401k Plan data: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN plan

EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING 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.
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

EYE CENTER SURGEONS AND ASSOCIATES, LLC has sponsored the creation of one or more 401k plans.

Company Name: EYE CENTER SURGEONS AND ASSOCIATES, LLC

Employer identification number (EIN): 631205578

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 LAURIE J GUIDO 2023-10-10
001 2021-01-01 LAURIE J GUIDO 2022-09-26 LAURIE J GUIDO 2022-09-26
001 2020-01-01 LAURIE GUIDO 2021-06-23 LAURIE GUIDO 2021-06-23
001 2019-01-01 LAURIE GUIDO 2020-10-14
001 2018-01-01 LAURIE GUIDO 2019-10-10
001 2017-01-01 LAURIE GUIDO 2018-09-19
001 2016-01-01 LAURIE GUIDO 2017-09-15
001 2015-01-01 LAURIE J GUIDO 2016-07-20
001 2014-01-01 MICHELLE CLARK 2015-10-09
001 2013-01-01 HOLLY FAMA 2014-09-17
001 2012-01-01 MICHAEL SEGARS
001 2011-01-01 MICHAEL SEGARS
001 2009-01-01 MICHAEL SEGARS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	LAURIE J GUIDO	2023-10-10
001	2021-01-01	LAURIE J GUIDO	2022-09-26	LAURIE J GUIDO	2022-09-26
001	2020-01-01	LAURIE GUIDO	2021-06-23	LAURIE GUIDO	2021-06-23
001	2019-01-01	LAURIE GUIDO	2020-10-14
001	2018-01-01	LAURIE GUIDO	2019-10-10
001	2017-01-01	LAURIE GUIDO	2018-09-19
001	2016-01-01	LAURIE GUIDO	2017-09-15
001	2015-01-01	LAURIE J GUIDO	2016-07-20
001	2014-01-01	MICHELLE CLARK	2015-10-09
001	2013-01-01	HOLLY FAMA	2014-09-17
001	2012-01-01	MICHAEL SEGARS
001	2011-01-01	MICHAEL SEGARS
001	2009-01-01	MICHAEL SEGARS

Plan Statistics for EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 40
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 37
Number of retired or separated participants receiving benefits 2012-01-01 3
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 40
Number of participants with account balances 2012-01-01 37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 37
Number of retired or separated participants receiving benefits 2011-01-01 3
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 40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 40
Number of participants with account balances 2011-01-01 40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 33
Number of retired or separated participants receiving benefits 2009-01-01 3
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 36
Number of participants with account balances 2009-01-01 33

Measure	Date	Value
2012: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	40
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	37
Number of retired or separated participants receiving benefits	2012-01-01	3
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	40
Number of participants with account balances	2012-01-01	37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	37
Number of retired or separated participants receiving benefits	2011-01-01	3
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	40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	40
Number of participants with account balances	2011-01-01	40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	33
Number of retired or separated participants receiving benefits	2009-01-01	3
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	36
Number of participants with account balances	2009-01-01	33

Financial Data on EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$335,359
Expenses. Total of all expenses incurred	2012-12-31	$54,141
Benefits paid (including direct rollovers)	2012-12-31	$54,141
Total plan assets at end of year	2012-12-31	$1,406,567
Total plan assets at beginning of year	2012-12-31	$1,125,349
Value of fidelity bond covering the plan	2012-12-31	$150,000
Total contributions received or receivable from participants	2012-12-31	$111,405
Other income received	2012-12-31	$157,203
Net income (gross income less expenses)	2012-12-31	$281,218
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,406,567
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,125,349
Total contributions received or receivable from employer(s)	2012-12-31	$66,751
2011 : EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$113,009
Expenses. Total of all expenses incurred	2011-12-31	$345,073
Benefits paid (including direct rollovers)	2011-12-31	$345,073
Total plan assets at end of year	2011-12-31	$1,125,349
Total plan assets at beginning of year	2011-12-31	$1,357,413
Value of fidelity bond covering the plan	2011-12-31	$115,000
Total contributions received or receivable from participants	2011-12-31	$117,695
Other income received	2011-12-31	$-72,979
Net income (gross income less expenses)	2011-12-31	$-232,064
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,125,349
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,357,413
Total contributions received or receivable from employer(s)	2011-12-31	$68,293
2010 : EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$320,893
Expenses. Total of all expenses incurred	2010-12-31	$4,729
Benefits paid (including direct rollovers)	2010-12-31	$4,729
Total plan assets at end of year	2010-12-31	$1,357,413
Total plan assets at beginning of year	2010-12-31	$1,041,249
Value of fidelity bond covering the plan	2010-12-31	$140,000
Total contributions received or receivable from participants	2010-12-31	$117,389
Other income received	2010-12-31	$138,681
Net income (gross income less expenses)	2010-12-31	$316,164
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,357,413
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,041,249
Total contributions received or receivable from employer(s)	2010-12-31	$64,823
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$64,823
Amount contributed by the employer to the plan for this plan year	2010-12-31	$64,823
2009 : EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2009 401k financial data
Minimum employer required contribution for this plan year	2009-12-31	$56,485
Amount contributed by the employer to the plan for this plan year	2009-12-31	$56,485

Form 5500 Responses for EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN

2012: EYE CENTER SURGEONS & ASSOCIATES, LLC 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: EYE CENTER SURGEONS & ASSOCIATES, LLC 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: EYE CENTER SURGEONS & ASSOCIATES, LLC 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

46304

Policy instance

Insurance contract or identification number	46304
Number of Individuals Covered	37
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $6,338
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,338
Additional information about fees paid to insurance broker	INVESTMENT ADVICE 7
Insurance broker name	LPL FINANCIAL CORPORATION

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

Policy contract number

46304

Policy instance

Insurance contract or identification number	46304
Number of Individuals Covered	40
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,945
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

46304

Policy instance

Insurance contract or identification number	46304
Number of Individuals Covered	42
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $5,775
Total amount of fees paid to insurance company	USD $204
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,775
Amount paid for insurance broker fees	204
Additional information about fees paid to insurance broker	INVESTMENT ADVICE
Insurance broker organization code?	7
Insurance broker name	LPL FINANCIAL CORPORATION

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Company Name:	EYE CENTER SURGEONS AND ASSOCIATES, LLC
Employer identification number (EIN):	631205578
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)