401k Plan data: LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN plan

LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 401k Plan overview

Plan Name	LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN
Plan identification number	003

LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related 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

LEONARD T. YU, M.D., INC. has sponsored the creation of one or more 401k plans.

Company Name: LEONARD T. YU, M.D., INC.

Employer identification number (EIN): 204008752

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2019-01-01
003 2018-01-01

Plan Statistics for LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN

401k plan membership statisitcs for LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN

Measure Date Value
2019: LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2019 401k membership
Market value of plan assets 2019-12-31 2,218,991
Acturial value of plan assets 2019-12-31 2,218,991
Funding target for retired participants and beneficiaries receiving payment 2019-12-31 0
Number of terminated vested participants 2019-12-31 2
Fundng target for terminated vested participants 2019-12-31 5,147
Active participant vested funding target 2019-12-31 2,038,418
Number of active participants 2019-12-31 4
Total funding liabilities for active participants 2019-12-31 2,045,344
Total participant count 2019-12-31 6
Total funding target for all participants 2019-12-31 2,050,491
Balance at beginning of prior year after applicable adjustments 2019-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2019-12-31 122,059
Carryover balanced portion elected for use to offset prior years funding requirement 2019-12-31 0
Prefunding balanced used to offset prior years funding requirement 2019-12-31 0
Amount remaining of carryover balance 2019-12-31 0
Amount remaining of prefunding balance 2019-12-31 122,059
Present value of excess contributions 2019-12-31 109,199
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2019-12-31 115,434
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2019-12-31 0
Reductions in caryover balances due to elections or deemed elections 2019-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2019-12-31 0
Balance of carryovers at beginning of current year 2019-12-31 0
Balance of prefunding at beginning of current year 2019-12-31 119,252
Total employer contributions 2019-12-31 87,000
Total employee contributions 2019-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2019-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2019-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2019-12-31 79,367
Unpaid minimum required contributions for all prior years 2019-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2019-12-31 0
Remaining amount of unpaid minimum required contributions 2019-12-31 0
Minimum required contributions for current year target normal cost 2019-12-31 10,976
Net shortfall amortization installment of oustanding balance 2019-12-31 0
Waiver amortization installment 2019-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2019-12-31 0
Carryover balance elected to use to offset funding requirement 2019-12-31 0
Prefunding balance elected to use to offset funding requirement 2019-12-31 0
Additional cash requirement 2019-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2019-12-31 79,367
Unpaid minimum required contributions for current year 2019-12-31 0
Unpaid minimum required contributions for all years 2019-12-31 0
Total participants, beginning-of-year 2019-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 4
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 2
Total of all active and inactive participants 2019-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2018 401k membership
Market value of plan assets 2018-12-31 2,148,995
Acturial value of plan assets 2018-12-31 2,148,995
Funding target for retired participants and beneficiaries receiving payment 2018-12-31 0
Number of terminated vested participants 2018-12-31 1
Fundng target for terminated vested participants 2018-12-31 4,569
Active participant vested funding target 2018-12-31 1,900,640
Number of active participants 2018-12-31 10
Total funding liabilities for active participants 2018-12-31 1,901,568
Total participant count 2018-12-31 11
Total funding target for all participants 2018-12-31 1,906,137
Balance at beginning of prior year after applicable adjustments 2018-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2018-12-31 122,059
Carryover balanced portion elected for use to offset prior years funding requirement 2018-12-31 0
Prefunding balanced used to offset prior years funding requirement 2018-12-31 0
Amount remaining of carryover balance 2018-12-31 0
Amount remaining of prefunding balance 2018-12-31 122,059
Present value of excess contributions 2018-12-31 81,794
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2018-12-31 86,522
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2018-12-31 0
Reductions in caryover balances due to elections or deemed elections 2018-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2018-12-31 0
Balance of carryovers at beginning of current year 2018-12-31 0
Balance of prefunding at beginning of current year 2018-12-31 122,059
Total employer contributions 2018-12-31 120,000
Total employee contributions 2018-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2018-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2018-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2018-12-31 109,199
Unpaid minimum required contributions for all prior years 2018-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2018-12-31 0
Remaining amount of unpaid minimum required contributions 2018-12-31 0
Minimum required contributions for current year target normal cost 2018-12-31 1,136
Net shortfall amortization installment of oustanding balance 2018-12-31 0
Waiver amortization installment 2018-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2018-12-31 0
Carryover balance elected to use to offset funding requirement 2018-12-31 0
Prefunding balance elected to use to offset funding requirement 2018-12-31 0
Additional cash requirement 2018-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2018-12-31 109,199
Unpaid minimum required contributions for current year 2018-12-31 0
Unpaid minimum required contributions for all years 2018-12-31 0
Total participants, beginning-of-year 2018-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 4
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 1
Total of all active and inactive participants 2018-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0

Measure	Date	Value
2019: LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2019 401k membership
Market value of plan assets	2019-12-31	2,218,991
Acturial value of plan assets	2019-12-31	2,218,991
Funding target for retired participants and beneficiaries receiving payment	2019-12-31	0
Number of terminated vested participants	2019-12-31	2
Fundng target for terminated vested participants	2019-12-31	5,147
Active participant vested funding target	2019-12-31	2,038,418
Number of active participants	2019-12-31	4
Total funding liabilities for active participants	2019-12-31	2,045,344
Total participant count	2019-12-31	6
Total funding target for all participants	2019-12-31	2,050,491
Balance at beginning of prior year after applicable adjustments	2019-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2019-12-31	122,059
Carryover balanced portion elected for use to offset prior years funding requirement	2019-12-31	0
Prefunding balanced used to offset prior years funding requirement	2019-12-31	0
Amount remaining of carryover balance	2019-12-31	0
Amount remaining of prefunding balance	2019-12-31	122,059
Present value of excess contributions	2019-12-31	109,199
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2019-12-31	115,434
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2019-12-31	0
Reductions in caryover balances due to elections or deemed elections	2019-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2019-12-31	0
Balance of carryovers at beginning of current year	2019-12-31	0
Balance of prefunding at beginning of current year	2019-12-31	119,252
Total employer contributions	2019-12-31	87,000
Total employee contributions	2019-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2019-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2019-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2019-12-31	79,367
Unpaid minimum required contributions for all prior years	2019-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2019-12-31	0
Remaining amount of unpaid minimum required contributions	2019-12-31	0
Minimum required contributions for current year target normal cost	2019-12-31	10,976
Net shortfall amortization installment of oustanding balance	2019-12-31	0
Waiver amortization installment	2019-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2019-12-31	0
Carryover balance elected to use to offset funding requirement	2019-12-31	0
Prefunding balance elected to use to offset funding requirement	2019-12-31	0
Additional cash requirement	2019-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2019-12-31	79,367
Unpaid minimum required contributions for current year	2019-12-31	0
Unpaid minimum required contributions for all years	2019-12-31	0
Total participants, beginning-of-year	2019-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	4
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	2
Total of all active and inactive participants	2019-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2018 401k membership
Market value of plan assets	2018-12-31	2,148,995
Acturial value of plan assets	2018-12-31	2,148,995
Funding target for retired participants and beneficiaries receiving payment	2018-12-31	0
Number of terminated vested participants	2018-12-31	1
Fundng target for terminated vested participants	2018-12-31	4,569
Active participant vested funding target	2018-12-31	1,900,640
Number of active participants	2018-12-31	10
Total funding liabilities for active participants	2018-12-31	1,901,568
Total participant count	2018-12-31	11
Total funding target for all participants	2018-12-31	1,906,137
Balance at beginning of prior year after applicable adjustments	2018-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2018-12-31	122,059
Carryover balanced portion elected for use to offset prior years funding requirement	2018-12-31	0
Prefunding balanced used to offset prior years funding requirement	2018-12-31	0
Amount remaining of carryover balance	2018-12-31	0
Amount remaining of prefunding balance	2018-12-31	122,059
Present value of excess contributions	2018-12-31	81,794
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2018-12-31	86,522
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2018-12-31	0
Reductions in caryover balances due to elections or deemed elections	2018-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2018-12-31	0
Balance of carryovers at beginning of current year	2018-12-31	0
Balance of prefunding at beginning of current year	2018-12-31	122,059
Total employer contributions	2018-12-31	120,000
Total employee contributions	2018-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2018-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2018-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2018-12-31	109,199
Unpaid minimum required contributions for all prior years	2018-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2018-12-31	0
Remaining amount of unpaid minimum required contributions	2018-12-31	0
Minimum required contributions for current year target normal cost	2018-12-31	1,136
Net shortfall amortization installment of oustanding balance	2018-12-31	0
Waiver amortization installment	2018-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2018-12-31	0
Carryover balance elected to use to offset funding requirement	2018-12-31	0
Prefunding balance elected to use to offset funding requirement	2018-12-31	0
Additional cash requirement	2018-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2018-12-31	109,199
Unpaid minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for all years	2018-12-31	0
Total participants, beginning-of-year	2018-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	4
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	1
Total of all active and inactive participants	2018-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0

Financial Data on LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN

Measure	Date	Value
2019 : LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$319,932
Expenses. Total of all expenses incurred	2019-12-31	$192
Benefits paid (including direct rollovers)	2019-12-31	$0
Total plan assets at end of year	2019-12-31	$2,543,297
Total plan assets at beginning of year	2019-12-31	$2,223,557
Value of fidelity bond covering the plan	2019-12-31	$150,000
Total contributions received or receivable from participants	2019-12-31	$0
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$232,932
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$319,740
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$2,543,297
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$2,223,557
Assets. Value of assets in partnership/joint-venture interests	2019-12-31	$75,000
Total contributions received or receivable from employer(s)	2019-12-31	$87,000
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$192
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$71,842
Expenses. Total of all expenses incurred	2018-12-31	$758
Benefits paid (including direct rollovers)	2018-12-31	$0
Total plan assets at end of year	2018-12-31	$2,223,557
Total plan assets at beginning of year	2018-12-31	$2,152,473
Value of fidelity bond covering the plan	2018-12-31	$150,000
Total contributions received or receivable from participants	2018-12-31	$0
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-48,158
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$71,084
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$2,223,557
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$2,152,473
Assets. Value of assets in partnership/joint-venture interests	2018-12-31	$75,000
Total contributions received or receivable from employer(s)	2018-12-31	$120,000
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$758
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0

Form 5500 Responses for LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN

2019: LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: LEONARD T. YU, M.D. DEFINED BENEFIT PENSION PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	LEONARD T. YU, M.D., INC.
Employer identification number (EIN):	204008752
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)