401k Plan data: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN plan

UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 401k Plan overview

Plan Name	UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN
Plan identification number	001

UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Code section 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

UNIVERSITY OF NEW HAVEN has sponsored the creation of one or more 401k plans.

Company Name: UNIVERSITY OF NEW HAVEN

Employer identification number (EIN): 060761704

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-07-01 P. PENNY PECKA PATRICK TORRE, ASSOC VP FINANCE 2013-04-15
001 2010-07-01 P. PENNY PECKA GEORGE S. SYNODI 2012-04-16
001 2009-07-01 P. PENNY PECKA GEORGE S. SYNODI 2011-04-15
001 2009-07-01 P. PENNY PECKA GEORGE S. SYNODI 2011-04-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2011-07-01	P. PENNY PECKA	PATRICK TORRE, ASSOC VP FINANCE	2013-04-15
001	2010-07-01	P. PENNY PECKA	GEORGE S. SYNODI	2012-04-16
001	2009-07-01	P. PENNY PECKA	GEORGE S. SYNODI	2011-04-15
001	2009-07-01	P. PENNY PECKA	GEORGE S. SYNODI	2011-04-15

Plan Statistics for UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN

401k plan membership statisitcs for UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN

Measure Date Value
2011: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-07-01 1,942
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 0
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 0
Total of all active and inactive participants 2011-07-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 0
Total participants 2011-07-01 0
Number of participants with account balances 2011-07-01 0
2010: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-07-01 1,383
Total number of active participants reported on line 7a of the Form 5500 2010-07-01 1,132
Number of retired or separated participants receiving benefits 2010-07-01 2
Number of other retired or separated participants entitled to future benefits 2010-07-01 807
Total of all active and inactive participants 2010-07-01 1,941
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-07-01 1
Total participants 2010-07-01 1,942
Number of participants with account balances 2010-07-01 1,809
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-07-01 0
2009: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 1,373
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 658
Number of retired or separated participants receiving benefits 2009-07-01 1
Number of other retired or separated participants entitled to future benefits 2009-07-01 715
Total of all active and inactive participants 2009-07-01 1,374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 9
Total participants 2009-07-01 1,383
Number of participants with account balances 2009-07-01 1,107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 0

Measure	Date	Value
2011: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-07-01	1,942
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	0
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	0
Total of all active and inactive participants	2011-07-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	0
Total participants	2011-07-01	0
Number of participants with account balances	2011-07-01	0
2010: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-07-01	1,383
Total number of active participants reported on line 7a of the Form 5500	2010-07-01	1,132
Number of retired or separated participants receiving benefits	2010-07-01	2
Number of other retired or separated participants entitled to future benefits	2010-07-01	807
Total of all active and inactive participants	2010-07-01	1,941
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-07-01	1
Total participants	2010-07-01	1,942
Number of participants with account balances	2010-07-01	1,809
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-07-01	0
2009: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	1,373
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	658
Number of retired or separated participants receiving benefits	2009-07-01	1
Number of other retired or separated participants entitled to future benefits	2009-07-01	715
Total of all active and inactive participants	2009-07-01	1,374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	9
Total participants	2009-07-01	1,383
Number of participants with account balances	2009-07-01	1,107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	0

Financial Data on UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN

Measure	Date	Value
2012 : UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-06-30	$0
Total transfer of assets to this plan	2012-06-30	$47,191
Total transfer of assets from this plan	2012-06-30	$70,145,718
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-06-30	$2,719
Total income from all sources (including contributions)	2012-06-30	$4,638,175
Total loss/gain on sale of assets	2012-06-30	$0
Total of all expenses incurred	2012-06-30	$3,834,440
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-06-30	$3,834,139
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-06-30	$3,605,134
Value of total assets at end of year	2012-06-30	$0
Value of total assets at beginning of year	2012-06-30	$69,297,511
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-06-30	$301
Total interest from all sources	2012-06-30	$400,790
Total dividends received (eg from common stock, registered investment company shares)	2012-06-30	$546,814
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-06-30	$546,814
Was this plan covered by a fidelity bond	2012-06-30	Yes
Value of fidelity bond cover	2012-06-30	$5,000,000
If this is an individual account plan, was there a blackout period	2012-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2012-06-30	No
Income. Received or receivable in cash from other sources (including rollovers)	2012-06-30	$93,949
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-06-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-06-30	$90
Other income not declared elsewhere	2012-06-30	$890,384
Administrative expenses (other) incurred	2012-06-30	$301
Liabilities. Value of operating payables at end of year	2012-06-30	$0
Liabilities. Value of operating payables at beginning of year	2012-06-30	$2,719
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Value of net income/loss	2012-06-30	$803,735
Value of net assets at end of year (total assets less liabilities)	2012-06-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-06-30	$69,294,792
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-06-30	No
Were any leases to which the plan was party in default or uncollectible	2012-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-06-30	$36,191,077
Value of interest in pooled separate accounts at end of year	2012-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2012-06-30	$660,125
Interest earned on other investments	2012-06-30	$400,615
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-06-30	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-06-30	$415,591
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-06-30	$415,591
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-06-30	$175
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-06-30	$31,762,125
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-06-30	$-879,869
Net investment gain/loss from pooled separate accounts	2012-06-30	$74,922
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-06-30	No
Was there a failure to transmit to the plan any participant contributions	2012-06-30	No
Has the plan failed to provide any benefit when due under the plan	2012-06-30	No
Contributions received in cash from employer	2012-06-30	$3,511,185
Employer contributions (assets) at end of year	2012-06-30	$0
Employer contributions (assets) at beginning of year	2012-06-30	$268,503
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-06-30	$3,834,139
Did the plan have assets held for investment	2012-06-30	No
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	2012-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-06-30	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-06-30	Disclaimer
Accountancy firm name	2012-06-30	KPMG
Accountancy firm EIN	2012-06-30	135565207
2011 : UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-06-30	$0
Total transfer of assets to this plan	2011-06-30	$1,501
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-06-30	$2,719
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-06-30	$0
Total income from all sources (including contributions)	2011-06-30	$11,610,454
Total loss/gain on sale of assets	2011-06-30	$0
Total of all expenses incurred	2011-06-30	$3,708,955
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-06-30	$3,708,796
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-06-30	$3,046,113
Value of total assets at end of year	2011-06-30	$69,297,511
Value of total assets at beginning of year	2011-06-30	$61,391,792
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-06-30	$159
Total interest from all sources	2011-06-30	$361,739
Total dividends received (eg from common stock, registered investment company shares)	2011-06-30	$336,852
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-06-30	$336,852
Was this plan covered by a fidelity bond	2011-06-30	Yes
Value of fidelity bond cover	2011-06-30	$5,000,000
If this is an individual account plan, was there a blackout period	2011-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-06-30	No
Income. Received or receivable in cash from other sources (including rollovers)	2011-06-30	$61,125
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-06-30	$90
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-06-30	$25,555
Other income not declared elsewhere	2011-06-30	$890,377
Administrative expenses (other) incurred	2011-06-30	$159
Liabilities. Value of operating payables at end of year	2011-06-30	$2,719
Liabilities. Value of operating payables at beginning of year	2011-06-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Value of net income/loss	2011-06-30	$7,901,499
Value of net assets at end of year (total assets less liabilities)	2011-06-30	$69,294,792
Value of net assets at beginning of year (total assets less liabilities)	2011-06-30	$61,391,792
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-06-30	No
Were any leases to which the plan was party in default or uncollectible	2011-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-06-30	$36,191,077
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-06-30	$28,348,192
Value of interest in pooled separate accounts at end of year	2011-06-30	$660,125
Value of interest in pooled separate accounts at beginning of year	2011-06-30	$613,897
Interest earned on other investments	2011-06-30	$361,665
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-06-30	$415,591
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-06-30	$413,827
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-06-30	$413,827
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-06-30	$74
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-06-30	$31,762,125
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-06-30	$31,978,800
Expenses. Payments to insurance carriers foe the provision of benefits	2011-06-30	$451,025
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-06-30	$6,861,607
Net investment gain/loss from pooled separate accounts	2011-06-30	$113,766
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-06-30	No
Was there a failure to transmit to the plan any participant contributions	2011-06-30	No
Has the plan failed to provide any benefit when due under the plan	2011-06-30	No
Contributions received in cash from employer	2011-06-30	$2,984,988
Employer contributions (assets) at end of year	2011-06-30	$268,503
Employer contributions (assets) at beginning of year	2011-06-30	$11,521
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-06-30	$3,257,771
Did the plan have assets held for investment	2011-06-30	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	2011-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-06-30	Disclaimer
Accountancy firm name	2011-06-30	KPMG
Accountancy firm EIN	2011-06-30	135565207
2010 : UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-06-30	$0

Form 5500 Responses for UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN

2011: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Submission has been amended	No
2011-07-01	This submission is the final filing	Yes
2011-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-07-01	Plan is a collectively bargained plan	Yes
2011-07-01	Plan funding arrangement – Insurance	Yes
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement – Insurance	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2010: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2010 form 5500 responses
2010-07-01	Type of plan entity	Single employer plan
2010-07-01	Submission has been amended	No
2010-07-01	This submission is the final filing	No
2010-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-07-01	Plan is a collectively bargained plan	Yes
2010-07-01	Plan funding arrangement – Insurance	Yes
2010-07-01	Plan funding arrangement – Trust	Yes
2010-07-01	Plan benefit arrangement – Insurance	Yes
2010-07-01	Plan benefit arrangement - Trust	Yes
2009: UNIVERSITY OF NEW HAVEN DEFINED CONTRIBUTION RETIREMENT PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	No
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	Yes
2009-07-01	Plan funding arrangement – Insurance	Yes
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement – Insurance	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UNIVERSITY OF NEW HAVEN
Employer identification number (EIN):	060761704
NAIC Classification:	611000