401k Plan data: APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN plan

APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 401k Plan overview

Plan Name	APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN
Plan identification number	004

APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

APPLETON CARDIOLOGY ASSOCIATES, LTD. has sponsored the creation of one or more 401k plans.

Company Name: APPLETON CARDIOLOGY ASSOCIATES, LTD.

Employer identification number (EIN): 391350097

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2012-01-01 LARRY SOBAL 2013-07-26
004 2011-01-01 LARRY SOBAL
004 2009-01-01 LARRY SOBAL

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
004	2012-01-01	LARRY SOBAL	2013-07-26
004	2011-01-01	LARRY SOBAL
004	2009-01-01	LARRY SOBAL

Plan Statistics for APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN

401k plan membership statisitcs for APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN

Measure Date Value
2011: APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 148
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 138
Number of other retired or separated participants entitled to future benefits 2009-01-01 9
Total of all active and inactive participants 2009-01-01 147
Total participants 2009-01-01 147
Number of participants with account balances 2009-01-01 147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 6

Measure	Date	Value
2011: APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	148
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	138
Number of other retired or separated participants entitled to future benefits	2009-01-01	9
Total of all active and inactive participants	2009-01-01	147
Total participants	2009-01-01	147
Number of participants with account balances	2009-01-01	147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	6

Financial Data on APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN

Measure	Date	Value
2011 : APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$1,511
Total income from all sources (including contributions)	2011-12-31	$-270,721
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$16,433,436
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$16,385,350
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,744
Value of total assets at end of year	2011-12-31	$7,509
Value of total assets at beginning of year	2011-12-31	$16,713,177
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$48,086
Total interest from all sources	2011-12-31	$1,003
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$79,815
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$39,706
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$1,641,307
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$0
Other income not declared elsewhere	2011-12-31	$58,389
Liabilities. Value of operating payables at end of year	2011-12-31	$0
Liabilities. Value of operating payables at beginning of year	2011-12-31	$1,511
Total non interest bearing cash at end of year	2011-12-31	$7,479
Total non interest bearing cash at beginning of year	2011-12-31	$8,134
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	$-16,704,157
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$7,509
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$16,711,666
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	$26,200
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$30
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$14,243,538
Interest on participant loans	2011-12-31	$983
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$20
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-332,857
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	$2,744
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$700,677
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$16,385,350
Contract administrator fees	2011-12-31	$21,886
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$0
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	SCHENCK, S.C.
Accountancy firm EIN	2011-12-31	391173131
2010 : APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$1,511
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$196,496
Total income from all sources (including contributions)	2010-12-31	$3,719,816
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$633,826
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$610,501
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,701,732
Value of total assets at end of year	2010-12-31	$16,713,177
Value of total assets at beginning of year	2010-12-31	$13,822,172
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$23,325
Total interest from all sources	2010-12-31	$4,594
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$7,644
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
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$643,705
Participant contributions at end of year	2010-12-31	$79,815
Participant contributions at beginning of year	2010-12-31	$56,603
Participant contributions at end of year	2010-12-31	$39,706
Participant contributions at beginning of year	2010-12-31	$2,538
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$1,641,307
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$1,349,359
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$36,593
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$6,800
Other income not declared elsewhere	2010-12-31	$191,870
Liabilities. Value of operating payables at end of year	2010-12-31	$1,511
Total non interest bearing cash at end of year	2010-12-31	$8,134
Total non interest bearing cash at beginning of year	2010-12-31	$238,101
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	$3,085,990
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$16,711,666
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$13,625,676
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	$15,681
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$14,243,538
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$12,172,585
Interest on participant loans	2010-12-31	$4,594
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,821,620
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	$1,021,434
Employer contributions (assets) at end of year	2010-12-31	$700,677
Employer contributions (assets) at beginning of year	2010-12-31	$2,986
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$610,501
Liabilities. Value of benefit claims payable at end of year	2010-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$189,696
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	SCHENCK, S.C.
Accountancy firm EIN	2010-12-31	391173131
2009 : APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K PLAN

2011: APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: APPLETON CARDIOLOGY ASSOCIATES, LTD. PROFIT SHARING AND 401K 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	APPLETON CARDIOLOGY ASSOCIATES, LTD.
Employer identification number (EIN):	391350097
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)