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  5. AU ASSOCIATES, INC.

AU ASSOCIATES, INC.

Company Details

Name: AU ASSOCIATES, INC.
Legal type: Kentucky Corporation
Status: Active
Standing: Good
Profit or Non-Profit: Profit
File Date: 20 Sep 1990 (34 years ago)
Organization Date: 20 Sep 1990 (34 years ago)
Last Annual Report: 17 Jun 2024 (9 months ago)
Organization Number: 0277533
Industry: Real Estate
Number of Employees: Small (0-19)
ZIP code: 40508
City: Lexington
Primary County: Fayette County
Principal Office: 159 OLD GEORGETOWN STREET, LEXINGTON, KY 40508
Place of Formation: KENTUCKY
Authorized Shares: 1000

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
AU ASSOCIATES, INC 401(K) PLAN 2023 611186540 2024-08-26 AU ASSOCIATES, INC. 38
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2024-08-26
Name of individual signing ANTHONY WARREN
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES, INC 401(K) PLAN 2022 611186540 2023-07-17 AU ASSOCIATES, INC. 30
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2023-07-17
Name of individual signing ANTHONY WARREN
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES INC CBS BENEFIT PLAN 2021 611186540 2022-12-29 AU ASSOCIATES INC 23
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 541600
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2022-12-29
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES INC CBS BENEFIT PLAN 2021 611186540 2022-12-29 AU ASSOCIATES INC 23
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 541600
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2022-12-29
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES, INC 401(K) PLAN 2021 611186540 2022-09-12 AU ASSOCIATES, INC. 29
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2022-09-12
Name of individual signing ANTHONY WARREN
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES, INC 401(K) PLAN 2020 611186540 2021-09-08 AU ASSOCIATES, INC. 27
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2021-09-08
Name of individual signing ADAM WARREN
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES INC CBS BENEFIT PLAN 2020 611186540 2021-12-14 AU ASSOCIATES INC 23
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 541600
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2021-12-14
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES, INC 401(K) PLAN 2019 611186540 2020-06-24 AU ASSOCIATES, INC. 25
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2020-06-24
Name of individual signing ADAM WARREN
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES INC CBS BENEFIT PLAN 2019 611186540 2020-12-23 AU ASSOCIATES INC 22
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 541600
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name KELLY WOLF
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2020-12-23
Name of individual signing KELLY WOLF
Valid signature Filed with authorized/valid electronic signature
AU ASSOCIATES, INC 401(K) PLAN 2018 611186540 2019-06-21 AU ASSOCIATES, INC. 24
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2019-06-21
Name of individual signing HOLLY B. WIEDEMANN
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2018/05/03/20180503110804P030015482031001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2018-05-03
Name of individual signing HOLLY B. WIEDEMANN
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2017/07/14/20170714153207P040042977175001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2017-07-14
Name of individual signing HOLLY B. WIEDEMANN
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2016/07/26/20160726145546P030051095191001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2016-07-26
Name of individual signing HOLLY B. WIEDEMANN
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2016-07-26
Name of individual signing HOLLY B. WIEDEMANN
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2015/07/07/20150707085947P030026546397001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2015-07-07
Name of individual signing CHRISTINA A T WOODWARD
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2015-07-07
Name of individual signing CHRISTINA A T WOODWARD
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2014/05/22/20140522135833P040124383605001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2014-05-22
Name of individual signing CHRISTINA A. T. WOODWARD
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2014-05-22
Name of individual signing CHRISTINA A. T. WOODWARD
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2013/10/14/20131014070151P030016124341001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2013-10-14
Name of individual signing CHRISTINA A T WOODWARD
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2013-10-14
Name of individual signing CHRISTINA A T WOODWARD
Valid signature Filed with authorized/valid electronic signature
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN STREET, LEXINGTON, KY, 40508

Signature of
Role Plan administrator
Date 2013-10-01
Name of individual signing CHRISTINA A. T. WOODWARD
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2013-10-01
Name of individual signing CHRISTINA A. T. WOODWARD
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2012/10/16/20121016025539P030001567701001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN ST., LEXINGTON, KY, 40508

Plan administrator’s name and address
Administrator’s EIN 611186540
Plan administrator’s name AU ASSOCIATES, INC
Plan administrator’s address 159 OLD GEORGETOWN ST., LEXINGTON, KY, 40508
Administrator’s telephone number 8592332009

Signature of
Role Plan administrator
Date 2012-10-15
Name of individual signing CHRISTINA A. T. WOODWARD
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2011/10/06/20111006101651P030143447073001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2010-06-01
Business code 236110
Sponsor’s telephone number 8592332009
Plan sponsor’s address 159 OLD GEORGETOWN ST, LEXINGTON, KY, 40508

Plan administrator’s name and address
Administrator’s EIN 611186540
Plan administrator’s name AU ASSOCIATES, INC
Plan administrator’s address 159 OLD GEORGETOWN ST, LEXINGTON, KY, 40508
Administrator’s telephone number 8592332009

Signature of
Role Plan administrator
Date 2011-10-06
Name of individual signing JAI SWANN
Valid signature Filed with authorized/valid electronic signature

Registered Agent

Name Role
JOHAN GRAHAM Registered Agent

President

Name Role
JOHAN GRAHAM President

Director

Name Role
Johan Graham Director
HOLLY VAN DISSEL Director

Incorporator

Name Role
MARTIN S. WEINBERG Incorporator

Filings

Name File Date
Annual Report 2024-06-17
Annual Report 2023-06-05
Registered Agent name/address change 2022-06-27
Annual Report 2022-06-27
Annual Report 2021-07-13
Annual Report 2020-05-07
Annual Report 2019-06-25
Annual Report 2018-06-20
Annual Report 2017-06-08
Annual Report 2016-06-15

Paycheck Protection Program

Loan Number Loan Funded Date SBA Origination Office Code Loan Delivery Method Borrower Street Address
4667677003 2020-04-04 0457 PPP 159 OLD GEORGETOWN ST, LEXINGTON, KY, 40508-1297
Loan Status Date 2021-03-06
Loan Status Paid in Full
Loan Maturity in Months 24
SBA Guaranty Percentage 100
Loan Approval Amount (at origination) 249300
Loan Approval Amount (current) 249300
Undisbursed Amount 0
Franchise Name -
Lender Location ID 27631
Servicing Lender Name Traditional Bank, Inc.
Servicing Lender Address 49 W Main St, MOUNT STERLING, KY, 40353-1316
Rural or Urban Indicator U
Hubzone Y
LMI N
Business Age Description Existing or more than 2 years old
Project Address LEXINGTON, FAYETTE, KY, 40508-1297
Project Congressional District KY-06
Number of Employees 30
NAICS code 531312
Borrower Race Unanswered
Borrower Ethnicity Unknown/NotStated
Business Type Corporation
Originating Lender ID 27631
Originating Lender Name Traditional Bank, Inc.
Originating Lender Address MOUNT STERLING, KY
Gender Unanswered
Veteran Unanswered
Forgiveness Amount 251403.68
Forgiveness Paid Date 2021-02-17
7708778300 2021-01-28 0457 PPS 159 Old Georgetown St, Lexington, KY, 40508-1297
Loan Status Date 2021-10-22
Loan Status Paid in Full
Loan Maturity in Months 60
SBA Guaranty Percentage 100
Loan Approval Amount (at origination) 322900
Loan Approval Amount (current) 322900
Undisbursed Amount 0
Franchise Name -
Lender Location ID 27631
Servicing Lender Name Traditional Bank, Inc.
Servicing Lender Address 49 W Main St, MOUNT STERLING, KY, 40353-1316
Rural or Urban Indicator U
Hubzone Y
LMI N
Business Age Description Existing or more than 2 years old
Project Address Lexington, FAYETTE, KY, 40508-1297
Project Congressional District KY-06
Number of Employees 30
NAICS code 236116
Borrower Race Unanswered
Borrower Ethnicity Unknown/NotStated
Business Type Corporation
Originating Lender ID 27631
Originating Lender Name Traditional Bank, Inc.
Originating Lender Address MOUNT STERLING, KY
Gender Unanswered
Veteran Unanswered
Forgiveness Amount 324731.24
Forgiveness Paid Date 2021-08-31

Financial Incentive

Program Program Status Average Hourly Wage Project Cost Incentive Amount Initial Jobs New Jobs Date of Action Approval Type
KSBTC - Kentucky Small Business Tax Credit Inactive 20.31 $23,910 $21,000 24 6 2024-12-12 Final
KSBCI - Kentucky Small Business Credit Initiative Inactive - $0 $45,855 - - 2013-01-30 Final

Related by officers

JOHAN GRAHAM

HARBOR HILL, LLLP. FIRST PRESBYTERIAN CHURCH APARTMENTS, LLLP OLIVER SCHOOL APARTMENTS, LLLP GLASGOW GRADED SCHOOL APARTMENTS, LLLP BUFFALO SCHOOL APARTMENTS, LLLP FOURTH DISTRICT ELEMENTARY SCHOOL, LLLP PARKSIDE DEVELOPMENT GROUP, LLLP JENKINS SCHOOL, LLLP JACKSON POST OFFICE, LLLP AU Management, LLC

JOHAN GRAHAM

ELKHORN CITY SCHOOL APARTMENTS LLLP

Johan Graham

LEXINGTON CHALLENGER TENNIS CHARITY, INC. AU Oasis GP, LLC Polo Club GP, LLC Tates Creek Development, LLC AU Loganwood GP, LLC Richwood Bend GP, LLC AU SERVICES LLC Davis Park Station GP, LLC COVINGTON HOPE VILLAGE limited liability limited partnership COVINGTON HOPE VILLAGE GP LLC

MARTIN S. WEINBERG

VAIL M. TAYLOR & ASSOCIATES, INC. MITCHELL HOBBS & SONS, INC. SCHULTZ MANAGEMENT COMPANY NATIONAL MEMORIAL CORPORATION UNGARO DESIGN ASSOCIATES, INC. GRAY CONSTRUCTION, INC. PEGASUS STUD, INC. KRISDEKEL, INC. THE EDITH D. GARDNER CHARITABLE FOUNDATION, INC. G.G.S., INC.

Related by address

159 OLD GEORGETOWN STREET, LEXINGTON, KY 40508

MIDWAY SCHOOL APARTMENTS, LTD. THE ST. FRANCIS LIMITED ST. FRANCIS UNIT A, LLC ST. FRANCIS UNIT B, LLC IRVINE SCHOOL DEVELOPMENT COMPANY, LLC LIBERTY SCHOOL APARTMENTS, LTD. ARTEK, LLC ARTEK CONDOMINIUMS COUNCIL OF CO-OWNERS, INC. HARBOR HILL, LLLP.

Sources: Kentucky Secretary of State

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