401k Plan data: THOMAS HOWELL FERGUSON, P.A. 401K PLAN plan

THOMAS HOWELL FERGUSON, P.A. 401K PLAN 401k Plan overview

Plan Name	THOMAS HOWELL FERGUSON, P.A. 401K PLAN
Plan identification number	001

THOMAS HOWELL FERGUSON, P.A. 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

THOMAS HOWELL FERGUSON, P.A. has sponsored the creation of one or more 401k plans.

Company Name: THOMAS HOWELL FERGUSON, P.A.

Employer identification number (EIN): 593186310

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Additional information about THOMAS HOWELL FERGUSON, P.A.

Jurisdiction of Incorporation: Florida Department of State Division of Corporations

Incorporation Date: 1993-06-18

Company Identification Number: P93000043229

Legal Registered Office Address: 2615 CENTENNIAL BLVD

TALLAHASSEE

32308

More information about THOMAS HOWELL FERGUSON, P.A.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THOMAS HOWELL FERGUSON, P.A. 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-10-01 CANITA PETERSON 2023-07-15
001 2020-10-01
001 2019-10-01 CANITA PETERSON 2021-04-02
001 2018-10-01 CANITA PETERSON 2020-06-18
001 2017-10-01 CANITA PETERSON 2019-06-25
001 2016-10-01 CANITA PETERSON 2018-07-06
001 2015-10-01 CANITA PETERSON 2017-04-27
001 2014-10-01 CANITA PETERSON 2016-07-12
001 2013-10-01 JAMES A. GRAY 2015-04-29
001 2012-10-01 JAMES A. GRAY 2015-04-23
001 2011-10-01 JAMES A. GRAY
001 2010-10-01 JAMES A. GRAY
001 2009-10-01 JAMES A. GRAY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2021-10-01	CANITA PETERSON	2023-07-15
001	2020-10-01
001	2019-10-01	CANITA PETERSON	2021-04-02
001	2018-10-01	CANITA PETERSON	2020-06-18
001	2017-10-01	CANITA PETERSON	2019-06-25
001	2016-10-01	CANITA PETERSON	2018-07-06
001	2015-10-01	CANITA PETERSON	2017-04-27
001	2014-10-01	CANITA PETERSON	2016-07-12
001	2013-10-01	JAMES A. GRAY	2015-04-29
001	2012-10-01	JAMES A. GRAY	2015-04-23
001	2011-10-01	JAMES A. GRAY
001	2010-10-01	JAMES A. GRAY
001	2009-10-01	JAMES A. GRAY

Plan Statistics for THOMAS HOWELL FERGUSON, P.A. 401K PLAN

401k plan membership statisitcs for THOMAS HOWELL FERGUSON, P.A. 401K PLAN

Measure Date Value
2021: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2021 401k membership
Total participants, beginning-of-year 2021-10-01 129
Total number of active participants reported on line 7a of the Form 5500 2021-10-01 106
Number of retired or separated participants receiving benefits 2021-10-01 0
Number of other retired or separated participants entitled to future benefits 2021-10-01 28
Total of all active and inactive participants 2021-10-01 134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-10-01 0
Total participants 2021-10-01 134
Number of participants with account balances 2021-10-01 129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-10-01 0
2011: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-10-01 82
Total number of active participants reported on line 7a of the Form 5500 2011-10-01 55
Number of retired or separated participants receiving benefits 2011-10-01 3
Number of other retired or separated participants entitled to future benefits 2011-10-01 22
Total of all active and inactive participants 2011-10-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-01 0
Total participants 2011-10-01 80
Number of participants with account balances 2011-10-01 73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-10-01 4
2010: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-10-01 84
Total number of active participants reported on line 7a of the Form 5500 2010-10-01 53
Number of retired or separated participants receiving benefits 2010-10-01 0
Number of other retired or separated participants entitled to future benefits 2010-10-01 32
Total of all active and inactive participants 2010-10-01 85
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-10-01 0
Total participants 2010-10-01 85
Number of participants with account balances 2010-10-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-10-01 9
2009: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-10-01 83
Total number of active participants reported on line 7a of the Form 5500 2009-10-01 58
Number of retired or separated participants receiving benefits 2009-10-01 0
Number of other retired or separated participants entitled to future benefits 2009-10-01 19
Total of all active and inactive participants 2009-10-01 77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-10-01 0
Total participants 2009-10-01 77
Number of participants with account balances 2009-10-01 77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-10-01 8

Measure	Date	Value
2021: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2021 401k membership
Total participants, beginning-of-year	2021-10-01	129
Total number of active participants reported on line 7a of the Form 5500	2021-10-01	106
Number of retired or separated participants receiving benefits	2021-10-01	0
Number of other retired or separated participants entitled to future benefits	2021-10-01	28
Total of all active and inactive participants	2021-10-01	134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-10-01	0
Total participants	2021-10-01	134
Number of participants with account balances	2021-10-01	129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-10-01	0
2011: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-10-01	82
Total number of active participants reported on line 7a of the Form 5500	2011-10-01	55
Number of retired or separated participants receiving benefits	2011-10-01	3
Number of other retired or separated participants entitled to future benefits	2011-10-01	22
Total of all active and inactive participants	2011-10-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-01	0
Total participants	2011-10-01	80
Number of participants with account balances	2011-10-01	73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-10-01	4
2010: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-10-01	84
Total number of active participants reported on line 7a of the Form 5500	2010-10-01	53
Number of retired or separated participants receiving benefits	2010-10-01	0
Number of other retired or separated participants entitled to future benefits	2010-10-01	32
Total of all active and inactive participants	2010-10-01	85
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-10-01	0
Total participants	2010-10-01	85
Number of participants with account balances	2010-10-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-10-01	9
2009: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-10-01	83
Total number of active participants reported on line 7a of the Form 5500	2009-10-01	58
Number of retired or separated participants receiving benefits	2009-10-01	0
Number of other retired or separated participants entitled to future benefits	2009-10-01	19
Total of all active and inactive participants	2009-10-01	77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-10-01	0
Total participants	2009-10-01	77
Number of participants with account balances	2009-10-01	77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-10-01	8

Financial Data on THOMAS HOWELL FERGUSON, P.A. 401K PLAN

Measure	Date	Value
2022 : THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-09-30	$0
Total income from all sources (including contributions)	2022-09-30	$-1,562,619
Total loss/gain on sale of assets	2022-09-30	$0
Total of all expenses incurred	2022-09-30	$2,364,543
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-09-30	$2,327,898
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-09-30	$1,590,234
Value of total assets at end of year	2022-09-30	$14,436,124
Value of total assets at beginning of year	2022-09-30	$18,363,286
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-09-30	$36,645
Total interest from all sources	2022-09-30	$3,664
Total dividends received (eg from common stock, registered investment company shares)	2022-09-30	$154,357
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-09-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-09-30	$154,357
Was this plan covered by a fidelity bond	2022-09-30	Yes
Value of fidelity bond cover	2022-09-30	$500,000
If this is an individual account plan, was there a blackout period	2022-09-30	No
Were there any nonexempt tranactions with any party-in-interest	2022-09-30	No
Contributions received from participants	2022-09-30	$788,573
Participant contributions at end of year	2022-09-30	$88,731
Participant contributions at beginning of year	2022-09-30	$63,131
Assets. Other investments not covered elsewhere at end of year	2022-09-30	$4,432,343
Assets. Other investments not covered elsewhere at beginning of year	2022-09-30	$6,288,015
Income. Received or receivable in cash from other sources (including rollovers)	2022-09-30	$57,450
Other income not declared elsewhere	2022-09-30	$-1,014,752
Total non interest bearing cash at end of year	2022-09-30	$8,519
Total non interest bearing cash at beginning of year	2022-09-30	$1,826
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-09-30	No
Value of net income/loss	2022-09-30	$-3,927,162
Value of net assets at end of year (total assets less liabilities)	2022-09-30	$14,436,124
Value of net assets at beginning of year (total assets less liabilities)	2022-09-30	$18,363,286
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-09-30	No
Were any leases to which the plan was party in default or uncollectible	2022-09-30	No
Investment advisory and management fees	2022-09-30	$34,570
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-09-30	$9,906,531
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-09-30	$12,010,314
Interest on participant loans	2022-09-30	$3,664
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-09-30	$-2,296,122
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-09-30	No
Was there a failure to transmit to the plan any participant contributions	2022-09-30	Yes
Has the plan failed to provide any benefit when due under the plan	2022-09-30	No
Contributions received in cash from employer	2022-09-30	$744,211
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-09-30	$2,327,898
Contract administrator fees	2022-09-30	$2,075
Did the plan have assets held for investment	2022-09-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-09-30	No
Opinion of an independent qualified public accountant for this plan	2022-09-30	Unqualified
Accountancy firm name	2022-09-30	COULTER & JUSTUS
Accountancy firm EIN	2022-09-30	621532536
2012 : THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-09-30	$361
Total plan liabilities at beginning of year	2012-09-30	$1,000
Total income from all sources	2012-09-30	$1,570,745
Expenses. Total of all expenses incurred	2012-09-30	$988,272
Benefits paid (including direct rollovers)	2012-09-30	$988,272
Total plan assets at end of year	2012-09-30	$6,147,793
Total plan assets at beginning of year	2012-09-30	$5,565,959
Value of fidelity bond covering the plan	2012-09-30	$500,000
Total contributions received or receivable from participants	2012-09-30	$301,841
Contributions received from other sources (not participants or employers)	2012-09-30	$130,800
Other income received	2012-09-30	$897,802
Net income (gross income less expenses)	2012-09-30	$582,473
Net plan assets at end of year (total assets less liabilities)	2012-09-30	$6,147,432
Net plan assets at beginning of year (total assets less liabilities)	2012-09-30	$5,564,959
Assets. Value of participant loans	2012-09-30	$91,557
Total contributions received or receivable from employer(s)	2012-09-30	$240,302
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-09-30	$0
2011 : THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-09-30	$1,000
Total plan liabilities at beginning of year	2011-09-30	$1,000
Total income from all sources	2011-09-30	$432,343
Expenses. Total of all expenses incurred	2011-09-30	$263,821
Benefits paid (including direct rollovers)	2011-09-30	$259,173
Total plan assets at end of year	2011-09-30	$5,565,959
Total plan assets at beginning of year	2011-09-30	$5,397,437
Value of fidelity bond covering the plan	2011-09-30	$500,000
Total contributions received or receivable from participants	2011-09-30	$314,124
Contributions received from other sources (not participants or employers)	2011-09-30	$19,636
Other income received	2011-09-30	$-167,759
Net income (gross income less expenses)	2011-09-30	$168,522
Net plan assets at end of year (total assets less liabilities)	2011-09-30	$5,564,959
Net plan assets at beginning of year (total assets less liabilities)	2011-09-30	$5,396,437
Assets. Value of participant loans	2011-09-30	$72,925
Total contributions received or receivable from employer(s)	2011-09-30	$266,342
Expenses. Administrative service providers (salaries,fees and commissions)	2011-09-30	$4,648
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-09-30	$0
2010 : THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-09-30	$0

Form 5500 Responses for THOMAS HOWELL FERGUSON, P.A. 401K PLAN

2021: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2021 form 5500 responses
2021-10-01	Type of plan entity	Single employer plan
2021-10-01	Submission has been amended	No
2021-10-01	This submission is the final filing	No
2021-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-10-01	Plan is a collectively bargained plan	No
2021-10-01	Plan funding arrangement – Insurance	Yes
2021-10-01	Plan funding arrangement – Trust	Yes
2021-10-01	Plan benefit arrangement – Insurance	Yes
2021-10-01	Plan benefit arrangement - Trust	Yes
2011: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2011 form 5500 responses
2011-10-01	Type of plan entity	Single employer plan
2011-10-01	Submission has been amended	No
2011-10-01	This submission is the final filing	No
2011-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-10-01	Plan is a collectively bargained plan	No
2011-10-01	Plan funding arrangement – Trust	Yes
2011-10-01	Plan benefit arrangement - Trust	Yes
2010: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2010 form 5500 responses
2010-10-01	Type of plan entity	Single employer plan
2010-10-01	Submission has been amended	No
2010-10-01	This submission is the final filing	No
2010-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-10-01	Plan is a collectively bargained plan	No
2010-10-01	Plan funding arrangement – Trust	Yes
2010-10-01	Plan benefit arrangement - Trust	Yes
2009: THOMAS HOWELL FERGUSON, P.A. 401K PLAN 2009 form 5500 responses
2009-10-01	Type of plan entity	Single employer plan
2009-10-01	Submission has been amended	No
2009-10-01	This submission is the final filing	No
2009-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-10-01	Plan is a collectively bargained plan	No
2009-10-01	Plan funding arrangement – Trust	Yes
2009-10-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

116119

Policy instance

Insurance contract or identification number	116119
Number of Individuals Covered	129
Insurance policy start date	2021-10-01
Insurance policy end date	2022-09-30
Total amount of commissions paid to insurance broker	USD $31,244
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
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?	No
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 $24,059
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	BROKER
Insurance broker organization code?	3

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Company Name:	THOMAS HOWELL FERGUSON, P.A.
Employer identification number (EIN):	593186310
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants

Jurisdiction of Incorporation:	Florida Department of State Division of Corporations
Incorporation Date:	1993-06-18
Company Identification Number:	P93000043229
Legal Registered Office Address:	2615 CENTENNIAL BLVD TALLAHASSEE 32308