401k Plan data: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN plan

SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 401k Plan overview

Plan Name	SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN
Plan identification number	001

SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Money purchase (other than target benefit) 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.

401k Sponsoring company profile

SCHEPENS EYE RESEARCH INSTITUTE has sponsored the creation of one or more 401k plans.

Company Name: SCHEPENS EYE RESEARCH INSTITUTE

Employer identification number (EIN): 042129889

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 DIANA KELLER DIANA KELLER 2017-01-13
001 2014-01-01 FRANCES NG FRANCES NG 2015-07-08
001 2013-01-01 FRANCES NG FRANCES NG 2014-07-14
001 2012-01-01 FRANCES NG FRANCES NG 2013-07-01
001 2011-01-01 FRANCES NG
001 2009-01-01 FRANCES NG KENNETH FISCHER 2010-07-12
001 2009-01-01 FRANCES NG

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	DIANA KELLER	DIANA KELLER	2017-01-13
001	2014-01-01	FRANCES NG	FRANCES NG	2015-07-08
001	2013-01-01	FRANCES NG	FRANCES NG	2014-07-14
001	2012-01-01	FRANCES NG	FRANCES NG	2013-07-01
001	2011-01-01	FRANCES NG
001	2009-01-01	FRANCES NG	KENNETH FISCHER	2010-07-12
001	2009-01-01	FRANCES NG

Plan Statistics for SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN

401k plan membership statisitcs for SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN

Measure Date Value
2015: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 385
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 385
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 75
Number of other retired or separated participants entitled to future benefits 2014-01-01 308
Total of all active and inactive participants 2014-01-01 383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 384
2013: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 381
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 95
Number of other retired or separated participants entitled to future benefits 2013-01-01 288
Total of all active and inactive participants 2013-01-01 383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 2
Total participants 2013-01-01 385
2012: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 379
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 93
Number of other retired or separated participants entitled to future benefits 2012-01-01 300
Total of all active and inactive participants 2012-01-01 393
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 2
Total participants 2012-01-01 395
Number of participants with account balances 2012-01-01 381
2011: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 391
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 104
Number of other retired or separated participants entitled to future benefits 2011-01-01 293
Total of all active and inactive participants 2011-01-01 397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 398
Number of participants with account balances 2011-01-01 379
2009: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 109
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 0
Total of all active and inactive participants 2009-01-01 109
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 109
Number of participants with account balances 2009-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	385
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	385
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	75
Number of other retired or separated participants entitled to future benefits	2014-01-01	308
Total of all active and inactive participants	2014-01-01	383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	384
2013: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	381
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	95
Number of other retired or separated participants entitled to future benefits	2013-01-01	288
Total of all active and inactive participants	2013-01-01	383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	2
Total participants	2013-01-01	385
2012: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	379
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	93
Number of other retired or separated participants entitled to future benefits	2012-01-01	300
Total of all active and inactive participants	2012-01-01	393
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	2
Total participants	2012-01-01	395
Number of participants with account balances	2012-01-01	381
2011: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	391
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	104
Number of other retired or separated participants entitled to future benefits	2011-01-01	293
Total of all active and inactive participants	2011-01-01	397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	398
Number of participants with account balances	2011-01-01	379
2009: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	109
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	0
Total of all active and inactive participants	2009-01-01	109
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	109
Number of participants with account balances	2009-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN

Measure	Date	Value
2015 : SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-31	$0
Total income from all sources (including contributions)	2015-10-31	$659,449
Total loss/gain on sale of assets	2015-10-31	$0
Total of all expenses incurred	2015-10-31	$30,958,123
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-10-31	$30,958,123
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-10-31	$13,297
Value of total assets at end of year	2015-10-31	$0
Value of total assets at beginning of year	2015-10-31	$30,298,674
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-10-31	$0
Total interest from all sources	2015-10-31	$287,067
Total dividends received (eg from common stock, registered investment company shares)	2015-10-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-10-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-10-31	$0
Was this plan covered by a fidelity bond	2015-10-31	Yes
Value of fidelity bond cover	2015-10-31	$3,000,000
If this is an individual account plan, was there a blackout period	2015-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-10-31	No
Income. Received or receivable in cash from other sources (including rollovers)	2015-10-31	$13,297
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-10-31	No
Value of net income/loss	2015-10-31	$-30,298,674
Value of net assets at end of year (total assets less liabilities)	2015-10-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-10-31	$30,298,674
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-10-31	No
Were any leases to which the plan was party in default or uncollectible	2015-10-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-10-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-10-31	$20,471,012
Value of interest in pooled separate accounts at end of year	2015-10-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-10-31	$1,752,790
Interest earned on other investments	2015-10-31	$287,067
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-10-31	$8,074,872
Expenses. Payments to insurance carriers foe the provision of benefits	2015-10-31	$25,855,889
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-10-31	$233,948
Net investment gain/loss from pooled separate accounts	2015-10-31	$125,137
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-10-31	No
Was there a failure to transmit to the plan any participant contributions	2015-10-31	No
Has the plan failed to provide any benefit when due under the plan	2015-10-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-10-31	$5,102,234
Did the plan have assets held for investment	2015-10-31	No
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	2015-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-10-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-10-31	Disclaimer
Accountancy firm name	2015-10-31	KEVIN P MARTIN & ASSOCIATES, PC CPA
Accountancy firm EIN	2015-10-31	043097400
2014 : SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$2,491,198
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$949,661
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$949,661
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$661,217
Value of total assets at end of year	2014-12-31	$30,298,674
Value of total assets at beginning of year	2014-12-31	$28,757,137
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$345,797
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	No
If this is an individual account plan, was there a blackout period	2014-12-31	No
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$726,916
Minimum employer required contribution for this plan year	2014-12-31	$726,916
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,541,537
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$30,298,674
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$28,757,137
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$20,471,012
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$19,629,518
Value of interest in pooled separate accounts at end of year	2014-12-31	$1,752,790
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$1,266,652
Interest earned on other investments	2014-12-31	$345,797
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$8,074,872
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$7,795,268
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$1,301,799
Net investment gain/loss from pooled separate accounts	2014-12-31	$182,385
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$661,217
Employer contributions (assets) at beginning of year	2014-12-31	$65,699
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$949,661
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	KEVIN P MARTIN & ASSOCIATES, PC CPA
Accountancy firm EIN	2014-12-31	043097400
2013 : SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,775,011
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$400,494
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$400,494
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$749,898
Value of total assets at end of year	2013-12-31	$28,757,137
Value of total assets at beginning of year	2013-12-31	$24,382,620
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$320,725
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	No
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$747,378
Amount contributed by the employer to the plan for this plan year	2013-12-31	$747,378
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$2,520
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$4,374,517
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$28,757,137
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$24,382,620
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$19,629,518
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$15,719,656
Value of interest in pooled separate accounts at end of year	2013-12-31	$1,266,652
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$1,070,289
Interest earned on other investments	2013-12-31	$320,725
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$7,795,268
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$7,522,086
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$59,404
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$3,598,880
Net investment gain/loss from pooled separate accounts	2013-12-31	$105,508
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$747,378
Employer contributions (assets) at end of year	2013-12-31	$65,699
Employer contributions (assets) at beginning of year	2013-12-31	$70,589
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$341,090
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	KEVIN P MARTIN & ASSOCIATES, PC CPA
Accountancy firm EIN	2013-12-31	043097400
2012 : SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$3,168,031
Total of all expenses incurred	2012-12-31	$1,006,572
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,006,572
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$789,214
Value of total assets at end of year	2012-12-31	$24,382,620
Value of total assets at beginning of year	2012-12-31	$22,221,161
Total interest from all sources	2012-12-31	$303,620
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	No
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,161,459
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$24,382,620
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$22,221,161
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$15,719,656
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$13,772,298
Value of interest in pooled separate accounts at end of year	2012-12-31	$1,070,289
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$936,928
Interest earned on other investments	2012-12-31	$303,620
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$7,522,086
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$7,435,839
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$208,983
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,978,574
Net investment gain/loss from pooled separate accounts	2012-12-31	$96,623
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$789,214
Employer contributions (assets) at end of year	2012-12-31	$70,589
Employer contributions (assets) at beginning of year	2012-12-31	$76,096
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$797,589
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2012-12-31	366055558
2011 : SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$912,237
Total of all expenses incurred	2011-12-31	$480,707
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$480,707
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$841,936
Value of total assets at end of year	2011-12-31	$22,221,161
Value of total assets at beginning of year	2011-12-31	$21,789,630
Total interest from all sources	2011-12-31	$296,332
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	No
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$11,410
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	$431,530
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$22,221,161
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$21,789,630
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$13,772,298
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$13,858,957
Value of interest in pooled separate accounts at end of year	2011-12-31	$936,928
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$738,621
Interest earned on other investments	2011-12-31	$296,332
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$7,435,839
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$7,117,456
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$85,013
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-327,647
Net investment gain/loss from pooled separate accounts	2011-12-31	$101,616
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	$830,526
Employer contributions (assets) at end of year	2011-12-31	$76,096
Employer contributions (assets) at beginning of year	2011-12-31	$74,596
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$395,694
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	GRANT THORNTON, LLP
Accountancy firm EIN	2011-12-31	366055558
2010 : SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2010 401k financial data
Total transfer of assets to this plan	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,836,996
Total of all expenses incurred	2010-12-31	$1,242,659
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,242,659
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$885,650
Value of total assets at end of year	2010-12-31	$21,789,630
Value of total assets at beginning of year	2010-12-31	$20,195,293
Total interest from all sources	2010-12-31	$269,040
Total income from all sources	2010-12-31	$1,918,638
Expenses. Total of all expenses incurred	2010-12-31	$252,971
Benefits paid (including direct rollovers)	2010-12-31	$61,132
Total plan assets at end of year	2010-12-31	$11,343,734
Total plan assets at beginning of year	2010-12-31	$10,289,774
Expenses. Other expenses not covered elsewhere	2010-12-31	$191,839
Other income received	2010-12-31	$1,042,045
Net income (gross income less expenses)	2010-12-31	$1,665,667
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$11,343,734
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$10,289,774
Total contributions received or receivable from employer(s)	2010-12-31	$876,593
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	No
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$16,425
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	$1,594,337
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$21,789,630
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$20,195,293
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$13,858,957
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$12,672,431
Value of interest in pooled separate accounts at end of year	2010-12-31	$738,621
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$540,995
Interest earned on other investments	2010-12-31	$269,040
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$7,117,456
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$6,899,903
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,598,074
Net investment gain/loss from pooled separate accounts	2010-12-31	$84,232
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	$869,225
Employer contributions (assets) at end of year	2010-12-31	$74,596
Employer contributions (assets) at beginning of year	2010-12-31	$81,964
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,242,659
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	GRANT THORNTON LLP
Accountancy firm EIN	2010-12-31	366055558

Form 5500 Responses for SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN

2015: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION 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	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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION 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 benefit arrangement – Insurance	Yes
2011: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION 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 benefit arrangement – Insurance	Yes
2009: SCHEPENS EYE RESEARCH INSTITUTE, INC. DEFINED CONTRIBUTION 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 benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )

Policy contract number

150892

Policy instance

Insurance contract or identification number	150892
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
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

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )

Policy contract number

150892

Policy instance

Insurance contract or identification number	150892
Number of Individuals Covered	384
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
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

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )

Policy contract number

150892

Policy instance

Insurance contract or identification number	150892
Number of Individuals Covered	385
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
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

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )

Policy contract number

150892

Policy instance

Insurance contract or identification number	150892
Number of Individuals Covered	381
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )

Policy contract number

150892

Policy instance

Insurance contract or identification number	150892
Number of Individuals Covered	379
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )

Policy contract number

150892

Policy instance

Insurance contract or identification number	150892
Number of Individuals Covered	375
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	SCHEPENS EYE RESEARCH INSTITUTE
Employer identification number (EIN):	042129889
NAIC Classification:	611000