401k Plan data: FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN plan

FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN 401k Plan overview

Plan Name	FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN
Plan identification number	002

FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
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

FRANK E. ROOFE, III OD PA has sponsored the creation of one or more 401k plans.

Company Name: FRANK E. ROOFE, III OD PA

Employer identification number (EIN): 205212044

NAIC Classification: 621320
NAIC Description: Offices of Optometrists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 FRANK E ROOFE 2017-10-27 FRANK E ROOFE 2017-10-27
002 2016-01-01 FRANK E ROOFE, III 2017-05-23 FRANK E ROOFE, III 2017-05-23
002 2015-01-01 FRANK E ROOFE III 2016-07-22 FRANK E ROOFE III 2016-07-22
002 2014-01-01 FRANK E ROOFE III 2016-07-22 FRANK E ROOFE III 2016-07-22
002 2014-01-01 FRANK E ROOFE LLL 2015-06-30 FRANK E ROOFE LLL 2015-06-30
002 2013-01-01 FRANK E. ROOFE 2014-07-10
002 2012-01-01 FRANK E. ROOFE, III 2013-07-16 FRANK E. ROOFE, III 2013-07-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2017-01-01	FRANK E ROOFE	2017-10-27	FRANK E ROOFE	2017-10-27
002	2016-01-01	FRANK E ROOFE, III	2017-05-23	FRANK E ROOFE, III	2017-05-23
002	2015-01-01	FRANK E ROOFE III	2016-07-22	FRANK E ROOFE III	2016-07-22
002	2014-01-01	FRANK E ROOFE III	2016-07-22	FRANK E ROOFE III	2016-07-22
002	2014-01-01	FRANK E ROOFE LLL	2015-06-30	FRANK E ROOFE LLL	2015-06-30
002	2013-01-01	FRANK E. ROOFE	2014-07-10
002	2012-01-01	FRANK E. ROOFE, III	2013-07-16	FRANK E. ROOFE, III	2013-07-16

Plan Statistics for FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN

401k plan membership statisitcs for FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN

Measure Date Value
2017: FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN 2017 401k membership
Market value of plan assets 2017-08-30 1,008,508
Acturial value of plan assets 2017-08-30 1,008,508
Funding target for retired participants and beneficiaries receiving payment 2017-08-30 0
Number of terminated vested participants 2017-08-30 1
Fundng target for terminated vested participants 2017-08-30 291
Active participant vested funding target 2017-08-30 829,725
Number of active participants 2017-08-30 2
Total funding liabilities for active participants 2017-08-30 829,725
Total participant count 2017-08-30 3
Total funding target for all participants 2017-08-30 830,016
Balance at beginning of prior year after applicable adjustments 2017-08-30 0
Prefunding balance at beginning of prior year after applicable adjustments 2017-08-30 0
Carryover balanced portion elected for use to offset prior years funding requirement 2017-08-30 0
Prefunding balanced used to offset prior years funding requirement 2017-08-30 0
Amount remaining of carryover balance 2017-08-30 0
Amount remaining of prefunding balance 2017-08-30 0
Present value of excess contributions 2017-08-30 172,847
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2017-08-30 172,847
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2017-08-30 0
Reductions in caryover balances due to elections or deemed elections 2017-08-30 0
Reductions in prefunding balances due to elections or deemed elections 2017-08-30 0
Balance of carryovers at beginning of current year 2017-08-30 0
Balance of prefunding at beginning of current year 2017-08-30 0
Total employer contributions 2017-08-30 183,017
Total employee contributions 2017-08-30 0
Contributions allocated toward unpaid minimum require contributions from prior years 2017-08-30 0
Contributions made to avoid restrictions adjusted to valuation date 2017-08-30 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2017-08-30 180,728
Unpaid minimum required contributions for all prior years 2017-08-30 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2017-08-30 0
Remaining amount of unpaid minimum required contributions 2017-08-30 0
Minimum required contributions for current year target normal cost 2017-08-30 79,817
Net shortfall amortization installment of oustanding balance 2017-08-30 0
Total funding amount beforereflecting carryover/prefunding balances 2017-08-30 0
Carryover balance elected to use to offset funding requirement 2017-08-30 0
Prefunding balance elected to use to offset funding requirement 2017-08-30 0
Additional cash requirement 2017-08-30 0
Contributions allocatedtoward minimum required contributions for current year 2017-08-30 180,728
Unpaid minimum required contributions for current year 2017-08-30 0
Unpaid minimum required contributions for all years 2017-08-30 0
2016: FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN 2016 401k membership
Market value of plan assets 2016-12-31 734,517
Acturial value of plan assets 2016-12-31 734,517
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 0
Number of terminated vested participants 2016-12-31 0
Fundng target for terminated vested participants 2016-12-31 0
Active participant vested funding target 2016-12-31 489,838
Number of active participants 2016-12-31 3
Total funding liabilities for active participants 2016-12-31 612,298
Total participant count 2016-12-31 3
Total funding target for all participants 2016-12-31 612,298
Balance at beginning of prior year after applicable adjustments 2016-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 0
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 0
Amount remaining of carryover balance 2016-12-31 0
Amount remaining of prefunding balance 2016-12-31 0
Present value of excess contributions 2016-12-31 100,984
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 100,984
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 0
Balance of prefunding at beginning of current year 2016-12-31 0
Total employer contributions 2016-12-31 230,000
Total employee contributions 2016-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 230,202
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 179,574
Net shortfall amortization installment of oustanding balance 2016-12-31 0
Waiver amortization installment 2016-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 57,355
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 0
Additional cash requirement 2016-12-31 57,355
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 230,202
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0

Measure	Date	Value
2017: FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN 2017 401k membership
Market value of plan assets	2017-08-30	1,008,508
Acturial value of plan assets	2017-08-30	1,008,508
Funding target for retired participants and beneficiaries receiving payment	2017-08-30	0
Number of terminated vested participants	2017-08-30	1
Fundng target for terminated vested participants	2017-08-30	291
Active participant vested funding target	2017-08-30	829,725
Number of active participants	2017-08-30	2
Total funding liabilities for active participants	2017-08-30	829,725
Total participant count	2017-08-30	3
Total funding target for all participants	2017-08-30	830,016
Balance at beginning of prior year after applicable adjustments	2017-08-30	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-08-30	0
Carryover balanced portion elected for use to offset prior years funding requirement	2017-08-30	0
Prefunding balanced used to offset prior years funding requirement	2017-08-30	0
Amount remaining of carryover balance	2017-08-30	0
Amount remaining of prefunding balance	2017-08-30	0
Present value of excess contributions	2017-08-30	172,847
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-08-30	172,847
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-08-30	0
Reductions in caryover balances due to elections or deemed elections	2017-08-30	0
Reductions in prefunding balances due to elections or deemed elections	2017-08-30	0
Balance of carryovers at beginning of current year	2017-08-30	0
Balance of prefunding at beginning of current year	2017-08-30	0
Total employer contributions	2017-08-30	183,017
Total employee contributions	2017-08-30	0
Contributions allocated toward unpaid minimum require contributions from prior years	2017-08-30	0
Contributions made to avoid restrictions adjusted to valuation date	2017-08-30	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-08-30	180,728
Unpaid minimum required contributions for all prior years	2017-08-30	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-08-30	0
Remaining amount of unpaid minimum required contributions	2017-08-30	0
Minimum required contributions for current year target normal cost	2017-08-30	79,817
Net shortfall amortization installment of oustanding balance	2017-08-30	0
Total funding amount beforereflecting carryover/prefunding balances	2017-08-30	0
Carryover balance elected to use to offset funding requirement	2017-08-30	0
Prefunding balance elected to use to offset funding requirement	2017-08-30	0
Additional cash requirement	2017-08-30	0
Contributions allocatedtoward minimum required contributions for current year	2017-08-30	180,728
Unpaid minimum required contributions for current year	2017-08-30	0
Unpaid minimum required contributions for all years	2017-08-30	0
2016: FRANK E. ROOFE, III OD PA DEFINED BENEFIT PENSION PLAN 2016 401k membership
Market value of plan assets	2016-12-31	734,517
Acturial value of plan assets	2016-12-31	734,517
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	0
Number of terminated vested participants	2016-12-31	0
Fundng target for terminated vested participants	2016-12-31	0
Active participant vested funding target	2016-12-31	489,838
Number of active participants	2016-12-31	3
Total funding liabilities for active participants	2016-12-31	612,298
Total participant count	2016-12-31	3
Total funding target for all participants	2016-12-31	612,298
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	0
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	0
Present value of excess contributions	2016-12-31	100,984
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	100,984
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	0
Total employer contributions	2016-12-31	230,000
Total employee contributions	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	230,202
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	179,574
Net shortfall amortization installment of oustanding balance	2016-12-31	0
Waiver amortization installment	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	57,355
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	0
Additional cash requirement	2016-12-31	57,355
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	230,202
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0

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Company Name:	FRANK E. ROOFE, III OD PA
Employer identification number (EIN):	205212044
NAIC Classification:	621320
NAIC Description:	Offices of Optometrists