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DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 401k Plan overview

Plan NameDIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN
Plan identification number 001

DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

DIRECT ORTHOPEDIC CARE, LLC has sponsored the creation of one or more 401k plans.

Company Name:DIRECT ORTHOPEDIC CARE, LLC
Employer identification number (EIN):465239172
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012020-01-01
0012019-01-01
0012018-01-01CHERYL PHILLIPS
0012017-01-01CHERYL PHILLIPS

Plan Statistics for DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN

401k plan membership statisitcs for DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN

Measure Date Value
2020: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-0158
Total number of active participants reported on line 7a of the Form 55002020-01-010
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-010
Total of all active and inactive participants2020-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-010
Number of participants with account balances2020-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-0162
Total number of active participants reported on line 7a of the Form 55002019-01-0152
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-016
Total of all active and inactive participants2019-01-0158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-0158
Number of participants with account balances2019-01-0145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-0154
Total number of active participants reported on line 7a of the Form 55002018-01-0157
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-015
Total of all active and inactive participants2018-01-0162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-0162
Number of participants with account balances2018-01-0141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-0131
Total number of active participants reported on line 7a of the Form 55002017-01-0149
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-015
Total of all active and inactive participants2017-01-0154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-0154
Number of participants with account balances2017-01-0137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010

Financial Data on DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN

Measure Date Value
2020 : DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2020 401k financial data
Transfers to/from the plan2020-03-31$-1,000,943
Total plan liabilities at end of year2020-03-31$0
Total plan liabilities at beginning of year2020-03-31$0
Total income from all sources2020-03-31$-770
Expenses. Total of all expenses incurred2020-03-31$590
Benefits paid (including direct rollovers)2020-03-31$0
Total plan assets at end of year2020-03-31$0
Total plan assets at beginning of year2020-03-31$1,002,303
Value of fidelity bond covering the plan2020-03-31$265,000
Total contributions received or receivable from participants2020-03-31$0
Expenses. Other expenses not covered elsewhere2020-03-31$0
Contributions received from other sources (not participants or employers)2020-03-31$0
Other income received2020-03-31$-770
Noncash contributions received2020-03-31$0
Net income (gross income less expenses)2020-03-31$-1,360
Net plan assets at end of year (total assets less liabilities)2020-03-31$0
Net plan assets at beginning of year (total assets less liabilities)2020-03-31$1,002,303
Total contributions received or receivable from employer(s)2020-03-31$0
Value of certain deemed distributions of participant loans2020-03-31$0
Value of corrective distributions2020-03-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2020-03-31$590
2019 : DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2019 401k financial data
Transfers to/from the plan2019-12-31$0
Total plan liabilities at end of year2019-12-31$0
Total plan liabilities at beginning of year2019-12-31$0
Total income from all sources2019-12-31$546,981
Expenses. Total of all expenses incurred2019-12-31$56,085
Benefits paid (including direct rollovers)2019-12-31$42,661
Total plan assets at end of year2019-12-31$1,002,303
Total plan assets at beginning of year2019-12-31$511,407
Value of fidelity bond covering the plan2019-12-31$265,000
Total contributions received or receivable from participants2019-12-31$237,239
Expenses. Other expenses not covered elsewhere2019-12-31$0
Contributions received from other sources (not participants or employers)2019-12-31$63,938
Other income received2019-12-31$135,100
Noncash contributions received2019-12-31$0
Net income (gross income less expenses)2019-12-31$490,896
Net plan assets at end of year (total assets less liabilities)2019-12-31$1,002,303
Net plan assets at beginning of year (total assets less liabilities)2019-12-31$511,407
Total contributions received or receivable from employer(s)2019-12-31$110,704
Value of certain deemed distributions of participant loans2019-12-31$0
Value of corrective distributions2019-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2019-12-31$13,424
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
2018 : DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2018 401k financial data
Transfers to/from the plan2018-12-31$0
Total plan liabilities at end of year2018-12-31$0
Total plan liabilities at beginning of year2018-12-31$0
Total income from all sources2018-12-31$206,763
Expenses. Total of all expenses incurred2018-12-31$11,834
Benefits paid (including direct rollovers)2018-12-31$11,349
Total plan assets at end of year2018-12-31$511,407
Total plan assets at beginning of year2018-12-31$316,478
Value of fidelity bond covering the plan2018-12-31$265,000
Total contributions received or receivable from participants2018-12-31$163,654
Expenses. Other expenses not covered elsewhere2018-12-31$0
Contributions received from other sources (not participants or employers)2018-12-31$0
Other income received2018-12-31$-39,112
Noncash contributions received2018-12-31$0
Net income (gross income less expenses)2018-12-31$194,929
Net plan assets at end of year (total assets less liabilities)2018-12-31$511,407
Net plan assets at beginning of year (total assets less liabilities)2018-12-31$316,478
Total contributions received or receivable from employer(s)2018-12-31$82,221
Value of certain deemed distributions of participant loans2018-12-31$0
Value of corrective distributions2018-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2018-12-31$485
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
2017 : DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2017 401k financial data
Transfers to/from the plan2017-12-31$0
Total plan liabilities at end of year2017-12-31$0
Total plan liabilities at beginning of year2017-12-31$0
Total income from all sources2017-12-31$217,163
Expenses. Total of all expenses incurred2017-12-31$9,544
Benefits paid (including direct rollovers)2017-12-31$4,784
Total plan assets at end of year2017-12-31$316,478
Total plan assets at beginning of year2017-12-31$108,859
Value of fidelity bond covering the plan2017-12-31$265,000
Total contributions received or receivable from participants2017-12-31$97,733
Expenses. Other expenses not covered elsewhere2017-12-31$0
Contributions received from other sources (not participants or employers)2017-12-31$29,830
Other income received2017-12-31$29,125
Noncash contributions received2017-12-31$0
Net income (gross income less expenses)2017-12-31$207,619
Net plan assets at end of year (total assets less liabilities)2017-12-31$316,478
Net plan assets at beginning of year (total assets less liabilities)2017-12-31$108,859
Total contributions received or receivable from employer(s)2017-12-31$60,475
Value of certain deemed distributions of participant loans2017-12-31$0
Value of corrective distributions2017-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2017-12-31$4,760
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0

Form 5500 Responses for DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN

2020: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingYes
2020-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: DIRECT ORTHOPEDIC CARE, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number121889
Policy instance 1
Insurance contract or identification number121889
Number of Individuals Covered0
Insurance policy start date2020-01-01
Insurance policy end date2020-03-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $40
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees40
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker organization code?5
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number121889
Policy instance 1
Insurance contract or identification number121889
Number of Individuals Covered41
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $3,200
Total amount of fees paid to insurance companyUSD $359
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,200
Insurance broker organization code?3
Amount paid for insurance broker fees359
Additional information about fees paid to insurance brokerTPA COMPENSATION
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number121889
Policy instance 1
Insurance contract or identification number121889
Number of Individuals Covered41
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $2,009
Total amount of fees paid to insurance companyUSD $485
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,009
Insurance broker organization code?3
Amount paid for insurance broker fees485
Additional information about fees paid to insurance brokerTPA COMPENSATION
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number121889
Policy instance 1
Insurance contract or identification number121889
Number of Individuals Covered37
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $931
Total amount of fees paid to insurance companyUSD $665
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $931
Insurance broker organization code?3
Amount paid for insurance broker fees665
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker namePINNACLE PENSION SERVICES

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