401k Plan data: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN plan

ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN
Plan identification number	001

ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.

401k Sponsoring company profile

ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. has sponsored the creation of one or more 401k plans.

Company Name: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C.

Employer identification number (EIN): 610678573

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01 JOHN ELLIS 2022-07-27
001 2020-01-01 JOHN ELLIS 2021-08-19
001 2019-01-01 DANIEL RUEFF 2020-08-10
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 R. JON ELLIS R. JOHN ELLIS 2015-08-14
001 2013-01-01
001 2012-01-01 R. JOHN ELLIS
001 2011-01-01 JOHN ELLIS JOHN ELLIS 2012-07-25
001 2010-01-01 JOHN ELLIS JOHN ELLIS 2011-07-19
001 2009-01-01 JOHN ELLIS JOHN ELLIS 2010-09-08

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2021-01-01	JOHN ELLIS	2022-07-27
001	2020-01-01	JOHN ELLIS	2021-08-19
001	2019-01-01	DANIEL RUEFF	2020-08-10
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	R. JON ELLIS		R. JOHN ELLIS	2015-08-14
001	2013-01-01
001	2012-01-01	R. JOHN ELLIS
001	2011-01-01	JOHN ELLIS		JOHN ELLIS	2012-07-25
001	2010-01-01	JOHN ELLIS		JOHN ELLIS	2011-07-19
001	2009-01-01	JOHN ELLIS		JOHN ELLIS	2010-09-08

Plan Statistics for ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN

Measure Date Value
2021: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 101
Number of other retired or separated participants entitled to future benefits 2021-01-01 43
Total of all active and inactive participants 2021-01-01 144
Total participants 2021-01-01 144
Number of participants with account balances 2021-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 3
2020: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 105
Number of retired or separated participants receiving benefits 2020-01-01 1
Number of other retired or separated participants entitled to future benefits 2020-01-01 34
Total of all active and inactive participants 2020-01-01 140
Total participants 2020-01-01 140
Number of participants with account balances 2020-01-01 119
2019: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 119
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 105
Number of retired or separated participants receiving benefits 2019-01-01 1
Number of other retired or separated participants entitled to future benefits 2019-01-01 25
Total of all active and inactive participants 2019-01-01 131
Total participants 2019-01-01 131
Number of participants with account balances 2019-01-01 114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 2
2018: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 119
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 94
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 22
Total of all active and inactive participants 2018-01-01 117
Total participants 2018-01-01 117
Number of participants with account balances 2018-01-01 103
2017: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 93
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 25
Total of all active and inactive participants 2017-01-01 119
Total participants 2017-01-01 119
Number of participants with account balances 2017-01-01 103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 2
2016: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 88
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 18
Total of all active and inactive participants 2016-01-01 107
Total participants 2016-01-01 107
Number of participants with account balances 2016-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 2
2015: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 84
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 21
Total of all active and inactive participants 2015-01-01 106
Total participants 2015-01-01 106
Number of participants with account balances 2015-01-01 95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 109
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 82
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 24
Total of all active and inactive participants 2014-01-01 107
Total participants 2014-01-01 107
Number of participants with account balances 2014-01-01 96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 3
2013: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 110
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 85
Number of retired or separated participants receiving benefits 2013-01-01 1
Number of other retired or separated participants entitled to future benefits 2013-01-01 22
Total of all active and inactive participants 2013-01-01 108
Total participants 2013-01-01 108
Number of participants with account balances 2013-01-01 108
2012: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 83
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 24
Total of all active and inactive participants 2012-01-01 109
Total participants 2012-01-01 109
Number of participants with account balances 2012-01-01 96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 5
2011: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 104
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 87
Number of retired or separated participants receiving benefits 2011-01-01 2
Number of other retired or separated participants entitled to future benefits 2011-01-01 18
Total of all active and inactive participants 2011-01-01 107
Total participants 2011-01-01 107
Number of participants with account balances 2011-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 2
2010: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 88
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 80
Number of retired or separated participants receiving benefits 2010-01-01 2
Number of other retired or separated participants entitled to future benefits 2010-01-01 21
Total of all active and inactive participants 2010-01-01 103
Total participants 2010-01-01 103
Number of participants with account balances 2010-01-01 82
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 84
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 76
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 16
Total of all active and inactive participants 2009-01-01 93
Total participants 2009-01-01 93
Number of participants with account balances 2009-01-01 77

Measure	Date	Value
2021: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	101
Number of other retired or separated participants entitled to future benefits	2021-01-01	43
Total of all active and inactive participants	2021-01-01	144
Total participants	2021-01-01	144
Number of participants with account balances	2021-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	3
2020: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	105
Number of retired or separated participants receiving benefits	2020-01-01	1
Number of other retired or separated participants entitled to future benefits	2020-01-01	34
Total of all active and inactive participants	2020-01-01	140
Total participants	2020-01-01	140
Number of participants with account balances	2020-01-01	119
2019: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	119
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	105
Number of retired or separated participants receiving benefits	2019-01-01	1
Number of other retired or separated participants entitled to future benefits	2019-01-01	25
Total of all active and inactive participants	2019-01-01	131
Total participants	2019-01-01	131
Number of participants with account balances	2019-01-01	114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	2
2018: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	119
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	94
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	22
Total of all active and inactive participants	2018-01-01	117
Total participants	2018-01-01	117
Number of participants with account balances	2018-01-01	103
2017: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	93
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	25
Total of all active and inactive participants	2017-01-01	119
Total participants	2017-01-01	119
Number of participants with account balances	2017-01-01	103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	2
2016: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	88
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	18
Total of all active and inactive participants	2016-01-01	107
Total participants	2016-01-01	107
Number of participants with account balances	2016-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	2
2015: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	84
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	21
Total of all active and inactive participants	2015-01-01	106
Total participants	2015-01-01	106
Number of participants with account balances	2015-01-01	95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	109
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	82
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	24
Total of all active and inactive participants	2014-01-01	107
Total participants	2014-01-01	107
Number of participants with account balances	2014-01-01	96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	3
2013: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	110
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	85
Number of retired or separated participants receiving benefits	2013-01-01	1
Number of other retired or separated participants entitled to future benefits	2013-01-01	22
Total of all active and inactive participants	2013-01-01	108
Total participants	2013-01-01	108
Number of participants with account balances	2013-01-01	108
2012: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	83
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	24
Total of all active and inactive participants	2012-01-01	109
Total participants	2012-01-01	109
Number of participants with account balances	2012-01-01	96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	5
2011: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	104
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	87
Number of retired or separated participants receiving benefits	2011-01-01	2
Number of other retired or separated participants entitled to future benefits	2011-01-01	18
Total of all active and inactive participants	2011-01-01	107
Total participants	2011-01-01	107
Number of participants with account balances	2011-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	2
2010: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	88
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	80
Number of retired or separated participants receiving benefits	2010-01-01	2
Number of other retired or separated participants entitled to future benefits	2010-01-01	21
Total of all active and inactive participants	2010-01-01	103
Total participants	2010-01-01	103
Number of participants with account balances	2010-01-01	82
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	84
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	76
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	16
Total of all active and inactive participants	2009-01-01	93
Total participants	2009-01-01	93
Number of participants with account balances	2009-01-01	77

Financial Data on ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2021 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2021-12-31	$2,864,675
Total unrealized appreciation/depreciation of assets	2021-12-31	$2,864,675
Total income from all sources (including contributions)	2021-12-31	$7,050,371
Total loss/gain on sale of assets	2021-12-31	$1,626,814
Total of all expenses incurred	2021-12-31	$1,639,168
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,500,253
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,426,052
Value of total assets at end of year	2021-12-31	$41,055,438
Value of total assets at beginning of year	2021-12-31	$35,644,235
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$138,915
Total interest from all sources	2021-12-31	$199,976
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$932,854
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$643,925
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$497,852
Participant contributions at end of year	2021-12-31	$13,425
Participant contributions at beginning of year	2021-12-31	$20,475
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$83,791
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$5,411,203
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$41,055,438
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$35,644,235
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$138,915
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$18,521,704
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$17,529,374
Interest on participant loans	2021-12-31	$1,176
Interest earned on other investments	2021-12-31	$26,327
Income. Interest from US Government securities	2021-12-31	$2,906
Income. Interest from corporate debt instruments	2021-12-31	$169,548
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$19
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$69,617
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$67,240
Asset value of US Government securities at end of year	2021-12-31	$471,011
Asset value of US Government securities at beginning of year	2021-12-31	$893,766
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$844,409
Employer contributions (assets) at end of year	2021-12-31	$81,940
Employer contributions (assets) at beginning of year	2021-12-31	$51,981
Income. Dividends from common stock	2021-12-31	$288,929
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,500,253
Asset. Corporate debt instrument debt (other) at end of year	2021-12-31	$6,880,886
Asset. Corporate debt instrument debt (other) at beginning of year	2021-12-31	$4,829,528
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	2021-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2021-12-31	$15,016,855
Assets. Corporate common stocks other than exployer securities at beginning of year	2021-12-31	$12,251,871
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Aggregate proceeds on sale of assets	2021-12-31	$9,332,745
Aggregate carrying amount (costs) on sale of assets	2021-12-31	$7,705,931
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	WELENKEN CPAS
Accountancy firm EIN	2021-12-31	610484308
2020 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$3,077,153
Total unrealized appreciation/depreciation of assets	2020-12-31	$3,077,153
Total income from all sources (including contributions)	2020-12-31	$5,520,578
Total loss/gain on sale of assets	2020-12-31	$218,922
Total of all expenses incurred	2020-12-31	$1,636,729
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,524,828
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,256,434
Value of total assets at end of year	2020-12-31	$35,644,235
Value of total assets at beginning of year	2020-12-31	$31,760,386
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$111,901
Total interest from all sources	2020-12-31	$217,902
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$750,160
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$521,422
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$460,442
Participant contributions at end of year	2020-12-31	$20,475
Participant contributions at beginning of year	2020-12-31	$16,023
Other income not declared elsewhere	2020-12-31	$7
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$3,883,849
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$35,644,235
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$31,760,386
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$111,901
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$17,529,374
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$15,020,664
Interest on participant loans	2020-12-31	$920
Interest earned on other investments	2020-12-31	$34,223
Income. Interest from US Government securities	2020-12-31	$12,634
Income. Interest from corporate debt instruments	2020-12-31	$169,112
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$1,013
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$67,240
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$61,048
Asset value of US Government securities at end of year	2020-12-31	$893,766
Asset value of US Government securities at beginning of year	2020-12-31	$1,573,081
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$795,992
Employer contributions (assets) at end of year	2020-12-31	$51,981
Employer contributions (assets) at beginning of year	2020-12-31	$152,121
Income. Dividends from common stock	2020-12-31	$228,738
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,524,828
Asset. Corporate debt instrument debt (other) at end of year	2020-12-31	$4,829,528
Asset. Corporate debt instrument debt (other) at beginning of year	2020-12-31	$4,764,300
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	2020-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2020-12-31	$12,251,871
Assets. Corporate common stocks other than exployer securities at beginning of year	2020-12-31	$10,173,149
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Aggregate proceeds on sale of assets	2020-12-31	$4,523,726
Aggregate carrying amount (costs) on sale of assets	2020-12-31	$4,304,804
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	WELENKEN CPAS
Accountancy firm EIN	2020-12-31	610484308
2019 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$7,119,204
Expenses. Total of all expenses incurred	2019-12-31	$2,857,266
Benefits paid (including direct rollovers)	2019-12-31	$2,747,232
Total plan assets at end of year	2019-12-31	$31,766,185
Total plan assets at beginning of year	2019-12-31	$27,504,247
Value of fidelity bond covering the plan	2019-12-31	$500,000
Total contributions received or receivable from participants	2019-12-31	$459,216
Other income received	2019-12-31	$5,877,532
Net income (gross income less expenses)	2019-12-31	$4,261,938
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$31,766,185
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$27,504,247
Assets. Value of participant loans	2019-12-31	$16,023
Total contributions received or receivable from employer(s)	2019-12-31	$782,456
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$110,034
2018 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$-236,269
Expenses. Total of all expenses incurred	2018-12-31	$1,230,085
Benefits paid (including direct rollovers)	2018-12-31	$1,122,613
Total plan assets at end of year	2018-12-31	$27,504,247
Total plan assets at beginning of year	2018-12-31	$28,970,601
Value of fidelity bond covering the plan	2018-12-31	$500,000
Total contributions received or receivable from participants	2018-12-31	$408,437
Other income received	2018-12-31	$-1,376,752
Net income (gross income less expenses)	2018-12-31	$-1,466,354
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$27,504,247
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$28,970,601
Assets. Value of participant loans	2018-12-31	$24,868
Total contributions received or receivable from employer(s)	2018-12-31	$732,046
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$107,472
2017 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$4,953,500
Expenses. Total of all expenses incurred	2017-12-31	$452,007
Benefits paid (including direct rollovers)	2017-12-31	$357,246
Total plan assets at end of year	2017-12-31	$28,970,601
Total plan assets at beginning of year	2017-12-31	$24,469,108
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$387,251
Contributions received from other sources (not participants or employers)	2017-12-31	$36,248
Other income received	2017-12-31	$3,811,980
Net income (gross income less expenses)	2017-12-31	$4,501,493
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$28,970,601
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$24,469,108
Assets. Value of participant loans	2017-12-31	$21,824
Total contributions received or receivable from employer(s)	2017-12-31	$718,021
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$94,761
2016 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$2,826,580
Expenses. Total of all expenses incurred	2016-12-31	$1,574,131
Benefits paid (including direct rollovers)	2016-12-31	$1,499,242
Total plan assets at end of year	2016-12-31	$24,469,108
Total plan assets at beginning of year	2016-12-31	$23,216,659
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$365,668
Contributions received from other sources (not participants or employers)	2016-12-31	$20,685
Other income received	2016-12-31	$1,793,712
Net income (gross income less expenses)	2016-12-31	$1,252,449
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$24,469,108
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$23,216,659
Assets. Value of participant loans	2016-12-31	$37,900
Total contributions received or receivable from employer(s)	2016-12-31	$646,515
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$74,889
2015 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$713,383
Expenses. Total of all expenses incurred	2015-12-31	$705,089
Benefits paid (including direct rollovers)	2015-12-31	$635,424
Total plan assets at end of year	2015-12-31	$23,216,659
Total plan assets at beginning of year	2015-12-31	$23,208,365
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$348,356
Other income received	2015-12-31	$-228,141
Net income (gross income less expenses)	2015-12-31	$8,294
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$23,216,659
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$23,208,365
Assets. Value of participant loans	2015-12-31	$29,425
Total contributions received or receivable from employer(s)	2015-12-31	$593,168
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$69,665
2014 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$2,363,073
Expenses. Total of all expenses incurred	2014-12-31	$719,083
Benefits paid (including direct rollovers)	2014-12-31	$651,977
Total plan assets at end of year	2014-12-31	$23,208,365
Total plan assets at beginning of year	2014-12-31	$21,564,375
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$327,125
Other income received	2014-12-31	$1,545,169
Net income (gross income less expenses)	2014-12-31	$1,643,990
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$23,208,365
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$21,564,375
Assets. Value of participant loans	2014-12-31	$43,500
Total contributions received or receivable from employer(s)	2014-12-31	$490,779
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$67,106
2013 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$3,797,304
Expenses. Total of all expenses incurred	2013-12-31	$395,528
Benefits paid (including direct rollovers)	2013-12-31	$334,646
Total plan assets at end of year	2013-12-31	$21,564,375
Total plan assets at beginning of year	2013-12-31	$18,162,599
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$310,624
Other income received	2013-12-31	$3,098,970
Net income (gross income less expenses)	2013-12-31	$3,401,776
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$21,564,375
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$18,162,599
Assets. Value of participant loans	2013-12-31	$53,479
Total contributions received or receivable from employer(s)	2013-12-31	$387,710
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$60,882
2012 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$3,006,878
Expenses. Total of all expenses incurred	2012-12-31	$1,834,876
Benefits paid (including direct rollovers)	2012-12-31	$1,778,260
Total plan assets at end of year	2012-12-31	$18,162,599
Total plan assets at beginning of year	2012-12-31	$16,990,597
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$293,234
Other income received	2012-12-31	$2,094,031
Net income (gross income less expenses)	2012-12-31	$1,172,002
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$18,162,599
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$16,990,597
Assets. Value of participant loans	2012-12-31	$18,987
Total contributions received or receivable from employer(s)	2012-12-31	$619,613
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$56,616
2011 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$1,279,880
Expenses. Total of all expenses incurred	2011-12-31	$576,228
Benefits paid (including direct rollovers)	2011-12-31	$515,934
Total plan assets at end of year	2011-12-31	$16,990,597
Total plan assets at beginning of year	2011-12-31	$16,286,945
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$264,006
Other income received	2011-12-31	$490,346
Net income (gross income less expenses)	2011-12-31	$703,652
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$16,990,597
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$16,286,945
Assets. Value of participant loans	2011-12-31	$26,490
Total contributions received or receivable from employer(s)	2011-12-31	$525,528
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$60,294
2010 : ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$2,632,903
Expenses. Total of all expenses incurred	2010-12-31	$4,482,518
Benefits paid (including direct rollovers)	2010-12-31	$4,420,589
Total plan assets at end of year	2010-12-31	$16,286,945
Total plan assets at beginning of year	2010-12-31	$18,136,560
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$239,816
Other income received	2010-12-31	$1,855,393
Net income (gross income less expenses)	2010-12-31	$-1,849,615
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$16,286,945
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$18,136,560
Assets. Value of participant loans	2010-12-31	$33,528
Total contributions received or receivable from employer(s)	2010-12-31	$537,694
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$61,929

Form 5500 Responses for ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN

2021: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C. 401(K) PROFIT SHARING 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

374587-01

Policy instance

Insurance contract or identification number	374587-01
Number of Individuals Covered	4
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $171
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	171
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

374587-01

Policy instance

Insurance contract or identification number	374587-01
Number of Individuals Covered	13
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $302
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $151
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

374587-01

Policy instance

Insurance contract or identification number	374587-01
Number of Individuals Covered	6
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $190
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $146
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

374587-01

Policy instance

Insurance contract or identification number	374587-01
Number of Individuals Covered	14
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $176
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $132
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

374587-01

Policy instance

Insurance contract or identification number	374587-01
Number of Individuals Covered	10
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $125
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $94
Insurance broker organization code?	3
Insurance broker name	JAMES SALING

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

Policy instance

Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $13,083
Total amount of fees paid to insurance company	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $13,083
Insurance broker organization code?	4
Insurance broker name	HILLIARD LYONS INSURANCE, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

Policy instance

Number of Individuals Covered	91
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $11,982
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $11,982
Insurance broker organization code?	4
Insurance broker name	HILLIARD LYONS INSURANCE, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

Policy instance

Number of Individuals Covered	90
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $9,641
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,641
Insurance broker organization code?	4
Insurance broker name	HILLIARD LYONS INSURANCE, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

Policy instance

Number of Individuals Covered	88
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $7,616
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,616
Insurance broker organization code?	4
Insurance broker name	HILLIARD LYONS INSURANCE, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

Policy instance

Number of Individuals Covered	79
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $6,682
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

Policy instance

Number of Individuals Covered	71
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $5,246
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,246
Insurance broker organization code?	4
Insurance broker name	HILLIARD LYONS INSURANCE, INC.

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Company Name:	ELLIS AND BADENHAUSEN ORTHOPAEDICS, P.S.C.
Employer identification number (EIN):	610678573
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)