401k Plan data: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN plan

CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 401k Plan overview

Plan Name	CLEVELAND EYE CLINIC & COMPANIES 401K PLAN
Plan identification number	001

CLEVELAND EYE CLINIC & COMPANIES 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Plan covering Self-Employed individuals.
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

NORTHERN OHIO EYE CONSULTANTS, INC. DBA CLEVELAND EYE CLINIC has sponsored the creation of one or more 401k plans.

Company Name: NORTHERN OHIO EYE CONSULTANTS, INC. DBA CLEVELAND EYE CLINIC

Employer identification number (EIN): 841622399

NAIC Classification: 621320
NAIC Description: Offices of Optometrists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CLEVELAND EYE CLINIC & COMPANIES 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 SCOTT FORD
001 2017-01-01 SCOTT FORD
001 2016-01-01 SCOTT FORD 2017-10-23
001 2016-01-01
001 2016-01-01 SCOTT FORD 2018-10-09
001 2015-01-01 MUST MATCH DOL CREDENTIALS 2016-05-24
001 2014-01-01 MUST MATCH DOL CREDENTIALS 2015-10-13
001 2013-01-01 MARY FARLEY 2014-07-03
001 2012-01-01 MARY FARLEY 2013-09-26
001 2011-01-01 MARY FARLEY 2012-10-08
001 2010-01-01 MARY FARLEY 2011-04-16
001 2009-01-01 MARY FARLEY
001 2009-01-01 MUST MATCH DOL CREDENTIALS
001 2009-01-01 MARY FARLEY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	SCOTT FORD
001	2017-01-01	SCOTT FORD
001	2016-01-01	SCOTT FORD	2017-10-23
001	2016-01-01
001	2016-01-01	SCOTT FORD	2018-10-09
001	2015-01-01	MUST MATCH DOL CREDENTIALS	2016-05-24
001	2014-01-01	MUST MATCH DOL CREDENTIALS	2015-10-13
001	2013-01-01	MARY FARLEY	2014-07-03
001	2012-01-01	MARY FARLEY	2013-09-26
001	2011-01-01	MARY FARLEY	2012-10-08
001	2010-01-01	MARY FARLEY	2011-04-16
001	2009-01-01	MARY FARLEY
001	2009-01-01	MUST MATCH DOL CREDENTIALS
001	2009-01-01	MARY FARLEY

Plan Statistics for CLEVELAND EYE CLINIC & COMPANIES 401K PLAN

401k plan membership statisitcs for CLEVELAND EYE CLINIC & COMPANIES 401K PLAN

Measure Date Value
2020: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 165
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 0
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 170
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 130
Number of retired or separated participants receiving benefits 2019-01-01 13
Number of other retired or separated participants entitled to future benefits 2019-01-01 22
Total of all active and inactive participants 2019-01-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 165
Number of participants with account balances 2019-01-01 107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 146
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 111
Number of retired or separated participants receiving benefits 2018-01-01 16
Number of other retired or separated participants entitled to future benefits 2018-01-01 21
Total of all active and inactive participants 2018-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 148
Number of participants with account balances 2018-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 133
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 103
Number of retired or separated participants receiving benefits 2017-01-01 15
Number of other retired or separated participants entitled to future benefits 2017-01-01 17
Total of all active and inactive participants 2017-01-01 135
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 135
Number of participants with account balances 2017-01-01 95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 123
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 97
Number of retired or separated participants receiving benefits 2016-01-01 10
Number of other retired or separated participants entitled to future benefits 2016-01-01 16
Total of all active and inactive participants 2016-01-01 123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 123
Number of participants with account balances 2016-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2009: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 24
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 29
Number of participants with account balances 2009-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2020: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	165
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	0
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	170
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	130
Number of retired or separated participants receiving benefits	2019-01-01	13
Number of other retired or separated participants entitled to future benefits	2019-01-01	22
Total of all active and inactive participants	2019-01-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	165
Number of participants with account balances	2019-01-01	107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	146
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	111
Number of retired or separated participants receiving benefits	2018-01-01	16
Number of other retired or separated participants entitled to future benefits	2018-01-01	21
Total of all active and inactive participants	2018-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	148
Number of participants with account balances	2018-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	133
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	103
Number of retired or separated participants receiving benefits	2017-01-01	15
Number of other retired or separated participants entitled to future benefits	2017-01-01	17
Total of all active and inactive participants	2017-01-01	135
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	135
Number of participants with account balances	2017-01-01	95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	123
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	97
Number of retired or separated participants receiving benefits	2016-01-01	10
Number of other retired or separated participants entitled to future benefits	2016-01-01	16
Total of all active and inactive participants	2016-01-01	123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	123
Number of participants with account balances	2016-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2009: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	24
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	29
Number of participants with account balances	2009-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CLEVELAND EYE CLINIC & COMPANIES 401K PLAN

Measure	Date	Value
2020 : CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-04-30	$0
Total transfer of assets to this plan	2020-04-30	$0
Total transfer of assets from this plan	2020-04-30	$49,842
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-04-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-04-30	$0
Expenses. Interest paid	2020-04-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2020-04-30	$0
Total income from all sources (including contributions)	2020-04-30	$-506,085
Total loss/gain on sale of assets	2020-04-30	$0
Total of all expenses incurred	2020-04-30	$4,834,379
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-04-30	$4,816,687
Expenses. Certain deemed distributions of participant loans	2020-04-30	$0
Value of total corrective distributions	2020-04-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-04-30	$53,894
Value of total assets at end of year	2020-04-30	$0
Value of total assets at beginning of year	2020-04-30	$5,390,306
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-04-30	$17,692
Total interest from all sources	2020-04-30	$395
Total dividends received (eg from common stock, registered investment company shares)	2020-04-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-04-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2020-04-30	$0
Administrative expenses professional fees incurred	2020-04-30	$17,692
Was this plan covered by a fidelity bond	2020-04-30	Yes
Value of fidelity bond cover	2020-04-30	$500,000
If this is an individual account plan, was there a blackout period	2020-04-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-04-30	$0
Were there any nonexempt tranactions with any party-in-interest	2020-04-30	No
Contributions received from participants	2020-04-30	$33,365
Assets. Loans (other than to participants) at end of year	2020-04-30	$0
Assets. Loans (other than to participants) at beginning of year	2020-04-30	$51,266
Other income not declared elsewhere	2020-04-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-04-30	No
Value of net income/loss	2020-04-30	$-5,340,464
Value of net assets at end of year (total assets less liabilities)	2020-04-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-04-30	$5,390,306
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-04-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-04-30	No
Were any leases to which the plan was party in default or uncollectible	2020-04-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-04-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-04-30	$5,293,154
Interest on participant loans	2020-04-30	$395
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-04-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-04-30	$45,886
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-04-30	$-560,374
Net investment gain/loss from pooled separate accounts	2020-04-30	$0
Net investment gain or loss from common/collective trusts	2020-04-30	$0
Net gain/loss from 103.12 investment entities	2020-04-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-04-30	No
Was there a failure to transmit to the plan any participant contributions	2020-04-30	No
Has the plan failed to provide any benefit when due under the plan	2020-04-30	No
Contributions received in cash from employer	2020-04-30	$20,529
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-04-30	$4,816,687
Did the plan have assets held for investment	2020-04-30	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	2020-04-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-04-30	Yes
Opinion of an independent qualified public accountant for this plan	2020-04-30	Disclaimer
Accountancy firm name	2020-04-30	HOBE & LUCAS, CERTIFIED PUBLIC ACC
Accountancy firm EIN	2020-04-30	311488076
2019 : CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$1,501,115
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$83,711
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$80,212
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$584,064
Value of total assets at end of year	2019-12-31	$5,390,306
Value of total assets at beginning of year	2019-12-31	$3,972,902
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$3,499
Total interest from all sources	2019-12-31	$2,990
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$347,033
Participant contributions at end of year	2019-12-31	$51,266
Participant contributions at beginning of year	2019-12-31	$49,684
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$48,246
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$1,417,404
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$5,390,306
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$3,972,902
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$5,293,154
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$3,653,561
Interest on participant loans	2019-12-31	$2,990
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$45,886
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$109,469
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$914,061
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$188,785
Employer contributions (assets) at end of year	2019-12-31	$0
Employer contributions (assets) at beginning of year	2019-12-31	$160,188
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$80,212
Contract administrator fees	2019-12-31	$3,499
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	HOBE & LUCAS, CERTIFIED PUBLIC ACC
Accountancy firm EIN	2019-12-31	311488076
2018 : CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$196,102
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$140,411
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$139,833
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$480,359
Value of total assets at end of year	2018-12-31	$3,972,902
Value of total assets at beginning of year	2018-12-31	$3,917,211
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$578
Total interest from all sources	2018-12-31	$2,108
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$276,813
Participant contributions at end of year	2018-12-31	$49,684
Participant contributions at beginning of year	2018-12-31	$31,795
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$12,889
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$36,272
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$55,691
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$3,972,902
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$3,917,211
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$3,653,561
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$3,576,927
Interest on participant loans	2018-12-31	$2,108
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$109,469
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$126,863
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-286,365
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$167,274
Employer contributions (assets) at end of year	2018-12-31	$160,188
Employer contributions (assets) at beginning of year	2018-12-31	$168,737
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$139,833
Contract administrator fees	2018-12-31	$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	2018-12-31	No
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	HOBE & LUCAS, CERTIFIED PUBLIC ACC
Accountancy firm EIN	2018-12-31	311488076
2017 : CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$969,579
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$113,201
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$105,954
Expenses. Certain deemed distributions of participant loans	2017-12-31	$6,681
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$442,490
Value of total assets at end of year	2017-12-31	$3,917,211
Value of total assets at beginning of year	2017-12-31	$3,060,833
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$566
Total interest from all sources	2017-12-31	$1,082
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$275,670
Participant contributions at end of year	2017-12-31	$31,795
Participant contributions at beginning of year	2017-12-31	$26,545
Participant contributions at end of year	2017-12-31	$12,889
Participant contributions at beginning of year	2017-12-31	$37,904
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$3,127
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$856,378
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$3,917,211
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$3,060,833
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$3,576,927
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$2,618,145
Value of interest in pooled separate accounts at end of year	2017-12-31	$3,576,927
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$2,618,145
Interest on participant loans	2017-12-31	$1,082
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$126,863
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$228,157
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$526,007
Net investment gain/loss from pooled separate accounts	2017-12-31	$526,007
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$163,693
Employer contributions (assets) at end of year	2017-12-31	$168,737
Employer contributions (assets) at beginning of year	2017-12-31	$150,082
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$105,954
Contract administrator fees	2017-12-31	$566
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	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	HOBE & LUCAS, CERTIFIED PUBLIC ACC
Accountancy firm EIN	2017-12-31	311488076
2016 : CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$699,966
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$133,569
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$129,821
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$422,078
Value of total assets at end of year	2016-12-31	$3,063,555
Value of total assets at beginning of year	2016-12-31	$2,497,158
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$3,748
Total interest from all sources	2016-12-31	$882
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$264,038
Participant contributions at end of year	2016-12-31	$26,545
Participant contributions at beginning of year	2016-12-31	$18,564
Participant contributions at end of year	2016-12-31	$37,904
Participant contributions at beginning of year	2016-12-31	$25
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$5,236
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$566,397
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$3,063,555
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$2,497,158
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$2,618,145
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$2,478,569
Interest on participant loans	2016-12-31	$882
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$228,157
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$277,006
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$152,804
Employer contributions (assets) at end of year	2016-12-31	$152,804
Employer contributions (assets) at beginning of year	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$129,821
Contract administrator fees	2016-12-31	$3,748
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	2016-12-31	Yes
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
2009 : CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for CLEVELAND EYE CLINIC & COMPANIES 401K PLAN

2020: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	Yes
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2020-01-01	Plan is a collectively bargained plan	No
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: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	Yes
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2009: CLEVELAND EYE CLINIC & COMPANIES 401K PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

923-80029

Policy instance

Insurance contract or identification number	923-80029
Number of Individuals Covered	0
Insurance policy start date	2020-01-01
Insurance policy end date	2020-04-30
Total amount of commissions paid to insurance broker	USD $131
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $131
Insurance broker organization code?	3

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

923-80029

Policy instance

Insurance contract or identification number	923-80029
Number of Individuals Covered	107
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $432
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $432
Insurance broker organization code?	3

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

923-80029

Policy instance

Insurance contract or identification number	923-80029
Number of Individuals Covered	94
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $1,052
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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?	Yes
Commission paid to Insurance Broker	USD $1,052
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY SMITH BARNEY LL

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Company Name:	NORTHERN OHIO EYE CONSULTANTS, INC. DBA CLEVELAND EYE CLINIC
Employer identification number (EIN):	841622399
NAIC Classification:	621320
NAIC Description:	Offices of Optometrists