401k Plan data: THE KAFAFIAN GROUP 401K PLAN plan

THE KAFAFIAN GROUP 401K PLAN 401k Plan overview

Plan Name	THE KAFAFIAN GROUP 401K PLAN
Plan identification number	001

THE KAFAFIAN GROUP 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

THE KAFAFIAN GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: THE KAFAFIAN GROUP, INC.

Employer identification number (EIN): 223838771

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE KAFAFIAN GROUP 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 ROBERT E. KAFAFIAN 2023-10-10
001 2021-01-01 ROBERT E. KAFAFIAN 2022-06-09 BARBARA J. BUSS 2022-06-09
001 2020-01-01 ROBERT E. KAFAFIAN 2021-06-15 BARBARA BUSS 2021-06-15
001 2019-01-01 ROBERT E. KAFAFIAN 2020-07-02 BARBARA J. BUSS 2020-07-02
001 2018-01-01 ROBERT E. KAFAFAIN 2019-07-12 BARBARA J.BUSS 2019-07-12
001 2017-01-01 BARBARA J. BUSS 2018-07-09 ROBERT E. KAFAFIAN 2018-07-09
001 2016-01-01 ROBERT E. KAFAIAN 2017-07-11 BARBARA J BUSS 2017-07-11
001 2015-01-01 ROBERT E. KAFAFIAN 2016-07-25 BARBARA BUSS 2016-07-25
001 2014-01-01 ROBERT E. KAFAFIAN
001 2013-01-01 ROBERT E. KAFAFIAN 2014-05-30
001 2012-01-01 ROBERT E. KAFAFIAN 2013-07-15
001 2011-01-01 ROBERT E. KAFAFIAN
001 2010-01-01 ROBERT E. KAFAFIAN
001 2009-01-01 ROBERT E. KAFAFIAN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	ROBERT E. KAFAFIAN	2023-10-10
001	2021-01-01	ROBERT E. KAFAFIAN	2022-06-09	BARBARA J. BUSS	2022-06-09
001	2020-01-01	ROBERT E. KAFAFIAN	2021-06-15	BARBARA BUSS	2021-06-15
001	2019-01-01	ROBERT E. KAFAFIAN	2020-07-02	BARBARA J. BUSS	2020-07-02
001	2018-01-01	ROBERT E. KAFAFAIN	2019-07-12	BARBARA J.BUSS	2019-07-12
001	2017-01-01	BARBARA J. BUSS	2018-07-09	ROBERT E. KAFAFIAN	2018-07-09
001	2016-01-01	ROBERT E. KAFAIAN	2017-07-11	BARBARA J BUSS	2017-07-11
001	2015-01-01	ROBERT E. KAFAFIAN	2016-07-25	BARBARA BUSS	2016-07-25
001	2014-01-01	ROBERT E. KAFAFIAN
001	2013-01-01	ROBERT E. KAFAFIAN	2014-05-30
001	2012-01-01	ROBERT E. KAFAFIAN	2013-07-15
001	2011-01-01	ROBERT E. KAFAFIAN
001	2010-01-01	ROBERT E. KAFAFIAN
001	2009-01-01	ROBERT E. KAFAFIAN

Plan Statistics for THE KAFAFIAN GROUP 401K PLAN

401k plan membership statisitcs for THE KAFAFIAN GROUP 401K PLAN

Measure Date Value
2014: THE KAFAFIAN GROUP 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 12
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 12
Number of participants with account balances 2014-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2011: THE KAFAFIAN GROUP 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 14
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 14
Number of participants with account balances 2011-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: THE KAFAFIAN GROUP 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 12
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 12
Number of participants with account balances 2010-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: THE KAFAFIAN GROUP 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 12
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 13
Total participants 2009-01-01 13
Number of participants with account balances 2009-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: THE KAFAFIAN GROUP 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	12
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	12
Number of participants with account balances	2014-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2011: THE KAFAFIAN GROUP 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	14
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	14
Number of participants with account balances	2011-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: THE KAFAFIAN GROUP 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	12
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	12
Number of participants with account balances	2010-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: THE KAFAFIAN GROUP 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	12
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	13
Total participants	2009-01-01	13
Number of participants with account balances	2009-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on THE KAFAFIAN GROUP 401K PLAN

Measure	Date	Value
2014 : THE KAFAFIAN GROUP 401K PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$196,477
Expenses. Total of all expenses incurred	2014-12-31	$101,208
Benefits paid (including direct rollovers)	2014-12-31	$101,183
Total plan assets at end of year	2014-12-31	$1,418,528
Total plan assets at beginning of year	2014-12-31	$1,323,259
Value of fidelity bond covering the plan	2014-12-31	$175,000
Total contributions received or receivable from participants	2014-12-31	$98,949
Expenses. Other expenses not covered elsewhere	2014-12-31	$25
Contributions received from other sources (not participants or employers)	2014-12-31	$981
Other income received	2014-12-31	$42,353
Net income (gross income less expenses)	2014-12-31	$95,269
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,418,528
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,323,259
Assets. Value of participant loans	2014-12-31	$0
Total contributions received or receivable from employer(s)	2014-12-31	$54,194
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2011 : THE KAFAFIAN GROUP 401K PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$125,314
Expenses. Total of all expenses incurred	2011-12-31	$5,251
Total plan assets at end of year	2011-12-31	$898,904
Total plan assets at beginning of year	2011-12-31	$778,841
Value of fidelity bond covering the plan	2011-12-31	$100,000
Total contributions received or receivable from participants	2011-12-31	$91,365
Other income received	2011-12-31	$-11,482
Net income (gross income less expenses)	2011-12-31	$120,063
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$898,904
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$778,841
Total contributions received or receivable from employer(s)	2011-12-31	$45,431
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$5,251
2010 : THE KAFAFIAN GROUP 401K PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$207,219
Expenses. Total of all expenses incurred	2010-12-31	$4,198
Benefits paid (including direct rollovers)	2010-12-31	$203
Total plan assets at end of year	2010-12-31	$778,841
Total plan assets at beginning of year	2010-12-31	$575,820
Value of fidelity bond covering the plan	2010-12-31	$37,000
Total contributions received or receivable from participants	2010-12-31	$86,891
Other income received	2010-12-31	$76,860
Net income (gross income less expenses)	2010-12-31	$203,021
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$778,841
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$575,820
Total contributions received or receivable from employer(s)	2010-12-31	$43,468
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$3,995
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for THE KAFAFIAN GROUP 401K PLAN

2014: THE KAFAFIAN GROUP 401K PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2011: THE KAFAFIAN GROUP 401K PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: THE KAFAFIAN GROUP 401K PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THE KAFAFIAN GROUP 401K PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-833685

Policy instance

Insurance contract or identification number	GA-833685
Number of Individuals Covered	11
Insurance policy start date	2014-02-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $4,553
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,553
Insurance broker organization code?	3
Insurance broker name	WELLS FARGO ADVISORS INS AGENCY, LL

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Company Name:	THE KAFAFIAN GROUP, INC.
Employer identification number (EIN):	223838771
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services