401k Plan data: NEW YORK ACADEMY OF SCIENCES SRA PLAN plan

NEW YORK ACADEMY OF SCIENCES SRA PLAN 401k Plan overview

Plan Name	NEW YORK ACADEMY OF SCIENCES SRA PLAN
Plan identification number	002

NEW YORK ACADEMY OF SCIENCES SRA PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met. Code section 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

NEW YORK ACADEMY OF SCIENCES has sponsored the creation of one or more 401k plans.

Company Name: NEW YORK ACADEMY OF SCIENCES

Employer identification number (EIN): 131773640

NAIC Classification: 611000

Additional information about NEW YORK ACADEMY OF SCIENCES

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1818-01-01

Company Identification Number: 3600172

More information about NEW YORK ACADEMY OF SCIENCES

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NEW YORK ACADEMY OF SCIENCES SRA PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2016-01-01 WENDY SCHNEIDER
002 2016-01-01
002 2015-01-01 WENDY SCHNEIDER
002 2015-01-01 WENDY SCHNEIDER
002 2014-01-01 WENDY SCHNEIDER 2015-09-15
002 2013-01-01 WENDY SCHNEIDER 2014-10-06
002 2012-01-01 WENDY SCHNEIDER 2013-10-10
002 2011-01-01 WENDY SCHNEIDER 2012-10-03
002 2010-01-01 WENDY SCHNEIDER 2011-07-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2016-01-01	WENDY SCHNEIDER
002	2016-01-01
002	2015-01-01	WENDY SCHNEIDER
002	2015-01-01	WENDY SCHNEIDER
002	2014-01-01	WENDY SCHNEIDER	2015-09-15
002	2013-01-01	WENDY SCHNEIDER	2014-10-06
002	2012-01-01	WENDY SCHNEIDER	2013-10-10
002	2011-01-01	WENDY SCHNEIDER	2012-10-03
002	2010-01-01	WENDY SCHNEIDER	2011-07-21

Plan Statistics for NEW YORK ACADEMY OF SCIENCES SRA PLAN

401k plan membership statisitcs for NEW YORK ACADEMY OF SCIENCES SRA PLAN

Measure Date Value
2016: NEW YORK ACADEMY OF SCIENCES SRA PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 189
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: NEW YORK ACADEMY OF SCIENCES SRA PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 96
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 93
Total of all active and inactive participants 2015-01-01 189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 189
Number of participants with account balances 2015-01-01 131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2016: NEW YORK ACADEMY OF SCIENCES SRA PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	189
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: NEW YORK ACADEMY OF SCIENCES SRA PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	96
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	93
Total of all active and inactive participants	2015-01-01	189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	189
Number of participants with account balances	2015-01-01	131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on NEW YORK ACADEMY OF SCIENCES SRA PLAN

Measure	Date	Value
2016 : NEW YORK ACADEMY OF SCIENCES SRA PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$6,006,730
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	$1,066,262
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$140,531
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$140,531
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$749,553
Value of total assets at end of year	2016-12-31	$0
Value of total assets at beginning of year	2016-12-31	$5,080,999
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$0
Total interest from all sources	2016-12-31	$47,361
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$295,523
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$9,276
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$454,030
Other income not declared elsewhere	2016-12-31	$252,303
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$925,731
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$5,080,999
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$3,757,041
Value of interest in pooled separate accounts at end of year	2016-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$306,211
Interest earned on other investments	2016-12-31	$47,361
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$1,008,471
Net investment gain/loss from pooled separate accounts	2016-12-31	$17,045
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$140,531
Did the plan have assets held for investment	2016-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	EISNERAMPER LLP
Accountancy firm EIN	2016-12-31	131639826
2015 : NEW YORK ACADEMY OF SCIENCES SRA PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$2,151,495
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	$348,101
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$281,902
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$281,902
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$297,491
Value of total assets at end of year	2015-12-31	$5,080,999
Value of total assets at beginning of year	2015-12-31	$2,863,305
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$32,034
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$287,496
Participant contributions at end of year	2015-12-31	$9,276
Participant contributions at beginning of year	2015-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$9,995
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$66,199
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$5,080,999
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$2,863,305
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$3,757,041
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$2,083,349
Value of interest in pooled separate accounts at end of year	2015-12-31	$306,211
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$178,220
Interest earned on other investments	2015-12-31	$32,034
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$1,008,471
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$601,736
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-3,434
Net investment gain/loss from pooled separate accounts	2015-12-31	$22,010
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$281,902
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	EISNERAAMPER LLP
Accountancy firm EIN	2015-12-31	131639826

Form 5500 Responses for NEW YORK ACADEMY OF SCIENCES SRA PLAN

2016: NEW YORK ACADEMY OF SCIENCES SRA PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	Yes
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2015: NEW YORK ACADEMY OF SCIENCES SRA PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )

Policy contract number

367191

Policy instance

Insurance contract or identification number	367191
Number of Individuals Covered	132
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	NEW YORK ACADEMY OF SCIENCES
Employer identification number (EIN):	131773640
NAIC Classification:	611000

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1818-01-01
Company Identification Number:	3600172