JOHN K. FLAHERTY & ASSOCIATES, LTD. CASH BALANCE PENSION PLAN & TRUST 401k Plan overview

JOHN K. FLAHERTY & ASSOCIATES, LTD. CASH BALANCE PENSION PLAN & TRUST Benefits

401k Sponsoring company profile

Company Name:	JOHN K. FLAHERTY & ASSOCIATES, LTD.
Employer identification number (EIN):	363745114
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants

Form 5500 Filing Information

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2019-01-01	JOHN K FLAHERTY	2020-07-09	JOHN K FLAHERTY	2020-07-09
002	2018-01-01	JOHN FLAHERTY	2019-10-02	JOHN FLAHERTY	2019-10-02
002	2017-01-01	JOHN FLAHERTY	2018-10-09	JOHN FLAHERTY	2018-10-09
002	2016-01-01	JOHN FLAHERTY	2017-09-21	JOHN FLAHERTY	2017-09-21
002	2015-01-01	JOHN FLAHERTY	2016-09-29	JOHN FLAHERTY	2016-09-29
002	2014-01-01	JOHN K. FLAHERTY	2015-10-06	JOHN K. FLAHERTY	2015-10-06
002	2013-01-01	PATRICIA JOHNSON	2014-10-06	PATRICIA JOHNSON	2014-10-06

Plan Statistics for JOHN K. FLAHERTY & ASSOCIATES, LTD. CASH BALANCE PENSION PLAN & TRUST

Measure	Date	Value
2018: JOHN K. FLAHERTY & ASSOCIATES, LTD. CASH BALANCE PENSION PLAN & TRUST 2018 401k membership
Market value of plan assets	2018-12-31	1,419,764
Acturial value of plan assets	2018-12-31	1,419,764
Funding target for retired participants and beneficiaries receiving payment	2018-12-31	0
Number of terminated vested participants	2018-12-31	0
Fundng target for terminated vested participants	2018-12-31	0
Active participant vested funding target	2018-12-31	1,441,523
Number of active participants	2018-12-31	10
Total funding liabilities for active participants	2018-12-31	1,441,523
Total participant count	2018-12-31	10
Total funding target for all participants	2018-12-31	1,441,523
Balance at beginning of prior year after applicable adjustments	2018-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2018-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2018-12-31	0
Prefunding balanced used to offset prior years funding requirement	2018-12-31	0
Amount remaining of carryover balance	2018-12-31	0
Amount remaining of prefunding balance	2018-12-31	0
Present value of excess contributions	2018-12-31	107,545
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2018-12-31	107,545
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2018-12-31	0
Reductions in caryover balances due to elections or deemed elections	2018-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2018-12-31	0
Balance of carryovers at beginning of current year	2018-12-31	0
Balance of prefunding at beginning of current year	2018-12-31	0
Total employer contributions	2018-12-31	197,293
Total employee contributions	2018-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2018-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2018-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2018-12-31	187,078
Liquidity shortfalls end of Q1	2018-12-31	0
Liquidity shortfalls end of Q2	2018-12-31	0
Liquidity shortfalls end of Q3	2018-12-31	0
Liquidity shortfalls end of Q4	2018-12-31	0
Unpaid minimum required contributions for all prior years	2018-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2018-12-31	0
Remaining amount of unpaid minimum required contributions	2018-12-31	0
Minimum required contributions for current year target normal cost	2018-12-31	159,906
Net shortfall amortization installment of oustanding balance	2018-12-31	21,759
Waiver amortization installment	2018-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2018-12-31	165,974
Carryover balance elected to use to offset funding requirement	2018-12-31	0
Prefunding balance elected to use to offset funding requirement	2018-12-31	0
Additional cash requirement	2018-12-31	165,974
Contributions allocatedtoward minimum required contributions for current year	2018-12-31	187,078
Unpaid minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for all years	2018-12-31	0
2017: JOHN K. FLAHERTY & ASSOCIATES, LTD. CASH BALANCE PENSION PLAN & TRUST 2017 401k membership
Market value of plan assets	2017-12-31	1,183,911
Acturial value of plan assets	2017-12-31	1,183,911
Funding target for retired participants and beneficiaries receiving payment	2017-12-31	0
Number of terminated vested participants	2017-12-31	1
Fundng target for terminated vested participants	2017-12-31	48,559
Active participant vested funding target	2017-12-31	1,197,469
Number of active participants	2017-12-31	9
Total funding liabilities for active participants	2017-12-31	1,197,469
Total participant count	2017-12-31	10
Total funding target for all participants	2017-12-31	1,246,028
Balance at beginning of prior year after applicable adjustments	2017-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2017-12-31	0
Prefunding balanced used to offset prior years funding requirement	2017-12-31	0
Amount remaining of carryover balance	2017-12-31	0
Amount remaining of prefunding balance	2017-12-31	0
Present value of excess contributions	2017-12-31	9,160
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-12-31	9,160
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-12-31	0
Reductions in caryover balances due to elections or deemed elections	2017-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2017-12-31	0
Balance of carryovers at beginning of current year	2017-12-31	0
Balance of prefunding at beginning of current year	2017-12-31	0
Total employer contributions	2017-12-31	285,272
Total employee contributions	2017-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2017-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2017-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-12-31	276,860
Liquidity shortfalls end of Q1	2017-12-31	0
Liquidity shortfalls end of Q2	2017-12-31	0
Liquidity shortfalls end of Q3	2017-12-31	0
Liquidity shortfalls end of Q4	2017-12-31	0
Unpaid minimum required contributions for all prior years	2017-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-12-31	0
Remaining amount of unpaid minimum required contributions	2017-12-31	0
Minimum required contributions for current year target normal cost	2017-12-31	158,020
Net shortfall amortization installment of oustanding balance	2017-12-31	62,117
Waiver amortization installment	2017-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2017-12-31	169,315
Carryover balance elected to use to offset funding requirement	2017-12-31	0
Prefunding balance elected to use to offset funding requirement	2017-12-31	0
Additional cash requirement	2017-12-31	169,315
Contributions allocatedtoward minimum required contributions for current year	2017-12-31	276,860
Unpaid minimum required contributions for current year	2017-12-31	0
Unpaid minimum required contributions for all years	2017-12-31	0
2016: JOHN K. FLAHERTY & ASSOCIATES, LTD. CASH BALANCE PENSION PLAN & TRUST 2016 401k membership
Market value of plan assets	2016-12-31	881,632
Acturial value of plan assets	2016-12-31	881,632
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	910,628
Number of active participants	2016-12-31	10
Total funding liabilities for active participants	2016-12-31	910,628
Total participant count	2016-12-31	10
Total funding target for all participants	2016-12-31	910,628
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	26,674
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	26,674
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	296,574
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	286,558
Liquidity shortfalls end of Q1	2016-12-31	0
Liquidity shortfalls end of Q2	2016-12-31	0
Liquidity shortfalls end of Q3	2016-12-31	0
Liquidity shortfalls end of Q4	2016-12-31	0
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	272,164
Net shortfall amortization installment of oustanding balance	2016-12-31	28,996
Waiver amortization installment	2016-12-31	0
Waived amount of outstanding balance	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	277,398
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	277,398
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	286,558
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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