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NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameNORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN
Plan identification number 004

NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • 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

NORTHERN ARIZONA ORTHOPAEDICS, LTD. has sponsored the creation of one or more 401k plans.

Company Name:NORTHERN ARIZONA ORTHOPAEDICS, LTD.
Employer identification number (EIN):860281087
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0042022-01-01
0042021-01-01
0042020-01-01
0042019-01-01JOEL ROHRBOUGH, MD, TRUSTEE2020-10-06
0042018-01-01JOEL ROHRBOUGH, MD, TRUSTEE2019-09-17
0042017-01-01
0042016-01-01
0042015-01-01
0042014-01-01JAMES M. GLOVER
0042013-01-01JAMES M. GLOVER
0042012-01-01JAMES M. GLOVER
0042011-01-01THOMAS L. POTTS
0042010-01-01THOMAS L. POTTS THOMAS L. POTTS2011-10-15
0042009-01-01THOMAS L. POTTS THOMAS L. POTTS2010-10-05

Plan Statistics for NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN

Measure Date Value
2019: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01191
Total number of active participants reported on line 7a of the Form 55002019-01-0114
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0171
Total of all active and inactive participants2019-01-0185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-0185
Number of participants with account balances2019-01-0185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-013
2018: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01192
Total number of active participants reported on line 7a of the Form 55002018-01-0121
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-01168
Total of all active and inactive participants2018-01-01190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01190
Number of participants with account balances2018-01-01190
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-014
2017: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01193
Total number of active participants reported on line 7a of the Form 55002017-01-0168
Number of retired or separated participants receiving benefits2017-01-013
Number of other retired or separated participants entitled to future benefits2017-01-01109
Total of all active and inactive participants2017-01-01180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01180
Number of participants with account balances2017-01-01180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-017
2016: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01195
Total number of active participants reported on line 7a of the Form 55002016-01-0169
Number of retired or separated participants receiving benefits2016-01-0113
Number of other retired or separated participants entitled to future benefits2016-01-01102
Total of all active and inactive participants2016-01-01184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01184
Number of participants with account balances2016-01-01177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-019
2015: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01201
Total number of active participants reported on line 7a of the Form 55002015-01-0172
Number of retired or separated participants receiving benefits2015-01-0110
Number of other retired or separated participants entitled to future benefits2015-01-01107
Total of all active and inactive participants2015-01-01189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01189
Number of participants with account balances2015-01-01176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-014
2014: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01188
Total number of active participants reported on line 7a of the Form 55002014-01-01112
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0170
Total of all active and inactive participants2014-01-01182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01182
Number of participants with account balances2014-01-01169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-017
2013: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01188
Total number of active participants reported on line 7a of the Form 55002013-01-01113
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0167
Total of all active and inactive participants2013-01-01180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01180
Number of participants with account balances2013-01-01167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0113
2012: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01166
Total number of active participants reported on line 7a of the Form 55002012-01-01117
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0156
Total of all active and inactive participants2012-01-01173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01173
Number of participants with account balances2012-01-01162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-016
2011: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01171
Total number of active participants reported on line 7a of the Form 55002011-01-01102
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0156
Total of all active and inactive participants2011-01-01158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01158
Number of participants with account balances2011-01-01148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-019
2010: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01150
Total number of active participants reported on line 7a of the Form 55002010-01-01103
Number of retired or separated participants receiving benefits2010-01-0111
Number of other retired or separated participants entitled to future benefits2010-01-0143
Total of all active and inactive participants2010-01-01157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01157
Number of participants with account balances2010-01-01157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0122
2009: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01134
Total number of active participants reported on line 7a of the Form 55002009-01-01106
Number of retired or separated participants receiving benefits2009-01-018
Number of other retired or separated participants entitled to future benefits2009-01-0124
Total of all active and inactive participants2009-01-01138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01138
Number of participants with account balances2009-01-01138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0112

Financial Data on NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN

Measure Date Value
2019 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at 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 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$2,414,813
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$2,515,548
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,431,918
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,431,918
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$389,027
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$389,027
Value of total assets at end of year2019-12-31$13,042,552
Value of total assets at end of year2019-12-31$13,042,552
Value of total assets at beginning of year2019-12-31$13,143,287
Value of total assets at beginning of year2019-12-31$13,143,287
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$83,630
Total interest from all sources2019-12-31$202
Total interest from all sources2019-12-31$202
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$418,528
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$418,528
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$418,528
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$418,528
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$279,266
Contributions received from participants2019-12-31$279,266
Participant contributions at end of year2019-12-31$0
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$44,168
Participant contributions at beginning of year2019-12-31$44,168
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$-100,735
Value of net assets at end of year (total assets less liabilities)2019-12-31$13,042,552
Value of net assets at end of year (total assets less liabilities)2019-12-31$13,042,552
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$13,143,287
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$13,143,287
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$13,016,705
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$13,016,705
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$12,992,890
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$12,992,890
Interest on participant loans2019-12-31$202
Interest on participant loans2019-12-31$202
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$53,927
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$53,927
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$106,559
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$106,559
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,607,056
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,607,056
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$109,761
Contributions received in cash from employer2019-12-31$109,761
Employer contributions (assets) at end of year2019-12-31$-28,080
Employer contributions (assets) at end of year2019-12-31$-28,080
Employer contributions (assets) at beginning of year2019-12-31$-330
Employer contributions (assets) at beginning of year2019-12-31$-330
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,431,918
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,431,918
Contract administrator fees2019-12-31$83,630
Contract administrator fees2019-12-31$83,630
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31KIMBERLIN COMPANY, PLLC
Accountancy firm name2019-12-31KIMBERLIN COMPANY, PLLC
Accountancy firm EIN2019-12-31455497718
Accountancy firm EIN2019-12-31455497718
2018 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$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$0
Total income from all sources (including contributions)2018-12-31$-323,119
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$582,138
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$487,160
Expenses. Certain deemed distributions of participant loans2018-12-31$3,043
Value of total corrective distributions2018-12-31$86
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$767,057
Value of total assets at end of year2018-12-31$13,143,287
Value of total assets at beginning of year2018-12-31$14,048,544
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$91,849
Total interest from all sources2018-12-31$2,942
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$542,930
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$542,930
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$414,676
Participant contributions at end of year2018-12-31$44,168
Participant contributions at beginning of year2018-12-31$56,426
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$-81
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-905,257
Value of net assets at end of year (total assets less liabilities)2018-12-31$13,143,287
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$14,048,544
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$12,992,890
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$13,875,530
Interest on participant loans2018-12-31$2,942
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$106,559
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$112,684
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,636,048
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$352,381
Employer contributions (assets) at end of year2018-12-31$-330
Employer contributions (assets) at beginning of year2018-12-31$3,985
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$487,160
Contract administrator fees2018-12-31$91,849
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31KIMBERLIN COMPANY, PLLC
Accountancy firm EIN2018-12-31455497718
2017 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$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$2,298,131
Total loss/gain on sale of assets2017-12-31$613,975
Total of all expenses incurred2017-12-31$2,042,019
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,941,443
Expenses. Certain deemed distributions of participant loans2017-12-31$7,646
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$784,411
Value of total assets at end of year2017-12-31$14,048,544
Value of total assets at beginning of year2017-12-31$13,792,432
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$92,930
Total interest from all sources2017-12-31$2,277
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$447,637
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$447,637
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$395,327
Participant contributions at end of year2017-12-31$56,426
Participant contributions at beginning of year2017-12-31$47,317
Participant contributions at end of year2017-12-31$-81
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$59,844
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$445
Other income not declared elsewhere2017-12-31$5,770
Administrative expenses (other) incurred2017-12-31$-2,315
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$256,112
Value of net assets at end of year (total assets less liabilities)2017-12-31$14,048,544
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$13,792,432
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$44,585
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$13,875,530
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$13,363,600
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$2,277
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$112,684
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$444,061
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$329,240
Employer contributions (assets) at end of year2017-12-31$3,985
Employer contributions (assets) at beginning of year2017-12-31$381,070
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,941,443
Contract administrator fees2017-12-31$50,660
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$15,852,268
Aggregate carrying amount (costs) on sale of assets2017-12-31$15,238,293
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31KIMBERLIN COMPANY, PLLC
Accountancy firm EIN2017-12-31455497718
2016 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$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$1,954,034
Total loss/gain on sale of assets2016-12-31$115,716
Total of all expenses incurred2016-12-31$1,801,080
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,688,999
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$851,513
Value of total assets at end of year2016-12-31$13,792,432
Value of total assets at beginning of year2016-12-31$13,639,478
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$112,081
Total interest from all sources2016-12-31$2,087
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$414,214
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$414,214
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$464,317
Participant contributions at end of year2016-12-31$47,317
Participant contributions at beginning of year2016-12-31$18,607
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$4,999
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$445
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$60
Other income not declared elsewhere2016-12-31$68
Administrative expenses (other) incurred2016-12-31$3,823
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$152,954
Value of net assets at end of year (total assets less liabilities)2016-12-31$13,792,432
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$13,639,478
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$54,094
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$13,363,600
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$13,409,393
Interest on participant loans2016-12-31$2,087
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$570,436
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$382,197
Employer contributions (assets) at end of year2016-12-31$381,070
Employer contributions (assets) at beginning of year2016-12-31$211,418
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,688,999
Contract administrator fees2016-12-31$54,164
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$2,922,094
Aggregate carrying amount (costs) on sale of assets2016-12-31$2,806,378
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31KIMBERLIN COMPANY, PLLC
Accountancy firm EIN2016-12-31455497718
2015 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$557,997
Total loss/gain on sale of assets2015-12-31$28,208
Total of all expenses incurred2015-12-31$1,728,820
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,611,578
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$657,404
Value of total assets at end of year2015-12-31$13,639,478
Value of total assets at beginning of year2015-12-31$14,810,301
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$117,242
Total interest from all sources2015-12-31$1,281
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$460,421
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$460,421
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$417,094
Participant contributions at end of year2015-12-31$18,607
Participant contributions at beginning of year2015-12-31$63,746
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$60
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Other income not declared elsewhere2015-12-31$309
Administrative expenses (other) incurred2015-12-31$3,725
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-1,170,823
Value of net assets at end of year (total assets less liabilities)2015-12-31$13,639,478
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$14,810,301
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$58,152
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$13,333,130
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$14,451,953
Interest on participant loans2015-12-31$1,281
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$76,263
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$18,169
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-589,626
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31Yes
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$240,310
Employer contributions (assets) at end of year2015-12-31$211,418
Employer contributions (assets) at beginning of year2015-12-31$276,433
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,611,578
Contract administrator fees2015-12-31$55,365
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$2,038,901
Aggregate carrying amount (costs) on sale of assets2015-12-31$2,010,693
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31RUSS KIMBERLIN, CPA PLLC
Accountancy firm EIN2015-12-31455497718
2014 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$117
Total unrealized appreciation/depreciation of assets2014-12-31$117
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$1,297,672
Total loss/gain on sale of assets2014-12-31$43,643
Total of all expenses incurred2014-12-31$819,772
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$699,519
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$778,622
Value of total assets at end of year2014-12-31$14,810,301
Value of total assets at beginning of year2014-12-31$14,332,401
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$120,253
Total interest from all sources2014-12-31$3,995
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$471,337
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Administrative expenses professional fees incurred2014-12-31$4,000
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$473,913
Participant contributions at end of year2014-12-31$63,746
Participant contributions at beginning of year2014-12-31$78,193
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$13,126
Other income not declared elsewhere2014-12-31$-42
Administrative expenses (other) incurred2014-12-31$189
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$477,900
Value of net assets at end of year (total assets less liabilities)2014-12-31$14,810,301
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$14,332,401
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$58,063
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$14,451,953
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$13,859,754
Interest on participant loans2014-12-31$3,995
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$18,169
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$17,807
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$291,583
Employer contributions (assets) at end of year2014-12-31$276,433
Employer contributions (assets) at beginning of year2014-12-31$376,647
Income. Dividends from common stock2014-12-31$471,337
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$699,519
Contract administrator fees2014-12-31$58,001
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$1,463,830
Aggregate carrying amount (costs) on sale of assets2014-12-31$1,420,187
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31RUSS KIMBERLIN, CPA PLLC
Accountancy firm EIN2014-12-31455497718
2013 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$1,258,546
Total unrealized appreciation/depreciation of assets2013-12-31$1,258,546
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$3,059,437
Total loss/gain on sale of assets2013-12-31$316,156
Total of all expenses incurred2013-12-31$4,686,486
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$4,570,508
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$906,688
Value of total assets at end of year2013-12-31$14,332,401
Value of total assets at beginning of year2013-12-31$15,959,450
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$115,978
Total interest from all sources2013-12-31$4,323
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$420,802
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$498,964
Participant contributions at end of year2013-12-31$78,193
Participant contributions at beginning of year2013-12-31$95,565
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$31,077
Other income not declared elsewhere2013-12-31$156
Administrative expenses (other) incurred2013-12-31$2,990
Total non interest bearing cash at beginning of year2013-12-31$1,368
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$-1,627,049
Value of net assets at end of year (total assets less liabilities)2013-12-31$14,332,401
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$15,959,450
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$53,210
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$13,859,754
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$12,777,851
Interest on participant loans2013-12-31$4,323
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$194,734
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$194,734
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$17,807
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$113,788
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$152,766
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$376,647
Employer contributions (assets) at end of year2013-12-31$376,647
Employer contributions (assets) at beginning of year2013-12-31$828,416
Income. Dividends from common stock2013-12-31$420,802
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$4,570,508
Contract administrator fees2013-12-31$59,778
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$1,947,728
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$6,786,192
Aggregate carrying amount (costs) on sale of assets2013-12-31$6,470,036
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31RUSS KIMBERLIN, CPA PLLC
Accountancy firm EIN2013-12-31455497718
2012 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$913,615
Total unrealized appreciation/depreciation of assets2012-12-31$913,615
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$2,844,142
Total loss/gain on sale of assets2012-12-31$40,275
Total of all expenses incurred2012-12-31$201,233
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$98,975
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,347,842
Value of total assets at end of year2012-12-31$15,959,450
Value of total assets at beginning of year2012-12-31$13,316,541
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$102,258
Total interest from all sources2012-12-31$5,736
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$427,039
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$518,210
Participant contributions at end of year2012-12-31$95,565
Participant contributions at beginning of year2012-12-31$116,843
Participant contributions at beginning of year2012-12-31$59,840
Administrative expenses (other) incurred2012-12-31$5,338
Total non interest bearing cash at end of year2012-12-31$1,368
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$2,642,909
Value of net assets at end of year (total assets less liabilities)2012-12-31$15,959,450
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$13,316,541
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$42,514
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$12,777,851
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$10,283,590
Interest on participant loans2012-12-31$5,736
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$194,734
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$321,009
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$321,009
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$113,788
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$109,459
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$3,780
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$109,635
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$829,632
Employer contributions (assets) at end of year2012-12-31$828,416
Employer contributions (assets) at beginning of year2012-12-31$766,192
Income. Dividends from common stock2012-12-31$427,039
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$95,195
Contract administrator fees2012-12-31$54,406
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$1,947,728
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$1,659,608
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$617,459
Aggregate carrying amount (costs) on sale of assets2012-12-31$577,184
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31RUSS KIMBERLIN, CPA PLLC
Accountancy firm EIN2012-12-31455497718
2011 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-529,866
Total unrealized appreciation/depreciation of assets2011-12-31$-529,866
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$891,647
Total loss/gain on sale of assets2011-12-31$-31,037
Total of all expenses incurred2011-12-31$854,115
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$755,391
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,220,710
Value of total assets at end of year2011-12-31$13,316,541
Value of total assets at beginning of year2011-12-31$13,279,009
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$98,724
Total interest from all sources2011-12-31$4,310
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$293,132
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$97,388
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$447,530
Participant contributions at end of year2011-12-31$116,843
Participant contributions at beginning of year2011-12-31$77,140
Participant contributions at end of year2011-12-31$59,840
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$6,988
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$2,317,923
Other income not declared elsewhere2011-12-31$365
Administrative expenses (other) incurred2011-12-31$1,336
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$37,532
Value of net assets at end of year (total assets less liabilities)2011-12-31$13,316,541
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$13,279,009
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$10,283,590
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$9,816,931
Interest on participant loans2011-12-31$4,310
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$321,009
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$371
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$371
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$109,459
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$106,602
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-65,967
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$766,192
Employer contributions (assets) at end of year2011-12-31$766,192
Employer contributions (assets) at beginning of year2011-12-31$960,042
Income. Dividends from common stock2011-12-31$293,132
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$755,391
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$1,659,608
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$1,381,140
Aggregate carrying amount (costs) on sale of assets2011-12-31$1,412,177
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31RUSS KIMBERLIN, CPA PLLC
Accountancy firm EIN2011-12-31455497718
2010 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$12,694
Total income from all sources (including contributions)2010-12-31$2,844,435
Total loss/gain on sale of assets2010-12-31$190,557
Total of all expenses incurred2010-12-31$245,116
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$164,631
Expenses. Certain deemed distributions of participant loans2010-12-31$2,725
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,433,578
Value of total assets at end of year2010-12-31$13,279,009
Value of total assets at beginning of year2010-12-31$10,692,384
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$77,760
Total interest from all sources2010-12-31$8,189
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$294,968
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$294,968
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$473,847
Participant contributions at end of year2010-12-31$77,140
Participant contributions at beginning of year2010-12-31$37,600
Participant contributions at beginning of year2010-12-31$17,035
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$1,474
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$2,317,923
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$11,654
Other income not declared elsewhere2010-12-31$12,161
Administrative expenses (other) incurred2010-12-31$72,015
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,599,319
Value of net assets at end of year (total assets less liabilities)2010-12-31$13,279,009
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$10,679,690
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$9,816,931
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$7,450,473
Interest on participant loans2010-12-31$3,953
Interest earned on other investments2010-12-31$4,236
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$371
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$81,573
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$81,573
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$106,602
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$179,371
Asset value of US Government securities at beginning of year2010-12-31$80,539
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$904,982
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$958,257
Employer contributions (assets) at end of year2010-12-31$960,042
Employer contributions (assets) at beginning of year2010-12-31$929,568
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$164,631
Contract administrator fees2010-12-31$5,745
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$1,916,225
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$1,040
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$190,557
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31MANSPERGER PATTERSON & MCMULLIN PLC
Accountancy firm EIN2010-12-31860751928
2009 : NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN

2019: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: NORTHERN ARIZONA ORTHOPAEDICS, LTD. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number502551-01
Policy instance 1
Insurance contract or identification number502551-01
Number of Individuals Covered0
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?1
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number502551-01
Policy instance 1
Insurance contract or identification number502551-01
Number of Individuals Covered1
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?1
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number1190882140
Policy instance 1
Insurance contract or identification number1190882140
Number of Individuals Covered0
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number1190882140
Policy instance 1
Insurance contract or identification number1190882140
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number1190882140
Policy instance 2
Insurance contract or identification number1190882140
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number4028335
Policy instance 1
Insurance contract or identification number4028335
Number of Individuals Covered0
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number1190882140
Policy instance 2
Insurance contract or identification number1190882140
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number4028335
Policy instance 1
Insurance contract or identification number4028335
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number1190882140
Policy instance 1
Insurance contract or identification number1190882140
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number4028335
Policy instance 2
Insurance contract or identification number4028335
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE CO. OF AMERICA (National Association of Insurance Commissioners NAIC id number: 25453 )
Policy contract number4028335
Policy instance 1
Insurance contract or identification number4028335
Number of Individuals Covered2
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No

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