401k Plan data: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN plan

ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 401k Plan overview

Plan Name	ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN
Plan identification number	002

ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

ROCKFORD ANESTHESIOLOGISTS ASSOCIATED, LLC has sponsored the creation of one or more 401k plans.

Company Name: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED, LLC

Employer identification number (EIN): 362476123

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-01-01 BRYAN J. NEWMAN
002 2013-01-01 BRYAN J. NEWMAN
002 2012-01-01 BRYAN J. NEWMAN
002 2011-01-01 NORBERT C. DUTTLINGER, M.D.
002 2010-01-01 W. STEPHEN MINORE
002 2009-01-01 W. STEPHEN MINORE

Plan id#	Filing Submission Date	Name of Administrator
002	2014-01-01	BRYAN J. NEWMAN
002	2013-01-01	BRYAN J. NEWMAN
002	2012-01-01	BRYAN J. NEWMAN
002	2011-01-01	NORBERT C. DUTTLINGER, M.D.
002	2010-01-01	W. STEPHEN MINORE
002	2009-01-01	W. STEPHEN MINORE

Plan Statistics for ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN

401k plan membership statisitcs for ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN

Measure Date Value
2014: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 89
Number of retired or separated participants receiving benefits 2013-01-01 21
Number of other retired or separated participants entitled to future benefits 2013-01-01 11
Total of all active and inactive participants 2013-01-01 121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 122
Number of participants with account balances 2013-01-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 5
2012: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 87
Number of retired or separated participants receiving benefits 2012-01-01 31
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 118
Number of participants with account balances 2012-01-01 4
2011: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 100
Number of retired or separated participants receiving benefits 2011-01-01 24
Number of other retired or separated participants entitled to future benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 126
Number of participants with account balances 2011-01-01 120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 130
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 101
Number of other retired or separated participants entitled to future benefits 2010-01-01 26
Total of all active and inactive participants 2010-01-01 127
Total participants 2010-01-01 127
Number of participants with account balances 2010-01-01 127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 105
Number of other retired or separated participants entitled to future benefits 2009-01-01 24
Total of all active and inactive participants 2009-01-01 129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 130
Number of participants with account balances 2009-01-01 130
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2014: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	89
Number of retired or separated participants receiving benefits	2013-01-01	21
Number of other retired or separated participants entitled to future benefits	2013-01-01	11
Total of all active and inactive participants	2013-01-01	121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	122
Number of participants with account balances	2013-01-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	5
2012: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	87
Number of retired or separated participants receiving benefits	2012-01-01	31
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	118
Number of participants with account balances	2012-01-01	4
2011: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	100
Number of retired or separated participants receiving benefits	2011-01-01	24
Number of other retired or separated participants entitled to future benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	126
Number of participants with account balances	2011-01-01	120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	130
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	101
Number of other retired or separated participants entitled to future benefits	2010-01-01	26
Total of all active and inactive participants	2010-01-01	127
Total participants	2010-01-01	127
Number of participants with account balances	2010-01-01	127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	105
Number of other retired or separated participants entitled to future benefits	2009-01-01	24
Total of all active and inactive participants	2009-01-01	129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	130
Number of participants with account balances	2009-01-01	130
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN

Measure	Date	Value
2014 : ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$14,377,732
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	$781,586
Total loss/gain on sale of assets	2014-12-31	$-30,637
Total of all expenses incurred	2014-12-31	$654,341
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$653,753
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$0
Value of total assets at end of year	2014-12-31	$0
Value of total assets at beginning of year	2014-12-31	$14,250,487
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$588
Total interest from all sources	2014-12-31	$33
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$20,622
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$13,707
Administrative expenses professional fees incurred	2014-12-31	$588
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
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	$127,245
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$14,250,487
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	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$9,688,662
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$144,413
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$2,946,547
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$2,946,547
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$33
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$790,723
Net investment gain or loss from common/collective trusts	2014-12-31	$845
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	$0
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$532,556
Income. Dividends from common stock	2014-12-31	$6,915
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$653,753
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$938,309
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
Aggregate proceeds on sale of assets	2014-12-31	$1,073,308
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$1,103,945
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	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2014-12-31	410746749
2013 : ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$95,906
Total unrealized appreciation/depreciation of assets	2013-12-31	$95,906
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	$2,384,714
Total loss/gain on sale of assets	2013-12-31	$-28,350
Total of all expenses incurred	2013-12-31	$952,251
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$969,110
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$532,556
Value of total assets at end of year	2013-12-31	$14,250,487
Value of total assets at beginning of year	2013-12-31	$12,818,024
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$-16,859
Total interest from all sources	2013-12-31	$322
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$423,838
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$409,922
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
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	$532,556
Amount contributed by the employer to the plan for this plan year	2013-12-31	$532,556
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Administrative expenses (other) incurred	2013-12-31	$-17,155
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	$1,432,463
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$14,250,487
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,818,024
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
Investment advisory and management fees	2013-12-31	$296
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$9,688,662
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$7,991,137
Value of interest in common/collective trusts at end of year	2013-12-31	$144,413
Value of interest in common/collective trusts at beginning of year	2013-12-31	$126,600
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$2,946,547
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$3,361,123
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$3,361,123
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$322
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,359,189
Net investment gain or loss from common/collective trusts	2013-12-31	$1,253
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	$532,556
Employer contributions (assets) at end of year	2013-12-31	$532,556
Employer contributions (assets) at beginning of year	2013-12-31	$526,626
Income. Dividends from common stock	2013-12-31	$13,916
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$969,110
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$938,309
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$812,538
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
Aggregate proceeds on sale of assets	2013-12-31	$2,205,893
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$2,234,243
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	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2013-12-31	410746749
2012 : ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$26,161
Total unrealized appreciation/depreciation of assets	2012-12-31	$26,161
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$2,027,466
Total loss/gain on sale of assets	2012-12-31	$-24,607
Total of all expenses incurred	2012-12-31	$4,988,363
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$4,988,166
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$526,626
Value of total assets at end of year	2012-12-31	$12,818,024
Value of total assets at beginning of year	2012-12-31	$15,778,921
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$197
Total interest from all sources	2012-12-31	$554
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$326,859
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$305,335
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$526,626
Amount contributed by the employer to the plan for this plan year	2012-12-31	$526,626
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Administrative expenses (other) incurred	2012-12-31	$31
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	$-2,960,897
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,818,024
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$15,778,921
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
Investment advisory and management fees	2012-12-31	$166
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$7,991,137
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$10,653,198
Value of interest in common/collective trusts at end of year	2012-12-31	$126,600
Value of interest in common/collective trusts at beginning of year	2012-12-31	$73,922
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$3,361,123
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$3,924,393
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$3,924,393
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$554
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,170,699
Net investment gain or loss from common/collective trusts	2012-12-31	$1,174
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	$526,626
Employer contributions (assets) at end of year	2012-12-31	$526,626
Employer contributions (assets) at beginning of year	2012-12-31	$533,066
Income. Dividends from common stock	2012-12-31	$21,524
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$4,988,166
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$812,538
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$594,342
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
Aggregate proceeds on sale of assets	2012-12-31	$1,439,139
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$1,463,746
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	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2012-12-31	410746749
2011 : ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$837
Total unrealized appreciation/depreciation of assets	2011-12-31	$837
Total income from all sources (including contributions)	2011-12-31	$404,647
Total loss/gain on sale of assets	2011-12-31	$14,763
Total of all expenses incurred	2011-12-31	$3,464,341
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$3,464,215
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$533,066
Value of total assets at end of year	2011-12-31	$15,778,921
Value of total assets at beginning of year	2011-12-31	$18,838,615
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$126
Total interest from all sources	2011-12-31	$501
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$312,807
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$292,075
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$533,066
Amount contributed by the employer to the plan for this plan year	2011-12-31	$533,066
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	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	2011-12-31	No
Value of net income/loss	2011-12-31	$-3,059,694
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$15,778,921
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$18,838,615
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
Investment advisory and management fees	2011-12-31	$126
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$10,653,198
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$13,119,963
Value of interest in common/collective trusts at end of year	2011-12-31	$73,922
Value of interest in common/collective trusts at beginning of year	2011-12-31	$5,864
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$3,924,393
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$3,385,500
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$3,385,500
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$501
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-458,216
Net investment gain or loss from common/collective trusts	2011-12-31	$889
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	$533,066
Employer contributions (assets) at end of year	2011-12-31	$533,066
Employer contributions (assets) at beginning of year	2011-12-31	$522,320
Income. Dividends from common stock	2011-12-31	$20,732
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$3,464,215
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$594,342
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$1,804,968
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
Aggregate proceeds on sale of assets	2011-12-31	$4,158,043
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$4,143,280
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	CLIFTONLARSONALLEN LLP
Accountancy firm EIN	2011-12-31	410746749
2010 : ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$250,740
Total unrealized appreciation/depreciation of assets	2010-12-31	$250,740
Total income from all sources (including contributions)	2010-12-31	$2,449,171
Total loss/gain on sale of assets	2010-12-31	$-93,051
Total of all expenses incurred	2010-12-31	$175,353
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$175,226
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$522,320
Value of total assets at end of year	2010-12-31	$18,838,615
Value of total assets at beginning of year	2010-12-31	$16,564,797
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$127
Total interest from all sources	2010-12-31	$1,487
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$311,085
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$268,113
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$522,320
Amount contributed by the employer to the plan for this plan year	2010-12-31	$522,320
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Administrative expenses (other) incurred	2010-12-31	$27
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	$2,273,818
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$18,838,615
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$16,564,797
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
Investment advisory and management fees	2010-12-31	$100
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$13,119,963
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$11,233,911
Value of interest in common/collective trusts at end of year	2010-12-31	$5,864
Value of interest in common/collective trusts at beginning of year	2010-12-31	$4,741
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$3,385,500
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$3,397,024
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$3,397,024
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$1,487
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,456,520
Net investment gain or loss from common/collective trusts	2010-12-31	$70
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	$522,320
Employer contributions (assets) at end of year	2010-12-31	$522,320
Employer contributions (assets) at beginning of year	2010-12-31	$539,988
Income. Dividends from preferred stock	2010-12-31	$922
Income. Dividends from common stock	2010-12-31	$42,050
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$175,226
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$1,804,968
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$1,389,133
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
Aggregate proceeds on sale of assets	2010-12-31	$3,010,156
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$3,103,207
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	CLIFTON GUNDERSON LLP
Accountancy firm EIN	2010-12-31	370802863
2009 : ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$539,988
Amount contributed by the employer to the plan for this plan year	2009-12-31	$539,988

Form 5500 Responses for ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN

2014: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION 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	Yes
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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION 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 - Trust	Yes
2012: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ROCKFORD ANESTHESIOLOGISTS ASSOCIATED EMPLOYEE PENSION PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ROCKFORD ANESTHESIOLOGISTS ASSOCIATED, LLC
Employer identification number (EIN):	362476123
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)