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FORM 5500 DATA

Diakonia Group, LLC 401k Profit Sharing Plan

Overview

Plan Information

  • Plan Year01/01/2016 — 12/31/2016
  • Date of Plan01/01/2006
  • Net Assets as of 12/31/2016 $3,927,545
  • Plan Number2
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2016

  • Active (Eligible) Participants188
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits19
  • Subtotal207
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total207
  • Total number of participants as of 01/01/2016207
  • Number of participants with account balances101
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested6

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address830 Crescent Centre Dr. Suite 550
  • CityFranklin
  • StateTN
  • Zip37067
  • Telephone(615) 377-9774
  • EIN46-0705501
  • Industry Code333310

Audit Information

  • Audit StatusAudited
  • AuditorBkd, LLP
  • Auditor EIN44-0160260
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G 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.
2J 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.
2K 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 contributions 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.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $400,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $707,954
Contributions $477,184
Cash Contributions $477,184
Cash from Employers $117,727
Cash from Participants $325,865
Others (including rollovers) $33,592
Noncash Contributions $0
Total Earnings on Investments $228,601
Total Interest $11,038
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $4,947
Interest from Other Investments $6,091
Total Dividends $0
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $217,563
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $0
Other Income $2,169
Expenses $278,928
Total Benefit Payments $256,224
Directly to participants or beneficiaries, including direct rollovers $256,224
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $3,487
Interest expense $0
Total Administrative Expenses $19,217
Professional Fees $0
Contract Administrator Fees $19,217
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $429,026
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2016 12/31/2015 Change YOY
Total Assets $3,927,545 $3,498,519 12.26%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $5,653 $2,135 164.78%
Employer Contributions $5,479 $2,135 156.63%
Participant Contributions $174 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $2,694 $4,189 -35.69%
Interest-bearing cash $2,694 $4,189 -35.69%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $84,734 $100,221 -15.45%
Value of interest in common/collective trusts $340,185 $324,575 4.81%
Value of interest in pooled separate accounts $3,494,279 $3,067,399 13.92%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $0 $0 0.0%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $0 $0 0.0%
Employer-related Investments $0 $0 0.0%
Employer Securities $0 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $0 $0 0.0%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $3,927,545 $3,498,519 12.26%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
John Hancock, USA Recordkeeping and information management (computing, tabulating, data processing, etc.), Investment management, Shareholder servicing fees, Sub-transfer agency fees, Float revenue, Distribution (12b-1) fees, Other insurance wrap fees, Soft dollars commissions Recordkeeper $266 $0 $266
Total $266 $0 $266

Indirect Compensation

There are no service providers with indirect compensation listed for this plan.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Jh Multimanager Aggressive Ls John Hancock USA DFE: Pooled Separate Account $902,686
Jh Multimanager Balanced Ls John Hancock USA DFE: Pooled Separate Account $760,441
Jh Multimanager Growth Ls John Hancock USA DFE: Pooled Separate Account $668,807
Jh Multi-Index 2020 Preserv John Hancock USA DFE: Pooled Separate Account $211,277
Jh Multimanager Moderate Ls John Hancock USA DFE: Pooled Separate Account $160,939
John Hancock Stable Val John Hancock USA DFE: Pooled Separate Account $139,934
Jh Multimanager 2040 Lifetime John Hancock USA DFE: Pooled Separate Account $62,262
Jh Multi-Index 2055 Preserv John Hancock USA DFE: Pooled Separate Account $44,060
Jh Multimanager 2030 Lifetime John Hancock USA DFE: Pooled Separate Account $43,259
Jh Multimanager 2025 Lifetime John Hancock USA DFE: Pooled Separate Account $43,169
Jh Multimanager Conserv Ls John Hancock USA DFE: Pooled Separate Account $39,632
Jh Multimanager 2045 Lifetime John Hancock USA DFE: Pooled Separate Account $37,397
Jh Multimanager 2055 Lifetime John Hancock USA DFE: Pooled Separate Account $23,074
Jh Multimanager 2050 Lifetime John Hancock USA DFE: Pooled Separate Account $20,178
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $16,193
Jh Multimanager 2035 Lifetime John Hancock USA DFE: Pooled Separate Account $15,750
Science & Technology Fund John Hancock USA DFE: Pooled Separate Account $15,696
Small Cap Value Fund John Hancock USA DFE: Pooled Separate Account $15,224
Mid Cap Stock Fund John Hancock USA DFE: Pooled Separate Account $13,505
John Hancock Disciplined Value John Hancock USA DFE: Pooled Separate Account $12,625
Mutual Global Discovery John Hancock USA DFE: Pooled Separate Account $12,527
Real Est. Securities Fund John Hancock USA DFE: Pooled Separate Account $12,391
Financial Industries Fund John Hancock USA DFE: Pooled Separate Account $11,744
500 Index Fund John Hancock USA DFE: Pooled Separate Account $11,549
Jh Multi-Index 2045 Preserv John Hancock USA DFE: Pooled Separate Account $10,658
Franklin Mutual Beacon Fund John Hancock USA DFE: Pooled Separate Account $10,369
Investment Company of America John Hancock USA DFE: Pooled Separate Account $9,652
Vanguard Energy Fund John Hancock USA DFE: Pooled Separate Account $9,639
Washington Mutual Investors John Hancock USA DFE: Pooled Separate Account $8,643
Fundamental Large Cap Value John Hancock USA DFE: Pooled Separate Account $8,299
American Balanced Fund John Hancock USA DFE: Pooled Separate Account $7,657
Jpmorgan Us Equity Fund John Hancock USA DFE: Pooled Separate Account $7,446
Vanguard Small Cap Value Index John Hancock USA DFE: Pooled Separate Account $7,090
T. Rowe Price Equity Inc John Hancock USA DFE: Pooled Separate Account $6,985
U.S. Growth Fund John Hancock USA DFE: Pooled Separate Account $6,795
Vanguard Explorer Fund John Hancock USA DFE: Pooled Separate Account $6,527
Utilities Fund John Hancock USA DFE: Pooled Separate Account $6,525
Ivy Asset Strategy Fund John Hancock USA DFE: Pooled Separate Account $6,341
Equity Income Fund John Hancock USA DFE: Pooled Separate Account $5,499
Lord Abbett Value Opps Fund John Hancock USA DFE: Pooled Separate Account $5,466
Blackrock Global Allocation John Hancock USA DFE: Pooled Separate Account $5,324
Pimco All Asset John Hancock USA DFE: Pooled Separate Account $5,126
Jh Multi-Index 2030 Preserv John Hancock USA DFE: Pooled Separate Account $5,121
Vanguard Mid-Cap Growth Etf John Hancock USA DFE: Pooled Separate Account $4,761
Vanguard Small Cap Grow Index John Hancock USA DFE: Pooled Separate Account $3,406
Vanguard Mid-Cap Value Etf John Hancock USA DFE: Pooled Separate Account $3,403
Jh Multi-Index Ls Aggressive John Hancock USA DFE: Pooled Separate Account $2,885
Amg Managers Fairpointe Midcap John Hancock USA DFE: Pooled Separate Account $2,770
Blue Chip Growth Fund John Hancock USA DFE: Pooled Separate Account $2,720
Vanguard Value Index Fund John Hancock USA DFE: Pooled Separate Account $2,616
T. Rowe Price Sci & Tech John Hancock USA DFE: Pooled Separate Account $2,524
Oppenheimer Global John Hancock USA DFE: Pooled Separate Account $2,471
Vanguard Growth Index Fund John Hancock USA DFE: Pooled Separate Account $2,450
Fidelity Adv Leveraged Co Stk John Hancock USA DFE: Pooled Separate Account $2,193
Jh Multimanager 2020 Lifetime John Hancock USA DFE: Pooled Separate Account $2,184
Blackrock Basic Value John Hancock USA DFE: Pooled Separate Account $2,022
Income Fund of America John Hancock USA DFE: Pooled Separate Account $1,551
Keeley Small Cap Value John Hancock USA DFE: Pooled Separate Account $1,358
Dfa U.S. Small Cap Fund John Hancock USA DFE: Pooled Separate Account $1,248
Jh Multi-Index Ls Conserv John Hancock USA DFE: Pooled Separate Account $1,213
Jpmorgan Midcap Value Fund John Hancock USA DFE: Pooled Separate Account $1,116
Clearbridge Aggressive Growth John Hancock USA DFE: Pooled Separate Account $1,089
T. Rowe Price Health Sci John Hancock USA DFE: Pooled Separate Account $1,081
Federated High Yield Bond John Hancock USA DFE: Pooled Separate Account $1,081
Dodge & Cox Stock Fund John Hancock USA DFE: Pooled Separate Account $1,001
T. Rowe Price Cap Appreciation John Hancock USA DFE: Pooled Separate Account $909
Fidelity Contrafund John Hancock USA DFE: Pooled Separate Account $896
Templeton Global Bond Fund John Hancock USA DFE: Pooled Separate Account $694
Small Company Value Fund John Hancock USA DFE: Pooled Separate Account $642
Aberdeen International Equity John Hancock USA DFE: Pooled Separate Account $509
Pimco Real Return John Hancock USA DFE: Pooled Separate Account $487
Jh Multi-Index 2040 Lifetime John Hancock USA DFE: Pooled Separate Account $458
Fundamental All Cap Core Fund John Hancock USA DFE: Pooled Separate Account $427
Small Cap Index Fund John Hancock USA DFE: Pooled Separate Account $421
John Hancock Intl Growth John Hancock USA DFE: Pooled Separate Account $420
Strategic Income Opp Fund John Hancock USA DFE: Pooled Separate Account $402
Pimco Commodity Real Return John Hancock USA DFE: Pooled Separate Account $399
T. Rowe Price Short Term Bond John Hancock USA DFE: Pooled Separate Account $399
Investment Qual Bond Fund John Hancock USA DFE: Pooled Separate Account $392
Core Bond Fund John Hancock USA DFE: Pooled Separate Account $390
Payden/Kravitz Cash Balance John Hancock USA DFE: Pooled Separate Account $390
Real Return Bond Fund John Hancock USA DFE: Pooled Separate Account $385
Oppenheimer Intl Bond John Hancock USA DFE: Pooled Separate Account $367
Capital World Bond Fund John Hancock USA DFE: Pooled Separate Account $359
Ishares Gold Trust Etf John Hancock USA DFE: Pooled Separate Account $347
Mid Cap Index Fund John Hancock USA DFE: Pooled Separate Account $329
Fidelity Adv Diversified Stock John Hancock USA DFE: Pooled Separate Account $324
All Cap Core Fund John Hancock USA DFE: Pooled Separate Account $324
Pru Jennison Mid Growth Fund John Hancock USA DFE: Pooled Separate Account $312
Tocqueville Gold Fund John Hancock USA DFE: Pooled Separate Account $309
Dfa Inflation-Protected Sec John Hancock USA DFE: Pooled Separate Account $187
Active Bond Fund John Hancock USA DFE: Pooled Separate Account $187
Alternative Asset Allocation John Hancock USA DFE: Pooled Separate Account $181
High Yield Fund John Hancock USA DFE: Pooled Separate Account $178
T. Rowe Price Spectrum Inc John Hancock USA DFE: Pooled Separate Account $178
Us Government Securities John Hancock USA DFE: Pooled Separate Account $176
Franklin Small-Mid Growth John Hancock USA DFE: Pooled Separate Account $171
Jpmorgan Core Bond Fund John Hancock USA DFE: Pooled Separate Account $167
Oppenheimer Developing Mkt John Hancock USA DFE: Pooled Separate Account $165
T. Rowe Price Sml Cap Val John Hancock USA DFE: Pooled Separate Account $156
Vanguard Tot Wld Stk Index Etf John Hancock USA DFE: Pooled Separate Account $154
Mid Value Fund John Hancock USA DFE: Pooled Separate Account $148
Oppenheimer Intl Growth Fund John Hancock USA DFE: Pooled Separate Account $75
Total Stock Market Index Fund John Hancock USA DFE: Pooled Separate Account $61
Jh Disciplined Value Intl Fund John Hancock USA DFE: Pooled Separate Account $47
International Value Fund John Hancock USA DFE: Pooled Separate Account $19
Small Cap Growth Fund John Hancock USA DFE: Pooled Separate Account $19
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $18
New Perspective Fund John Hancock USA DFE: Pooled Separate Account $15
Royce Opportunity John Hancock USA DFE: Pooled Separate Account $9
Harbor Mid Cap Value Fund John Hancock USA DFE: Pooled Separate Account $9
Natural Resources Fund John Hancock USA DFE: Pooled Separate Account $8
U.S. High Yield Bond Fund John Hancock USA DFE: Pooled Separate Account $8
Global Bond Fund John Hancock USA DFE: Pooled Separate Account $7
Pimco Global Bond John Hancock USA DFE: Pooled Separate Account $7
Capital World Growth & Income John Hancock USA DFE: Pooled Separate Account $6
Jpmorgan Intrepid Mid Cap John Hancock USA DFE: Pooled Separate Account $6
Total $3,494,277

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company (U.S.A.) ('John Hancock USA') 117
EIN 01-0233346
Industry Code 65838
Contract Number 55616
Contract Year 01/01/2016 — 12/31/2016
Value in General Account at Year End $340,185
Value in Separate Accounts at Year End $3,494,279
Insurance Fees and Commissions $23,812
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Thoroughbred Financial Planning LLC 5110 Maryland Way, Suite 300 Brentwood, TN 37027 Agent or Broker other than Insurance $16,741 $0
Employee Benefit Services, Inc. 5110 Maryland Way, Suite 300 Brentwood, TN 37027 Third Party Administrator $0 $7,071 TPA FEES PAID AND COMPENSATION
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $324,575
Additions $17,212
Contributions Deposited during the year $10,922
Dividends and credits $0
Interest credited during the year $6,090
Transferred from separate account $0
Other $200
Total of Balance and Additions $341,787
Deductions $1,602
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $1,602
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $340,185