inactive participants	2013-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	12
Number of participants with account balances	2013-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	11
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	2
Total of all active and inactive participants	2012-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	13
Number of participants with account balances	2012-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2010: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	9
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	3
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	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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	9
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	8
Total of all active and inactive participants	2009-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	17
Number of participants with account balances	2009-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST

Measure	Date	Value
2013 : MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2013 401k financial data
Total income from all sources	2013-12-31	$124,578
Expenses. Total of all expenses incurred	2013-12-31	$652,651
Benefits paid (including direct rollovers)	2013-12-31	$643,693
Total plan assets at end of year	2013-12-31	$1,087,580
Total plan assets at beginning of year	2013-12-31	$1,615,653
Value of fidelity bond covering the plan	2013-12-31	$250,000
Total contributions received or receivable from participants	2013-12-31	$1,616
Other income received	2013-12-31	$121,346
Net income (gross income less expenses)	2013-12-31	$-528,073
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,087,580
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,615,653
Assets. Value of participant loans	2013-12-31	$38,843
Total contributions received or receivable from employer(s)	2013-12-31	$1,616
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$8,958
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$72,740
Expenses. Total of all expenses incurred	2012-12-31	$2,032
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$1,615,653
Total plan assets at beginning of year	2012-12-31	$1,544,945
Value of fidelity bond covering the plan	2012-12-31	$270,000
Total contributions received or receivable from participants	2012-12-31	$1,200
Other income received	2012-12-31	$70,340
Net income (gross income less expenses)	2012-12-31	$70,708
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,615,653
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,544,945
Assets. Value of participant loans	2012-12-31	$10,180
Total contributions received or receivable from employer(s)	2012-12-31	$1,200
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$2,032
2010 : MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$222,059
Expenses. Total of all expenses incurred	2010-12-31	$49,978
Benefits paid (including direct rollovers)	2010-12-31	$37,977
Total plan assets at end of year	2010-12-31	$1,633,416
Total plan assets at beginning of year	2010-12-31	$1,461,335
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$1,200
Other income received	2010-12-31	$203,171
Net income (gross income less expenses)	2010-12-31	$172,081
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,633,416
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,461,335
Assets. Value of participant loans	2010-12-31	$127,925
Total contributions received or receivable from employer(s)	2010-12-31	$17,688
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$12,001
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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 MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST

2013: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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
2010: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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: MONTEREY BAY UROLOGY ASSOCIATES 401(K) PLAN AND TRUST 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

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

17286

Policy instance

Insurance contract or identification number	17286
Number of Individuals Covered	11
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $6,368
Total amount of fees paid to insurance company	USD $1,037
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
Commission paid to Insurance Broker	USD $5,818
Insurance broker organization code?	3
Amount paid for insurance broker fees	680
Additional information about fees paid to insurance broker	TPA ADMINISTRATION FEES
Insurance broker name	JOHN HANCOCK USA

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Company Name:	MONTEREY BAY UROLOGY ASSOCIATES
Employer identification number (EIN):	770486627
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)