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THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 401k Plan overview

Plan NameTHE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN
Plan identification number 001

THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN Benefits

401k Plan TypeDefined 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.

401k Sponsoring company profile

THE ROCKEFELLER UNIVERSITY has sponsored the creation of one or more 401k plans.

Company Name:THE ROCKEFELLER UNIVERSITY
Employer identification number (EIN):131624158
NAIC Classification:611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2018-10-15
0012016-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2017-10-13
0012015-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2016-10-13
0012014-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2015-07-29
0012013-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2014-10-03
0012012-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2013-07-30
0012011-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2012-07-12
0012010-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2011-10-17
0012009-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2010-10-15
0012009-01-01VIRGINIA HUFFMAN VIRGINIA HUFFMAN2010-10-15

Plan Statistics for THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN

401k plan membership statisitcs for THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN

Measure Date Value
2022: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-014,307
Total number of active participants reported on line 7a of the Form 55002022-01-011,331
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-012,958
Total of all active and inactive participants2022-01-014,289
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0193
Total participants2022-01-014,382
Number of participants with account balances2022-01-014,255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-014,294
Total number of active participants reported on line 7a of the Form 55002021-01-011,358
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-012,926
Total of all active and inactive participants2021-01-014,284
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0191
Total participants2021-01-014,375
Number of participants with account balances2021-01-014,251
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-014,277
Total number of active participants reported on line 7a of the Form 55002020-01-011,386
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-012,886
Total of all active and inactive participants2020-01-014,272
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-0130
Total participants2020-01-014,302
Number of participants with account balances2020-01-014,241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-014,243
Total number of active participants reported on line 7a of the Form 55002019-01-011,365
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-012,894
Total of all active and inactive participants2019-01-014,259
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-0121
Total participants2019-01-014,280
Number of participants with account balances2019-01-014,227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-014,202
Total number of active participants reported on line 7a of the Form 55002018-01-013,089
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-011,138
Total of all active and inactive participants2018-01-014,227
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0117
Total participants2018-01-014,244
Number of participants with account balances2018-01-014,190
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-014,144
Total number of active participants reported on line 7a of the Form 55002017-01-013,181
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-011,004
Total of all active and inactive participants2017-01-014,185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0118
Total participants2017-01-014,203
Number of participants with account balances2017-01-014,154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-014,067
Total number of active participants reported on line 7a of the Form 55002016-01-013,290
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01838
Total of all active and inactive participants2016-01-014,128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-0117
Total participants2016-01-014,145
Number of participants with account balances2016-01-014,092
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-013,992
Total number of active participants reported on line 7a of the Form 55002015-01-013,341
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01713
Total of all active and inactive participants2015-01-014,054
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0119
Total participants2015-01-014,073
Number of participants with account balances2015-01-014,020
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-013,960
Total number of active participants reported on line 7a of the Form 55002014-01-013,327
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01648
Total of all active and inactive participants2014-01-013,975
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-0119
Total participants2014-01-013,994
Number of participants with account balances2014-01-013,958
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-014,147
Total number of active participants reported on line 7a of the Form 55002013-01-013,557
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01567
Total of all active and inactive participants2013-01-014,124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-0123
Total participants2013-01-014,147
Number of participants with account balances2013-01-013,921
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-014,125
Total number of active participants reported on line 7a of the Form 55002012-01-013,685
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01444
Total of all active and inactive participants2012-01-014,129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-0119
Total participants2012-01-014,148
Number of participants with account balances2012-01-013,872
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-014,099
Total number of active participants reported on line 7a of the Form 55002011-01-013,694
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01417
Total of all active and inactive participants2011-01-014,111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0116
Total participants2011-01-014,127
Number of participants with account balances2011-01-013,858
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-013,544
Total number of active participants reported on line 7a of the Form 55002010-01-013,224
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-01401
Total of all active and inactive participants2010-01-013,625
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-0111
Total participants2010-01-013,636
Number of participants with account balances2010-01-013,458
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-013,395
Total number of active participants reported on line 7a of the Form 55002009-01-013,112
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01397
Total of all active and inactive participants2009-01-013,509
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-015
Total participants2009-01-013,514
Number of participants with account balances2009-01-013,386
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN

Measure Date Value
2022 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets to this plan2022-12-31$0
Total transfer of assets from this plan2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-67,750,541
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$30,250,146
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$30,183,966
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$20,082,702
Value of total assets at end of year2022-12-31$672,337,250
Value of total assets at beginning of year2022-12-31$770,337,937
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$66,180
Total interest from all sources2022-12-31$8,286,637
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$8,268,861
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$8,268,861
Was this plan covered by a fidelity bond2022-12-31No
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$7,108,676
Participant contributions at end of year2022-12-31$831,148
Participant contributions at beginning of year2022-12-31$527,110
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$2,526,901
Other income not declared elsewhere2022-12-31$696,182
Administrative expenses (other) incurred2022-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-98,000,687
Value of net assets at end of year (total assets less liabilities)2022-12-31$672,337,250
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$770,337,937
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$425,587,576
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$529,876,743
Value of interest in pooled separate accounts at end of year2022-12-31$32,500,579
Value of interest in pooled separate accounts at beginning of year2022-12-31$29,194,030
Interest on participant loans2022-12-31$24,260
Interest earned on other investments2022-12-31$8,262,377
Value of interest in master investment trust accounts at end of year2022-12-31$0
Value of interest in master investment trust accounts at beginning of year2022-12-31$0
Value of interest in common/collective trusts at end of year2022-12-31$0
Value of interest in common/collective trusts at beginning of year2022-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2022-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2022-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$213,417,947
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$210,740,054
Expenses. Payments to insurance carriers foe the provision of benefits2022-12-31$712,779
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-107,462,658
Net investment gain/loss from pooled separate accounts2022-12-31$2,377,735
Net investment gain or loss from common/collective trusts2022-12-31$0
Net gain/loss from 103.12 investment entities2022-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$10,447,125
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$29,471,187
Contract administrator fees2022-12-31$66,180
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Disclaimer
Accountancy firm name2022-12-31KPMG LLP
Accountancy firm EIN2022-12-31135565207
2021 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets from this plan2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$108,190,546
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$41,031,128
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$40,888,671
Expenses. Certain deemed distributions of participant loans2021-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$18,938,192
Value of total assets at end of year2021-12-31$770,337,937
Value of total assets at beginning of year2021-12-31$703,178,519
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$142,457
Total interest from all sources2021-12-31$7,124,055
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$12,123,319
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$12,123,319
Was this plan covered by a fidelity bond2021-12-31No
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$6,925,062
Participant contributions at end of year2021-12-31$527,110
Participant contributions at beginning of year2021-12-31$303,232
Assets. Other investments not covered elsewhere at end of year2021-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$1,768,139
Other income not declared elsewhere2021-12-31$767,206
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$67,159,418
Value of net assets at end of year (total assets less liabilities)2021-12-31$770,337,937
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$703,178,519
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$529,876,743
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$466,877,468
Value of interest in pooled separate accounts at end of year2021-12-31$29,194,030
Value of interest in pooled separate accounts at beginning of year2021-12-31$23,332,600
Interest on participant loans2021-12-31$12,961
Interest earned on other investments2021-12-31$7,111,094
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$210,740,054
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$212,665,219
Expenses. Payments to insurance carriers foe the provision of benefits2021-12-31$2,638,297
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$64,959,294
Net investment gain/loss from pooled separate accounts2021-12-31$4,278,480
Net investment gain or loss from common/collective trusts2021-12-31$0
Net gain/loss from 103.12 investment entities2021-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$10,244,991
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$38,250,374
Contract administrator fees2021-12-31$142,457
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Disclaimer
Accountancy firm name2021-12-31KPMG LLP
Accountancy firm EIN2021-12-31135565207
2020 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$98,785,167
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$31,699,394
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$31,615,023
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$18,629,999
Value of total assets at end of year2020-12-31$703,178,519
Value of total assets at beginning of year2020-12-31$636,092,746
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$84,371
Total interest from all sources2020-12-31$7,855,010
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$5,910,987
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$5,910,987
Was this plan covered by a fidelity bond2020-12-31No
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$6,973,416
Participant contributions at end of year2020-12-31$303,232
Participant contributions at beginning of year2020-12-31$0
Assets. Other investments not covered elsewhere at end of year2020-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,343,865
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-12-31$0
Other income not declared elsewhere2020-12-31$668,839
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$67,085,773
Value of net assets at end of year (total assets less liabilities)2020-12-31$703,178,519
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$636,092,746
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$466,877,468
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$400,525,744
Value of interest in pooled separate accounts at end of year2020-12-31$23,332,600
Value of interest in pooled separate accounts at beginning of year2020-12-31$28,735,074
Interest on participant loans2020-12-31$2,288
Interest earned on other investments2020-12-31$7,852,722
Value of interest in master investment trust accounts at end of year2020-12-31$0
Value of interest in master investment trust accounts at beginning of year2020-12-31$0
Value of interest in common/collective trusts at end of year2020-12-31$0
Value of interest in common/collective trusts at beginning of year2020-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2020-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$212,665,219
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$206,831,928
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$65,973,319
Net investment gain/loss from pooled separate accounts2020-12-31$-252,987
Net investment gain or loss from common/collective trusts2020-12-31$0
Net gain/loss from 103.12 investment entities2020-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$10,312,718
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$31,615,023
Contract administrator fees2020-12-31$84,371
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31KPMG, LLP
Accountancy firm EIN2020-12-31135565207
2019 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets from this plan2019-12-31$0
Total transfer of assets from this plan2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$113,657,034
Total income from all sources (including contributions)2019-12-31$113,657,034
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$43,117,270
Total of all expenses incurred2019-12-31$43,117,270
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$43,068,270
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$43,068,270
Expenses. Certain deemed distributions of participant loans2019-12-31$0
Expenses. Certain deemed distributions of participant loans2019-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$22,147,613
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$22,147,613
Value of total assets at end of year2019-12-31$636,092,746
Value of total assets at end of year2019-12-31$636,092,746
Value of total assets at beginning of year2019-12-31$565,552,982
Value of total assets at beginning of year2019-12-31$565,552,982
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$49,000
Total interest from all sources2019-12-31$7,930,371
Total interest from all sources2019-12-31$7,930,371
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$5,273,651
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$5,273,651
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$5,273,651
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$5,273,651
Was this plan covered by a fidelity bond2019-12-31No
Was this plan covered by a fidelity bond2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$6,902,830
Contributions received from participants2019-12-31$6,902,830
Participant contributions at end of year2019-12-31$0
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$0
Assets. Other investments not covered elsewhere at end of year2019-12-31$0
Assets. Other investments not covered elsewhere at end of year2019-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$5,067,029
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$5,067,029
Other income not declared elsewhere2019-12-31$429,802
Other income not declared elsewhere2019-12-31$429,802
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$70,539,764
Value of net income/loss2019-12-31$70,539,764
Value of net assets at end of year (total assets less liabilities)2019-12-31$636,092,746
Value of net assets at end of year (total assets less liabilities)2019-12-31$636,092,746
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$565,552,982
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$565,552,982
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$0
Investment advisory and management fees2019-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$400,525,744
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$400,525,744
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$327,490,227
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$327,490,227
Value of interest in pooled separate accounts at end of year2019-12-31$28,735,074
Value of interest in pooled separate accounts at end of year2019-12-31$28,735,074
Value of interest in pooled separate accounts at beginning of year2019-12-31$27,525,766
Value of interest in pooled separate accounts at beginning of year2019-12-31$27,525,766
Interest on participant loans2019-12-31$8
Interest on participant loans2019-12-31$8
Interest earned on other investments2019-12-31$7,930,363
Interest earned on other investments2019-12-31$7,930,363
Value of interest in master investment trust accounts at end of year2019-12-31$0
Value of interest in master investment trust accounts at end of year2019-12-31$0
Value of interest in master investment trust accounts at beginning of year2019-12-31$0
Value of interest in master investment trust accounts at beginning of year2019-12-31$0
Value of interest in common/collective trusts at end of year2019-12-31$0
Value of interest in common/collective trusts at end of year2019-12-31$0
Value of interest in common/collective trusts at beginning of year2019-12-31$0
Value of interest in common/collective trusts at beginning of year2019-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2019-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2019-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2019-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$206,831,928
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$206,831,928
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$210,536,989
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$210,536,989
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$14,610,468
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$14,610,468
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$76,379,876
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$76,379,876
Net investment gain/loss from pooled separate accounts2019-12-31$1,495,721
Net investment gain/loss from pooled separate accounts2019-12-31$1,495,721
Net investment gain or loss from common/collective trusts2019-12-31$0
Net investment gain or loss from common/collective trusts2019-12-31$0
Net gain/loss from 103.12 investment entities2019-12-31$0
Net gain/loss from 103.12 investment entities2019-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$10,177,754
Contributions received in cash from employer2019-12-31$10,177,754
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$28,457,802
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$28,457,802
Contract administrator fees2019-12-31$49,000
Contract administrator fees2019-12-31$49,000
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31KPMG, LLP
Accountancy firm name2019-12-31KPMG, LLP
Accountancy firm EIN2019-12-31135565207
Accountancy firm EIN2019-12-31135565207
2018 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$0
Total transfer of assets from this plan2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$2,071,041
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$26,851,760
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$26,786,760
Expenses. Certain deemed distributions of participant loans2018-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$21,052,340
Value of total assets at end of year2018-12-31$565,552,982
Value of total assets at beginning of year2018-12-31$590,333,701
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$65,000
Total interest from all sources2018-12-31$8,140,104
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$5,947,504
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$5,947,504
Was this plan covered by a fidelity bond2018-12-31No
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$6,696,618
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$0
Assets. Other investments not covered elsewhere at end of year2018-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$4,390,286
Other income not declared elsewhere2018-12-31$434,898
Administrative expenses (other) incurred2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-24,780,719
Value of net assets at end of year (total assets less liabilities)2018-12-31$565,552,982
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$590,333,701
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$327,490,227
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$361,576,744
Value of interest in pooled separate accounts at end of year2018-12-31$27,525,766
Value of interest in pooled separate accounts at beginning of year2018-12-31$26,713,169
Interest on participant loans2018-12-31$0
Interest earned on other investments2018-12-31$8,140,104
Value of interest in master investment trust accounts at end of year2018-12-31$0
Value of interest in master investment trust accounts at beginning of year2018-12-31$0
Value of interest in common/collective trusts at end of year2018-12-31$0
Value of interest in common/collective trusts at beginning of year2018-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2018-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$210,536,989
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$202,043,788
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$4,047,406
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-34,779,911
Net investment gain/loss from pooled separate accounts2018-12-31$1,276,106
Net investment gain or loss from common/collective trusts2018-12-31$0
Net gain/loss from 103.12 investment entities2018-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$9,965,436
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$22,739,354
Contract administrator fees2018-12-31$65,000
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31KPMG LLP
Accountancy firm EIN2018-12-31135565207
2017 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$91,568,992
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$25,577,540
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$25,544,540
Expenses. Certain deemed distributions of participant loans2017-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$19,454,928
Value of total assets at end of year2017-12-31$590,333,701
Value of total assets at beginning of year2017-12-31$524,342,249
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$33,000
Total interest from all sources2017-12-31$7,717,528
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$4,068,346
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$4,068,346
Administrative expenses professional fees incurred2017-12-31$33,000
Was this plan covered by a fidelity bond2017-12-31No
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$6,506,039
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$0
Assets. Other investments not covered elsewhere at end of year2017-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$3,283,334
Other income not declared elsewhere2017-12-31$325,125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$65,991,452
Value of net assets at end of year (total assets less liabilities)2017-12-31$590,333,701
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$524,342,249
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$361,576,744
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$302,140,608
Value of interest in pooled separate accounts at end of year2017-12-31$26,713,169
Value of interest in pooled separate accounts at beginning of year2017-12-31$26,400,729
Interest earned on other investments2017-12-31$7,717,528
Value of interest in master investment trust accounts at end of year2017-12-31$0
Value of interest in master investment trust accounts at beginning of year2017-12-31$0
Value of interest in common/collective trusts at end of year2017-12-31$0
Value of interest in common/collective trusts at beginning of year2017-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2017-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$202,043,788
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$195,800,912
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$4,302,166
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$58,848,768
Net investment gain/loss from pooled separate accounts2017-12-31$1,154,297
Net investment gain or loss from common/collective trusts2017-12-31$0
Net gain/loss from 103.12 investment entities2017-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$9,665,555
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$21,242,374
Contract administrator fees2017-12-31$0
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31KPMG
Accountancy firm EIN2017-12-31135565207
2016 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets to this plan2016-12-31$0
Total transfer of assets from this plan2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$49,702,600
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$23,572,064
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$23,527,597
Expenses. Certain deemed distributions of participant loans2016-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$18,207,723
Value of total assets at end of year2016-12-31$524,342,249
Value of total assets at beginning of year2016-12-31$498,211,713
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$44,467
Total interest from all sources2016-12-31$8,188,327
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,415,575
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$2,415,575
Was this plan covered by a fidelity bond2016-12-31No
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$6,042,148
Participant contributions at end of year2016-12-31$0
Participant contributions at beginning of year2016-12-31$0
Assets. Other investments not covered elsewhere at end of year2016-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$2,910,761
Other income not declared elsewhere2016-12-31$278,183
Administrative expenses (other) incurred2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$26,130,536
Value of net assets at end of year (total assets less liabilities)2016-12-31$524,342,249
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$498,211,713
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$302,140,608
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$283,954,408
Value of interest in pooled separate accounts at end of year2016-12-31$26,400,729
Value of interest in pooled separate accounts at beginning of year2016-12-31$24,419,144
Interest on participant loans2016-12-31$90
Interest earned on other investments2016-12-31$8,188,237
Value of interest in master investment trust accounts at end of year2016-12-31$0
Value of interest in master investment trust accounts at beginning of year2016-12-31$0
Value of interest in common/collective trusts at end of year2016-12-31$0
Value of interest in common/collective trusts at beginning of year2016-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2016-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$195,800,912
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$189,838,161
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$19,320,877
Net investment gain/loss from pooled separate accounts2016-12-31$1,291,915
Net investment gain or loss from common/collective trusts2016-12-31$0
Net gain/loss from 103.12 investment entities2016-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$9,254,814
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$23,527,597
Contract administrator fees2016-12-31$44,467
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31KPMG
Accountancy firm EIN2016-12-31135565207
2015 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$0
Total transfer of assets from this plan2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$26,211,490
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$28,832,362
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$28,750,542
Expenses. Certain deemed distributions of participant loans2015-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$17,062,146
Value of total assets at end of year2015-12-31$498,211,713
Value of total assets at beginning of year2015-12-31$500,832,585
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$81,820
Total interest from all sources2015-12-31$7,487,352
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$2,994,479
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$2,994,479
Was this plan covered by a fidelity bond2015-12-31No
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$5,775,564
Participant contributions at end of year2015-12-31$0
Participant contributions at beginning of year2015-12-31$0
Assets. Other investments not covered elsewhere at end of year2015-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$2,594,147
Other income not declared elsewhere2015-12-31$327,792
Administrative expenses (other) incurred2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-2,620,872
Value of net assets at end of year (total assets less liabilities)2015-12-31$498,211,713
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$500,832,585
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$283,954,408
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$294,017,480
Value of interest in pooled separate accounts at end of year2015-12-31$24,419,144
Value of interest in pooled separate accounts at beginning of year2015-12-31$21,944,130
Interest earned on other investments2015-12-31$7,487,352
Value of interest in master investment trust accounts at end of year2015-12-31$0
Value of interest in master investment trust accounts at beginning of year2015-12-31$0
Value of interest in common/collective trusts at end of year2015-12-31$0
Value of interest in common/collective trusts at beginning of year2015-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2015-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$189,838,161
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$184,870,975
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$1,969,477
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-3,475,689
Net investment gain/loss from pooled separate accounts2015-12-31$1,815,410
Net investment gain or loss from common/collective trusts2015-12-31$0
Net gain/loss from 103.12 investment entities2015-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$8,692,435
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$26,781,065
Contract administrator fees2015-12-31$81,820
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31KPMG
Accountancy firm EIN2015-12-31135565207
2014 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$43,018,999
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$29,034,301
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$29,033,116
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$14,250,372
Value of total assets at end of year2014-12-31$500,832,585
Value of total assets at beginning of year2014-12-31$486,847,887
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,185
Total interest from all sources2014-12-31$7,633,080
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,681,809
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$2,681,809
Administrative expenses professional fees incurred2014-12-31$1,185
Was this plan covered by a fidelity bond2014-12-31No
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$5,460,163
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$521,059
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$13,984,698
Value of net assets at end of year (total assets less liabilities)2014-12-31$500,832,585
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$486,847,887
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$294,017,480
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$284,277,843
Value of interest in pooled separate accounts at end of year2014-12-31$21,944,130
Value of interest in pooled separate accounts at beginning of year2014-12-31$19,336,357
Interest earned on other investments2014-12-31$7,633,080
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$184,870,975
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$183,233,687
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$4,062,585
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$16,111,112
Net investment gain/loss from pooled separate accounts2014-12-31$2,342,626
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$8,269,150
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$24,970,531
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31KPMG LLP
Accountancy firm EIN2014-12-31135565207
2013 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$77,911,288
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$22,804,255
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$22,762,105
Expenses. Certain deemed distributions of participant loans2013-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$13,475,824
Value of total assets at end of year2013-12-31$486,847,887
Value of total assets at beginning of year2013-12-31$431,740,854
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$42,150
Total interest from all sources2013-12-31$7,218,274
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$1,972,944
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$1,972,944
Was this plan covered by a fidelity bond2013-12-31No
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$5,274,302
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$188,695
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$55,107,033
Value of net assets at end of year (total assets less liabilities)2013-12-31$486,847,887
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$431,740,854
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$284,277,843
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$238,282,654
Value of interest in pooled separate accounts at end of year2013-12-31$19,336,357
Value of interest in pooled separate accounts at beginning of year2013-12-31$16,074,526
Interest on participant loans2013-12-31$8
Interest earned on other investments2013-12-31$7,218,266
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$183,233,687
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$177,383,674
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$1,317,252
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$53,578,205
Net investment gain/loss from pooled separate accounts2013-12-31$1,666,041
Net investment gain or loss from common/collective trusts2013-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$8,012,827
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$21,444,853
Contract administrator fees2013-12-31$42,150
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31KPMG LLP
Accountancy firm EIN2013-12-31135565207
2012 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2012 401k financial data
Total transfer of assets to this plan2012-12-31$0
Total transfer of assets from this plan2012-12-31$0
Total income from all sources (including contributions)2012-12-31$54,906,860
Total of all expenses incurred2012-12-31$25,237,833
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$25,237,833
Expenses. Certain deemed distributions of participant loans2012-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$14,516,384
Value of total assets at end of year2012-12-31$431,740,854
Value of total assets at beginning of year2012-12-31$402,071,827
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$0
Total interest from all sources2012-12-31$6,929,314
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$624,236
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$624,236
Was this plan covered by a fidelity bond2012-12-31No
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$5,121,739
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$0
Assets. Other investments not covered elsewhere at end of year2012-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$1,721,548
Other income not declared elsewhere2012-12-31$0
Administrative expenses (other) incurred2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$29,669,027
Value of net assets at end of year (total assets less liabilities)2012-12-31$431,740,854
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$402,071,827
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$238,282,654
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$213,898,239
Value of interest in pooled separate accounts at end of year2012-12-31$16,074,526
Value of interest in pooled separate accounts at beginning of year2012-12-31$12,616,914
Interest earned on other investments2012-12-31$6,929,314
Value of interest in master investment trust accounts at end of year2012-12-31$0
Value of interest in master investment trust accounts at beginning of year2012-12-31$0
Value of interest in common/collective trusts at end of year2012-12-31$0
Value of interest in common/collective trusts at beginning of year2012-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2012-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$177,383,674
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$175,556,674
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$3,431,285
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$31,475,337
Net investment gain/loss from pooled separate accounts2012-12-31$1,361,589
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$7,673,097
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$21,806,548
Contract administrator fees2012-12-31$0
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31KPMG LLP
Accountancy firm EIN2012-12-31135565207
2011 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2011 401k financial data
Total transfer of assets to this plan2011-12-31$107,744,812
Total transfer of assets from this plan2011-12-31$0
Total income from all sources (including contributions)2011-12-31$17,602,900
Total of all expenses incurred2011-12-31$16,090,249
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$16,090,061
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$15,860,516
Value of total assets at end of year2011-12-31$402,071,827
Value of total assets at beginning of year2011-12-31$292,814,364
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$188
Total interest from all sources2011-12-31$6,676,730
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$366,220
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$366,220
Was this plan covered by a fidelity bond2011-12-31No
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$5,164,043
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$3,259,611
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$948
Other income not declared elsewhere2011-12-31$0
Administrative expenses (other) incurred2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$1,512,651
Value of net assets at end of year (total assets less liabilities)2011-12-31$402,071,827
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$292,814,364
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$213,898,239
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$163,194,699
Value of interest in pooled separate accounts at end of year2011-12-31$12,616,914
Value of interest in pooled separate accounts at beginning of year2011-12-31$5,572,027
Interest earned on other investments2011-12-31$6,676,730
Value of interest in master investment trust accounts at end of year2011-12-31$0
Value of interest in master investment trust accounts at beginning of year2011-12-31$0
Value of interest in common/collective trusts at end of year2011-12-31$0
Value of interest in common/collective trusts at beginning of year2011-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2011-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$175,556,674
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$124,047,638
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$1,788,868
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-6,649,030
Net investment gain/loss from pooled separate accounts2011-12-31$1,348,464
Net investment gain or loss from common/collective trusts2011-12-31$0
Net gain/loss from 103.12 investment entities2011-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$7,436,862
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$14,300,245
Contract administrator fees2011-12-31$188
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31KPMG LLP
Accountancy firm EIN2011-12-31135565207
2010 : THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2010 401k financial data
Total transfer of assets to this plan2010-12-31$0
Total transfer of assets from this plan2010-12-31$0
Total income from all sources (including contributions)2010-12-31$32,726,777
Total of all expenses incurred2010-12-31$9,116,961
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$9,116,961
Expenses. Certain deemed distributions of participant loans2010-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$7,463,941
Value of total assets at end of year2010-12-31$292,814,364
Value of total assets at beginning of year2010-12-31$269,204,548
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$0
Total interest from all sources2010-12-31$4,672,415
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$102,505
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$102,505
Was this plan covered by a fidelity bond2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$0
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$0
Assets. Other investments not covered elsewhere at end of year2010-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$-2,317
Other income not declared elsewhere2010-12-31$0
Administrative expenses (other) incurred2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$23,609,816
Value of net assets at end of year (total assets less liabilities)2010-12-31$292,814,364
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$269,204,548
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$163,194,699
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$145,671,595
Value of interest in pooled separate accounts at end of year2010-12-31$5,572,027
Value of interest in pooled separate accounts at beginning of year2010-12-31$3,260,213
Interest on participant loans2010-12-31$0
Interest earned on other investments2010-12-31$4,672,415
Value of interest in master investment trust accounts at end of year2010-12-31$0
Value of interest in master investment trust accounts at beginning of year2010-12-31$0
Value of interest in common/collective trusts at end of year2010-12-31$0
Value of interest in common/collective trusts at beginning of year2010-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2010-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$124,047,638
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$119,922,506
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$19,906,050
Net investment gain/loss from pooled separate accounts2010-12-31$581,866
Net investment gain or loss from common/collective trusts2010-12-31$0
Net gain/loss from 103.12 investment entities2010-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$7,466,258
Employer contributions (assets) at beginning of year2010-12-31$350,234
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$9,116,961
Contract administrator fees2010-12-31$0
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31KPMG LLP
Accountancy firm EIN2010-12-31135565207

Form 5500 Responses for THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN

2022: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan benefit arrangement – InsuranceYes
2021: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan benefit arrangement – InsuranceYes
2020: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan benefit arrangement – InsuranceYes
2019: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan benefit arrangement – InsuranceYes
2018: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan benefit arrangement – InsuranceYes
2017: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan benefit arrangement – InsuranceYes
2016: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan benefit arrangement – InsuranceYes
2015: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan benefit arrangement – InsuranceYes
2014: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan benefit arrangement – InsuranceYes
2013: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan benefit arrangement – InsuranceYes
2012: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan benefit arrangement – InsuranceYes
2010: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan benefit arrangement – InsuranceYes
2009: THE ROCKEFELLER UNIVERSITY NON-CONTRIBUTORY RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number103430
Policy instance 1
Insurance contract or identification number103430
Number of Individuals Covered2822
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number103430
Policy instance 1
Insurance contract or identification number103430
Number of Individuals Covered2851
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number103430
Policy instance 1
Insurance contract or identification number103430
Number of Individuals Covered2920
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number103430
Policy instance 1
Insurance contract or identification number103430
Number of Individuals Covered2960
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number103430
Policy instance 1
Insurance contract or identification number103430
Number of Individuals Covered2989
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number103430
Policy instance 1
Insurance contract or identification number103430
Number of Individuals Covered3037
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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

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