401k Plan data: THEOREM CLINICAL RESEARCH 401(K) PLAN plan

THEOREM CLINICAL RESEARCH 401(K) PLAN 401k Plan overview

Plan Name	THEOREM CLINICAL RESEARCH 401(K) PLAN
Plan identification number	003

THEOREM CLINICAL RESEARCH 401(K) 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.
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.
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

THEOREM CLINICAL RESEARCH has sponsored the creation of one or more 401k plans.

Company Name: THEOREM CLINICAL RESEARCH

Employer identification number (EIN): 521670189

NAIC Classification: 541700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THEOREM CLINICAL RESEARCH 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 ANGELIQUE PONZIO
003 2015-01-01 ANGELIQUE PONZIO

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2016-01-01	ANGELIQUE PONZIO
003	2015-01-01	ANGELIQUE PONZIO

Plan Statistics for THEOREM CLINICAL RESEARCH 401(K) PLAN

401k plan membership statisitcs for THEOREM CLINICAL RESEARCH 401(K) PLAN

Measure Date Value
2016: THEOREM CLINICAL RESEARCH 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 817
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: THEOREM CLINICAL RESEARCH 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 762
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 677
Number of other retired or separated participants entitled to future benefits 2015-01-01 194
Total of all active and inactive participants 2015-01-01 871
Total participants 2015-01-01 871
Number of participants with account balances 2015-01-01 785
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1

Measure	Date	Value
2016: THEOREM CLINICAL RESEARCH 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	817
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: THEOREM CLINICAL RESEARCH 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	762
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	677
Number of other retired or separated participants entitled to future benefits	2015-01-01	194
Total of all active and inactive participants	2015-01-01	871
Total participants	2015-01-01	871
Number of participants with account balances	2015-01-01	785
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1

Financial Data on THEOREM CLINICAL RESEARCH 401(K) PLAN

Measure	Date	Value
2016 : THEOREM CLINICAL RESEARCH 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-03-31	$0
Total unrealized appreciation/depreciation of assets	2016-03-31	$0
Total transfer of assets from this plan	2016-03-31	$31,202,915
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-03-31	$0
Total income from all sources (including contributions)	2016-03-31	$-111,661
Total of all expenses incurred	2016-03-31	$3,505,586
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-03-31	$3,496,578
Value of total corrective distributions	2016-03-31	$5,508
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-03-31	$0
Value of total assets at end of year	2016-03-31	$0
Value of total assets at beginning of year	2016-03-31	$34,820,162
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-03-31	$3,500
Total interest from all sources	2016-03-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-03-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-03-31	$0
Administrative expenses professional fees incurred	2016-03-31	$3,500
Was this plan covered by a fidelity bond	2016-03-31	Yes
Value of fidelity bond cover	2016-03-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-03-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-03-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-03-31	No
Participant contributions at beginning of year	2016-03-31	$249,434
Assets. Other investments not covered elsewhere at end of year	2016-03-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-03-31	$318,463
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-03-31	No
Value of net income/loss	2016-03-31	$-3,617,247
Value of net assets at end of year (total assets less liabilities)	2016-03-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-03-31	$34,820,162
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-03-31	No
Were any leases to which the plan was party in default or uncollectible	2016-03-31	No
Value of interest in pooled separate accounts at beginning of year	2016-03-31	$31,752,465
Interest earned on other investments	2016-03-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-03-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-03-31	$2,499,800
Net investment gain/loss from pooled separate accounts	2016-03-31	$-111,661
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-03-31	No
Was there a failure to transmit to the plan any participant contributions	2016-03-31	No
Has the plan failed to provide any benefit when due under the plan	2016-03-31	No
Contributions received in cash from employer	2016-03-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-03-31	$3,496,578
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	2016-03-31	Yes
Liabilities. Value of benefit claims payable at end of year	2016-03-31	$0
Did the plan have assets held for investment	2016-03-31	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	2016-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-03-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-03-31	Disclaimer
Accountancy firm name	2016-03-31	BROWN EDWARDS & CO., LLP
Accountancy firm EIN	2016-03-31	540504608
2015 : THEOREM CLINICAL RESEARCH 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$6,498,371
Total of all expenses incurred	2015-12-31	$2,610,505
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,515,787
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$6,969,315
Value of total assets at end of year	2015-12-31	$34,820,162
Value of total assets at beginning of year	2015-12-31	$30,932,296
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$94,718
Total interest from all sources	2015-12-31	$10,512
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
Administrative expenses professional fees incurred	2015-12-31	$9,116
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$4,762,174
Participant contributions at end of year	2015-12-31	$249,434
Participant contributions at beginning of year	2015-12-31	$232,671
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$318,463
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$235,583
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,147,194
Other income not declared elsewhere	2015-12-31	$122,764
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$3,887,866
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$34,820,162
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$30,932,296
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$85,602
Value of interest in pooled separate accounts at end of year	2015-12-31	$31,752,465
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$28,064,098
Interest on participant loans	2015-12-31	$10,512
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$41,650
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$41,650
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$2,499,800
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$2,275,420
Net investment gain/loss from pooled separate accounts	2015-12-31	$-604,220
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,059,947
Employer contributions (assets) at beginning of year	2015-12-31	$82,874
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,515,787
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BROWN, EDWARDS & COMPANY, LLP
Accountancy firm EIN	2015-12-31	540504608

Form 5500 Responses for THEOREM CLINICAL RESEARCH 401(K) PLAN

2016: THEOREM CLINICAL RESEARCH 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THEOREM CLINICAL RESEARCH 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THEOREM CLINICAL RESEARCH
Employer identification number (EIN):	521670189
NAIC Classification:	541700