401k Plan data: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 plan

AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 401k Plan overview

Plan Name	AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2
Plan identification number	004

AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST has sponsored the creation of one or more 401k plans.

Company Name: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST

Employer identification number (EIN): 204392201

NAIC Classification: 813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2019-07-01
004 2018-07-01
004 2017-07-01
004 2016-07-01 BRIAN LEIBL
004 2015-07-01 BRIAN LEIBL
004 2014-07-01 BRIAN LEIBL 2016-04-04
004 2013-07-01 BRIAN LEIBL 2015-02-27
004 2012-07-01 LAURA SCOTT 2014-04-11

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
004	2019-07-01
004	2018-07-01
004	2017-07-01
004	2016-07-01	BRIAN LEIBL
004	2015-07-01	BRIAN LEIBL
004	2014-07-01	BRIAN LEIBL	2016-04-04
004	2013-07-01	BRIAN LEIBL	2015-02-27
004	2012-07-01	LAURA SCOTT	2014-04-11

Plan Statistics for AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2

401k plan membership statisitcs for AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2

Measure Date Value
2019: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2019 401k membership
Total participants, beginning-of-year 2019-07-01 129
Total number of active participants reported on line 7a of the Form 5500 2019-07-01 0
Number of retired or separated participants receiving benefits 2019-07-01 0
Number of other retired or separated participants entitled to future benefits 2019-07-01 0
Total of all active and inactive participants 2019-07-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-07-01 0
Total participants 2019-07-01 0
Number of participants with account balances 2019-07-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-07-01 2
2018: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2018 401k membership
Total participants, beginning-of-year 2018-07-01 181
Total number of active participants reported on line 7a of the Form 5500 2018-07-01 115
Number of retired or separated participants receiving benefits 2018-07-01 0
Number of other retired or separated participants entitled to future benefits 2018-07-01 33
Total of all active and inactive participants 2018-07-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-07-01 0
Total participants 2018-07-01 148
Number of participants with account balances 2018-07-01 129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-07-01 7
2017: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2017 401k membership
Total participants, beginning-of-year 2017-07-01 175
Total number of active participants reported on line 7a of the Form 5500 2017-07-01 113
Number of retired or separated participants receiving benefits 2017-07-01 0
Number of other retired or separated participants entitled to future benefits 2017-07-01 67
Total of all active and inactive participants 2017-07-01 180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-07-01 0
Total participants 2017-07-01 180
Number of participants with account balances 2017-07-01 167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-07-01 12
2016: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2016 401k membership
Total participants, beginning-of-year 2016-07-01 148
Total number of active participants reported on line 7a of the Form 5500 2016-07-01 126
Number of retired or separated participants receiving benefits 2016-07-01 0
Number of other retired or separated participants entitled to future benefits 2016-07-01 28
Total of all active and inactive participants 2016-07-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-07-01 0
Total participants 2016-07-01 154
Number of participants with account balances 2016-07-01 141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-07-01 13
2015: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2015 401k membership
Total participants, beginning-of-year 2015-07-01 139
Total number of active participants reported on line 7a of the Form 5500 2015-07-01 128
Number of retired or separated participants receiving benefits 2015-07-01 14
Number of other retired or separated participants entitled to future benefits 2015-07-01 0
Total of all active and inactive participants 2015-07-01 142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-07-01 0
Total participants 2015-07-01 142
Number of participants with account balances 2015-07-01 125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-07-01 9

Measure	Date	Value
2019: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2019 401k membership
Total participants, beginning-of-year	2019-07-01	129
Total number of active participants reported on line 7a of the Form 5500	2019-07-01	0
Number of retired or separated participants receiving benefits	2019-07-01	0
Number of other retired or separated participants entitled to future benefits	2019-07-01	0
Total of all active and inactive participants	2019-07-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-07-01	0
Total participants	2019-07-01	0
Number of participants with account balances	2019-07-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-07-01	2
2018: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2018 401k membership
Total participants, beginning-of-year	2018-07-01	181
Total number of active participants reported on line 7a of the Form 5500	2018-07-01	115
Number of retired or separated participants receiving benefits	2018-07-01	0
Number of other retired or separated participants entitled to future benefits	2018-07-01	33
Total of all active and inactive participants	2018-07-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-07-01	0
Total participants	2018-07-01	148
Number of participants with account balances	2018-07-01	129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-07-01	7
2017: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2017 401k membership
Total participants, beginning-of-year	2017-07-01	175
Total number of active participants reported on line 7a of the Form 5500	2017-07-01	113
Number of retired or separated participants receiving benefits	2017-07-01	0
Number of other retired or separated participants entitled to future benefits	2017-07-01	67
Total of all active and inactive participants	2017-07-01	180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-07-01	0
Total participants	2017-07-01	180
Number of participants with account balances	2017-07-01	167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-07-01	12
2016: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2016 401k membership
Total participants, beginning-of-year	2016-07-01	148
Total number of active participants reported on line 7a of the Form 5500	2016-07-01	126
Number of retired or separated participants receiving benefits	2016-07-01	0
Number of other retired or separated participants entitled to future benefits	2016-07-01	28
Total of all active and inactive participants	2016-07-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-07-01	0
Total participants	2016-07-01	154
Number of participants with account balances	2016-07-01	141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-07-01	13
2015: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2015 401k membership
Total participants, beginning-of-year	2015-07-01	139
Total number of active participants reported on line 7a of the Form 5500	2015-07-01	128
Number of retired or separated participants receiving benefits	2015-07-01	14
Number of other retired or separated participants entitled to future benefits	2015-07-01	0
Total of all active and inactive participants	2015-07-01	142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-07-01	0
Total participants	2015-07-01	142
Number of participants with account balances	2015-07-01	125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-07-01	9

Financial Data on AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2

Measure	Date	Value
2020 : AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-03-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-03-31	$0
Total income from all sources (including contributions)	2020-03-31	$146,671
Total loss/gain on sale of assets	2020-03-31	$0
Total of all expenses incurred	2020-03-31	$6,164,944
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-03-31	$6,148,473
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-03-31	$0
Value of total assets at end of year	2020-03-31	$0
Value of total assets at beginning of year	2020-03-31	$6,018,273
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-03-31	$16,471
Total interest from all sources	2020-03-31	$891
Total dividends received (eg from common stock, registered investment company shares)	2020-03-31	$214,424
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-03-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2020-03-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2020-03-31	$214,424
Administrative expenses professional fees incurred	2020-03-31	$2,996
Was this plan covered by a fidelity bond	2020-03-31	Yes
Value of fidelity bond cover	2020-03-31	$1,000,000
If this is an individual account plan, was there a blackout period	2020-03-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-03-31	No
Participant contributions at end of year	2020-03-31	$0
Participant contributions at beginning of year	2020-03-31	$24,806
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-03-31	No
Value of net income/loss	2020-03-31	$-6,018,273
Value of net assets at end of year (total assets less liabilities)	2020-03-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-03-31	$6,018,273
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-03-31	No
Were any leases to which the plan was party in default or uncollectible	2020-03-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-03-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-03-31	$5,993,077
Interest on participant loans	2020-03-31	$891
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-03-31	$-68,644
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-03-31	No
Was there a failure to transmit to the plan any participant contributions	2020-03-31	No
Has the plan failed to provide any benefit when due under the plan	2020-03-31	No
Employer contributions (assets) at end of year	2020-03-31	$0
Employer contributions (assets) at beginning of year	2020-03-31	$390
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-03-31	$6,148,473
Contract administrator fees	2020-03-31	$13,475
Did the plan have assets held for investment	2020-03-31	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	2020-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-03-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2020-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2020-03-31	Disclaimer
Accountancy firm name	2020-03-31	SIKICH LLP
Accountancy firm EIN	2020-03-31	363168081
2019 : AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-06-30	$0
Total income from all sources (including contributions)	2019-06-30	$1,195,717
Total loss/gain on sale of assets	2019-06-30	$0
Total of all expenses incurred	2019-06-30	$753,393
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-06-30	$747,812
Expenses. Certain deemed distributions of participant loans	2019-06-30	$1,801
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-06-30	$898,579
Value of total assets at end of year	2019-06-30	$6,018,273
Value of total assets at beginning of year	2019-06-30	$5,575,949
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-06-30	$3,780
Total interest from all sources	2019-06-30	$1,880
Total dividends received (eg from common stock, registered investment company shares)	2019-06-30	$264,295
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-06-30	$264,295
Was this plan covered by a fidelity bond	2019-06-30	Yes
Value of fidelity bond cover	2019-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2019-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2019-06-30	No
Contributions received from participants	2019-06-30	$402,586
Participant contributions at end of year	2019-06-30	$24,806
Participant contributions at beginning of year	2019-06-30	$28,128
Income. Received or receivable in cash from other sources (including rollovers)	2019-06-30	$6,642
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-06-30	No
Value of net income/loss	2019-06-30	$442,324
Value of net assets at end of year (total assets less liabilities)	2019-06-30	$6,018,273
Value of net assets at beginning of year (total assets less liabilities)	2019-06-30	$5,575,949
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-06-30	No
Were any leases to which the plan was party in default or uncollectible	2019-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-06-30	$5,993,077
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-06-30	$5,547,821
Interest on participant loans	2019-06-30	$1,880
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-06-30	$30,963
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-06-30	No
Was there a failure to transmit to the plan any participant contributions	2019-06-30	No
Has the plan failed to provide any benefit when due under the plan	2019-06-30	No
Contributions received in cash from employer	2019-06-30	$489,351
Employer contributions (assets) at end of year	2019-06-30	$390
Employer contributions (assets) at beginning of year	2019-06-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-06-30	$747,812
Contract administrator fees	2019-06-30	$3,780
Did the plan have assets held for investment	2019-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2019-06-30	Disclaimer
Accountancy firm name	2019-06-30	SIKICH LLP
Accountancy firm EIN	2019-06-30	363168081
2018 : AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-06-30	$0
Total income from all sources (including contributions)	2018-06-30	$1,378,176
Total loss/gain on sale of assets	2018-06-30	$0
Total of all expenses incurred	2018-06-30	$183,734
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-06-30	$181,039
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-06-30	$937,880
Value of total assets at end of year	2018-06-30	$5,575,949
Value of total assets at beginning of year	2018-06-30	$4,381,507
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-06-30	$2,695
Total interest from all sources	2018-06-30	$1,250
Total dividends received (eg from common stock, registered investment company shares)	2018-06-30	$180,068
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-06-30	$180,068
Was this plan covered by a fidelity bond	2018-06-30	Yes
Value of fidelity bond cover	2018-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2018-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2018-06-30	No
Contributions received from participants	2018-06-30	$467,880
Participant contributions at end of year	2018-06-30	$28,128
Participant contributions at beginning of year	2018-06-30	$28,256
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-06-30	No
Value of net income/loss	2018-06-30	$1,194,442
Value of net assets at end of year (total assets less liabilities)	2018-06-30	$5,575,949
Value of net assets at beginning of year (total assets less liabilities)	2018-06-30	$4,381,507
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-06-30	No
Were any leases to which the plan was party in default or uncollectible	2018-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-06-30	$5,547,821
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-06-30	$4,353,170
Interest on participant loans	2018-06-30	$1,250
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-06-30	$258,978
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-06-30	No
Was there a failure to transmit to the plan any participant contributions	2018-06-30	No
Has the plan failed to provide any benefit when due under the plan	2018-06-30	No
Contributions received in cash from employer	2018-06-30	$470,000
Employer contributions (assets) at end of year	2018-06-30	$0
Employer contributions (assets) at beginning of year	2018-06-30	$81
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-06-30	$181,039
Contract administrator fees	2018-06-30	$2,695
Did the plan have assets held for investment	2018-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2018-06-30	Disclaimer
Accountancy firm name	2018-06-30	SIKICH LLP
Accountancy firm EIN	2018-06-30	363168081
2017 : AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-06-30	$0
Total transfer of assets to this plan	2017-06-30	$202,612
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-30	$0
Total income from all sources (including contributions)	2017-06-30	$1,578,496
Total loss/gain on sale of assets	2017-06-30	$0
Total of all expenses incurred	2017-06-30	$275,509
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-06-30	$273,324
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-06-30	$1,160,575
Value of total assets at end of year	2017-06-30	$4,381,507
Value of total assets at beginning of year	2017-06-30	$2,875,908
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-06-30	$2,185
Total interest from all sources	2017-06-30	$1,815
Total dividends received (eg from common stock, registered investment company shares)	2017-06-30	$112,082
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-06-30	$112,082
Was this plan covered by a fidelity bond	2017-06-30	Yes
Value of fidelity bond cover	2017-06-30	$288,000
If this is an individual account plan, was there a blackout period	2017-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2017-06-30	No
Contributions received from participants	2017-06-30	$428,367
Participant contributions at end of year	2017-06-30	$28,256
Participant contributions at beginning of year	2017-06-30	$37,266
Income. Received or receivable in cash from other sources (including rollovers)	2017-06-30	$134,668
Other income not declared elsewhere	2017-06-30	$70
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-30	No
Value of net income/loss	2017-06-30	$1,302,987
Value of net assets at end of year (total assets less liabilities)	2017-06-30	$4,381,507
Value of net assets at beginning of year (total assets less liabilities)	2017-06-30	$2,875,908
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-06-30	No
Were any leases to which the plan was party in default or uncollectible	2017-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-06-30	$4,353,170
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-06-30	$2,838,642
Interest on participant loans	2017-06-30	$1,815
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-06-30	$303,954
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-06-30	No
Was there a failure to transmit to the plan any participant contributions	2017-06-30	No
Has the plan failed to provide any benefit when due under the plan	2017-06-30	No
Contributions received in cash from employer	2017-06-30	$597,540
Employer contributions (assets) at end of year	2017-06-30	$81
Employer contributions (assets) at beginning of year	2017-06-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-06-30	$273,324
Contract administrator fees	2017-06-30	$2,185
Did the plan have assets held for investment	2017-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2017-06-30	Disclaimer
Accountancy firm name	2017-06-30	SIKICH LLP
Accountancy firm EIN	2017-06-30	363168081
2016 : AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-06-30	$0
Total transfer of assets to this plan	2016-06-30	$45,268
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-06-30	$0
Total income from all sources (including contributions)	2016-06-30	$1,036,066
Total loss/gain on sale of assets	2016-06-30	$0
Total of all expenses incurred	2016-06-30	$99,518
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-06-30	$96,278
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-06-30	$977,708
Value of total assets at end of year	2016-06-30	$2,875,908
Value of total assets at beginning of year	2016-06-30	$1,894,092
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-06-30	$3,240
Total interest from all sources	2016-06-30	$1,200
Total dividends received (eg from common stock, registered investment company shares)	2016-06-30	$114,637
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-06-30	$114,637
Was this plan covered by a fidelity bond	2016-06-30	Yes
Value of fidelity bond cover	2016-06-30	$287,600
If this is an individual account plan, was there a blackout period	2016-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2016-06-30	No
Contributions received from participants	2016-06-30	$401,057
Participant contributions at end of year	2016-06-30	$37,266
Participant contributions at beginning of year	2016-06-30	$9,000
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-06-30	No
Income. Non cash contributions	2016-06-30	$96,270
Value of net income/loss	2016-06-30	$936,548
Value of net assets at end of year (total assets less liabilities)	2016-06-30	$2,875,908
Value of net assets at beginning of year (total assets less liabilities)	2016-06-30	$1,894,092
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-06-30	No
Were any leases to which the plan was party in default or uncollectible	2016-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-06-30	$2,838,642
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-06-30	$1,885,092
Interest on participant loans	2016-06-30	$1,200
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-06-30	$-57,479
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-06-30	No
Was there a failure to transmit to the plan any participant contributions	2016-06-30	No
Has the plan failed to provide any benefit when due under the plan	2016-06-30	No
Contributions received in cash from employer	2016-06-30	$480,381
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-06-30	$96,278
Contract administrator fees	2016-06-30	$3,240
Did the plan have assets held for investment	2016-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2016-06-30	Disclaimer
Accountancy firm name	2016-06-30	SIKICH LLP
Accountancy firm EIN	2016-06-30	363168081

Form 5500 Responses for AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2

2019: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2019 form 5500 responses
2019-07-01	Type of plan entity	Single employer plan
2019-07-01	Submission has been amended	No
2019-07-01	This submission is the final filing	Yes
2019-07-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2019-07-01	Plan is a collectively bargained plan	No
2019-07-01	Plan funding arrangement – Trust	Yes
2019-07-01	Plan benefit arrangement - Trust	Yes
2018: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2018 form 5500 responses
2018-07-01	Type of plan entity	Single employer plan
2018-07-01	Submission has been amended	No
2018-07-01	This submission is the final filing	No
2018-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-07-01	Plan is a collectively bargained plan	No
2018-07-01	Plan funding arrangement – Trust	Yes
2018-07-01	Plan benefit arrangement - Trust	Yes
2017: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2017 form 5500 responses
2017-07-01	Type of plan entity	Single employer plan
2017-07-01	Submission has been amended	No
2017-07-01	This submission is the final filing	No
2017-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-07-01	Plan is a collectively bargained plan	No
2017-07-01	Plan funding arrangement – Trust	Yes
2017-07-01	Plan benefit arrangement - Trust	Yes
2016: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2016 form 5500 responses
2016-07-01	Type of plan entity	Single employer plan
2016-07-01	Submission has been amended	No
2016-07-01	This submission is the final filing	No
2016-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-07-01	Plan is a collectively bargained plan	No
2016-07-01	Plan funding arrangement – Trust	Yes
2016-07-01	Plan benefit arrangement - Trust	Yes
2015: AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST 403(B) PLAN #2 2015 form 5500 responses
2015-07-01	Type of plan entity	Single employer plan
2015-07-01	Submission has been amended	No
2015-07-01	This submission is the final filing	No
2015-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-07-01	Plan is a collectively bargained plan	No
2015-07-01	Plan funding arrangement – Trust	Yes
2015-07-01	Plan benefit arrangement - Trust	Yes

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Company Name:	AMERICAN LUNG ASSOCIATION OF THE UPPER MIDWEST
Employer identification number (EIN):	204392201
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations