401k Plan data: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN plan

ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 401k Plan overview

Plan Name	ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN
Plan identification number	004

ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT 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
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.
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

ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. has sponsored the creation of one or more 401k plans.

Company Name: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C.

Employer identification number (EIN): 132721370

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2014-07-01
004 2013-07-01
004 2012-07-01 KENNETH AUSTIN 2014-01-28 KENNETH AUSTIN 2014-01-28
004 2011-07-01 KENNETH AUSTIN 2013-02-15 KENNETH AUSTIN 2013-02-15
004 2010-07-01 KENNETH AUSTIN KENNETH AUSTIN 2011-12-05
004 2009-07-01 KENNETH AUSTIN KENNETH AUSTIN 2011-09-12
004 2009-07-01 KENNETH AUSTIN KENNETH AUSTIN 2011-09-12
004 2009-07-01 KENNETH AUSTIN KENNETH AUSTIN 2010-11-30

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
004	2014-07-01
004	2013-07-01
004	2012-07-01	KENNETH AUSTIN	2014-01-28	KENNETH AUSTIN	2014-01-28
004	2011-07-01	KENNETH AUSTIN	2013-02-15	KENNETH AUSTIN	2013-02-15
004	2010-07-01	KENNETH AUSTIN		KENNETH AUSTIN	2011-12-05
004	2009-07-01	KENNETH AUSTIN		KENNETH AUSTIN	2011-09-12
004	2009-07-01	KENNETH AUSTIN		KENNETH AUSTIN	2011-09-12
004	2009-07-01	KENNETH AUSTIN		KENNETH AUSTIN	2010-11-30

Plan Statistics for ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN

401k plan membership statisitcs for ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN

Measure Date Value
2010: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-07-01 51
Total number of active participants reported on line 7a of the Form 5500 2010-07-01 42
Number of retired or separated participants receiving benefits 2010-07-01 0
Number of other retired or separated participants entitled to future benefits 2010-07-01 9
Total of all active and inactive participants 2010-07-01 51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-07-01 0
Total participants 2010-07-01 51
Number of participants with account balances 2010-07-01 51
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-07-01 5
2009: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 47
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 42
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 5
Total of all active and inactive participants 2009-07-01 47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 0
Total participants 2009-07-01 47
Number of participants with account balances 2009-07-01 47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 4

Measure	Date	Value
2010: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-07-01	51
Total number of active participants reported on line 7a of the Form 5500	2010-07-01	42
Number of retired or separated participants receiving benefits	2010-07-01	0
Number of other retired or separated participants entitled to future benefits	2010-07-01	9
Total of all active and inactive participants	2010-07-01	51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-07-01	0
Total participants	2010-07-01	51
Number of participants with account balances	2010-07-01	51
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-07-01	5
2009: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	47
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	42
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	5
Total of all active and inactive participants	2009-07-01	47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	0
Total participants	2009-07-01	47
Number of participants with account balances	2009-07-01	47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	4

Financial Data on ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN

Measure	Date	Value
2011 : ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2011 401k financial data
Transfers to/from the plan	2011-06-30	$0
Total plan liabilities at end of year	2011-06-30	$0
Total plan liabilities at beginning of year	2011-06-30	$0
Total income from all sources	2011-06-30	$1,315,034
Expenses. Total of all expenses incurred	2011-06-30	$36,868
Benefits paid (including direct rollovers)	2011-06-30	$36,868
Total plan assets at end of year	2011-06-30	$5,170,869
Total plan assets at beginning of year	2011-06-30	$3,892,703
Value of fidelity bond covering the plan	2011-06-30	$500,000
Total contributions received or receivable from participants	2011-06-30	$197,417
Expenses. Other expenses not covered elsewhere	2011-06-30	$0
Contributions received from other sources (not participants or employers)	2011-06-30	$0
Other income received	2011-06-30	$839,007
Noncash contributions received	2011-06-30	$0
Net income (gross income less expenses)	2011-06-30	$1,278,166
Net plan assets at end of year (total assets less liabilities)	2011-06-30	$5,170,869
Net plan assets at beginning of year (total assets less liabilities)	2011-06-30	$3,892,703
Assets. Value of participant loans	2011-06-30	$58,191
Total contributions received or receivable from employer(s)	2011-06-30	$278,610
Value of certain deemed distributions of participant loans	2011-06-30	$0
Value of corrective distributions	2011-06-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-06-30	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-06-30	$0
2010 : ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-06-30	$0

Form 5500 Responses for ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN

2010: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2010 form 5500 responses
2010-07-01	Type of plan entity	Single employer plan
2010-07-01	Submission has been amended	No
2010-07-01	This submission is the final filing	No
2010-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-07-01	Plan is a collectively bargained plan	No
2010-07-01	Plan funding arrangement – Insurance	Yes
2010-07-01	Plan benefit arrangement – Insurance	Yes
2009: ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C. RETIREMENT PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	Yes
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	No
2009-07-01	Plan funding arrangement – Insurance	Yes
2009-07-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

84410

Policy instance

Insurance contract or identification number	84410
Insurance policy start date	2010-07-01
Insurance policy end date	2011-06-30
Total amount of commissions paid to insurance broker	USD $6,680
Total amount of fees paid to insurance company	USD $2,521
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes

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Company Name:	ROCKLAND ORTHOPEDICS & SPORTS MEDICINE, P.C.
Employer identification number (EIN):	132721370
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)