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FORM 5500 DATA

LaFollette, Johnson, DeHaas, Fesler & Ames 401k Plan

Overview

Plan Information

  • Plan Year01/01/2018 — 12/31/2018
  • Date of Plan07/01/1990
  • Net Assets as of 12/31/2018 $15,876,742
  • 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 12/31/2018

  • Active (Eligible) Participants117
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits32
  • Subtotal149
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total149
  • Total number of participants as of 01/01/2018155
  • Number of participants with account balances133
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested1

Expenses

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

Sponsor Information

  • Address865 So. Figueroa Street, 32nd Floor
  • CityLos Angeles
  • StateCA
  • Zip90017-5443
  • Telephone(213) 426-3600
  • EIN95-3107774
  • Industry Code541110
  • Named AdministratorDennis K. Ames

Plan Administrator Information

  • Administrator NameLa Follette, Johnson, De Haas, Fesler & Ames
  • Address865 So. Figueroa Street, 32nd Floor
  • CityLos Angeles
  • StateCA
  • Zip90017-5443
  • Telephone(213) 426-3600
  • Administrator EIN95-3107774

Audit Information

  • Audit StatusAudited
  • AuditorKsjg, LLP
  • Auditor EIN95-3322166
  • 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.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
3D 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.

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 $1,000,000
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 $290,353
Contributions $1,051,246
Cash Contributions $1,051,246
Cash from Employers $168,480
Cash from Participants $882,291
Others (including rollovers) $475
Noncash Contributions $0
Total Earnings on Investments $-760,893
Total Interest $9,832
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $9,832
Interest from Other Investments $0
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 $-770,725
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 $0
Expenses $3,133,073
Total Benefit Payments $3,123,101
Directly to participants or beneficiaries, including direct rollovers $3,123,101
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $7,567
Certain deemed distributions of participant loans $9
Interest expense $0
Total Administrative Expenses $2,396
Professional Fees $2,396
Contract Administrator Fees $0
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $-2,842,720
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2018 12/31/2017 Change YOY
Total Assets $15,876,742 $18,719,462 -15.19%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $163,921 $148,297 10.54%
Employer Contributions $163,921 $148,297 10.54%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $1,500 $13,789 -89.12%
Interest-bearing cash $1,500 $13,789 -89.12%
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 $210,318 $200,371 4.96%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $15,501,003 $18,357,005 -15.56%
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 $15,876,742 $18,719,462 -15.19%

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 Life Insurance Company Investment management, Recordkeeping and information management (computing, tabulating, data processing, etc.) Recordkeeper $1,146 $0 $1,146
Total $1,146 $0 $1,146

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
T.Rowepricecapappreciation John Hancock DFE: Pooled Separate Account $2,384,311
Jhmultimanagergrowthls John Hancock DFE: Pooled Separate Account $2,123,745
500Indexfund John Hancock DFE: Pooled Separate Account $1,856,789
Jhmultimanagerbalancedls John Hancock DFE: Pooled Separate Account $1,596,230
Jhmulti-Index2030Preserv John Hancock DFE: Pooled Separate Account $912,378
Jhmultimanagermoderatels John Hancock DFE: Pooled Separate Account $777,326
Jhmulti-Indexincomepreserv John Hancock DFE: Pooled Separate Account $516,141
Americanbalancedfund John Hancock DFE: Pooled Separate Account $497,109
Johnhancockstableval John Hancock DFE: Pooled Separate Account $486,127
Americanfunds2025Td John Hancock DFE: Pooled Separate Account $414,824
Jhmulti-Index2035Preserv John Hancock DFE: Pooled Separate Account $366,128
Jhmultimanageraggressivels John Hancock DFE: Pooled Separate Account $348,478
Totalstockmarketindexfund John Hancock DFE: Pooled Separate Account $336,072
Vanguardtargetret2020 John Hancock DFE: Pooled Separate Account $286,921
Jhmulti-Index2025Preserv John Hancock DFE: Pooled Separate Account $260,392
Americanfunds2015Td John Hancock DFE: Pooled Separate Account $253,851
Vanguardsmallcapgrowindex John Hancock DFE: Pooled Separate Account $241,929
T.Rowepricehealthsci John Hancock DFE: Pooled Separate Account $238,578
Vanguardtargetret2015 John Hancock DFE: Pooled Separate Account $237,554
Jhmultimanagerconservls John Hancock DFE: Pooled Separate Account $195,003
Jhmulti-Index2040Preserv John Hancock DFE: Pooled Separate Account $138,691
Totalbondmarketfund John Hancock DFE: Pooled Separate Account $115,625
Vanguardvalueindexfund John Hancock DFE: Pooled Separate Account $97,840
Ivyassetstrategyfund John Hancock DFE: Pooled Separate Account $85,676
Templetonglobalbondfund John Hancock DFE: Pooled Separate Account $77,190
Jhmulti-Index2045Preserv John Hancock DFE: Pooled Separate Account $62,717
Washingtonmutualinvestors John Hancock DFE: Pooled Separate Account $56,315
Bluechipgrowthfund John Hancock DFE: Pooled Separate Account $54,778
Midcapindexfund John Hancock DFE: Pooled Separate Account $48,657
Vanguardgrowthindexfund John Hancock DFE: Pooled Separate Account $45,563
Jhmulti-Index2050Preserv John Hancock DFE: Pooled Separate Account $45,417
Jhmulti-Index2020Preserv John Hancock DFE: Pooled Separate Account $40,702
Oppenheimerintlgrowthfund John Hancock DFE: Pooled Separate Account $39,889
Dodge&Coxinternationalst John Hancock DFE: Pooled Separate Account $35,045
Johnhancockdisciplinedvalue John Hancock DFE: Pooled Separate Account $34,129
Fidelityadvisortotalbond John Hancock DFE: Pooled Separate Account $34,085
Vanguardtargetret2055 John Hancock DFE: Pooled Separate Account $31,728
Blackrockglobalallocation John Hancock DFE: Pooled Separate Account $28,562
Newperspectivefund John Hancock DFE: Pooled Separate Account $26,559
Vanguardtargetret2025 John Hancock DFE: Pooled Separate Account $12,697
Federatedhighyieldbond John Hancock DFE: Pooled Separate Account $11,229
Vanguardtargetret2035 John Hancock DFE: Pooled Separate Account $6,559
Jpmorganlargecapgrowth John Hancock DFE: Pooled Separate Account $5,231
Fundamentalinvestors John Hancock DFE: Pooled Separate Account $4,937
Dfau.S.Smallcapfund John Hancock DFE: Pooled Separate Account $4,580
Midcapstockfund John Hancock DFE: Pooled Separate Account $4,258
Jhmulti-Index2055Preserv John Hancock DFE: Pooled Separate Account $4,046
Capitalappreciationfund John Hancock DFE: Pooled Separate Account $3,604
Jhdisciplinedvaluemidcap John Hancock DFE: Pooled Separate Account $2,365
Smallcapindexfund John Hancock DFE: Pooled Separate Account $2,022
Vanguardtargetret2030 John Hancock DFE: Pooled Separate Account $1,876
Blackrocklifepathindex2035 John Hancock DFE: Pooled Separate Account $1,641
Blackrocklifepathindex2055 John Hancock DFE: Pooled Separate Account $1,569
Mutualglobaldiscovery John Hancock DFE: Pooled Separate Account $1,148
Intlequityindexfund John Hancock DFE: Pooled Separate Account $928
Intlsmallcapfund John Hancock DFE: Pooled Separate Account $900
Amgmanagersfairpointemidcap John Hancock DFE: Pooled Separate Account $873
Dfaustargetedvaluefund John Hancock DFE: Pooled Separate Account $848
Realest.Securitiesfund John Hancock DFE: Pooled Separate Account $638
Total $15,501,003

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company 137
EIN 01-0233346
Industry Code 65838
Contract Number 113652
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $0
Value in Separate Accounts at Year End $15,501,003
Insurance Fees and Commissions $26,360
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Benefit Equity, Inc. 1971 E. 4th St. Suite 100 Santa Ana, MA 02453 -3467 Third Party Administrator $22,362 $3,998 TPA FEES PAID
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 Guaranteed Investment
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0