401k Plan data: ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN plan

ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 401k Plan overview

Plan Name	ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN
Plan identification number	001

ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

ROBERT MORRIS UNIVERSITY has sponsored the creation of one or more 401k plans.

Company Name: ROBERT MORRIS UNIVERSITY

Employer identification number (EIN): 251130678

NAIC Classification: 611000

Additional information about ROBERT MORRIS UNIVERSITY

Jurisdiction of Incorporation: COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF STATE

Incorporation Date:

Company Identification Number: 239355

More information about ROBERT MORRIS UNIVERSITY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 JEFFREY LISTWAK
001 2016-01-01 DAN KIENER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	JEFFREY LISTWAK
001	2016-01-01	DAN KIENER

Plan Statistics for ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN

401k plan membership statisitcs for ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN

Measure Date Value
2017: ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 708
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 632
Number of retired or separated participants receiving benefits 2017-01-01 2
Number of other retired or separated participants entitled to future benefits 2017-01-01 66
Total of all active and inactive participants 2017-01-01 700
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 701
Number of participants with account balances 2017-01-01 654
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 20
2016: ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1,438
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 657
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 49
Total of all active and inactive participants 2016-01-01 707
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 708
Number of participants with account balances 2016-01-01 622
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 14

Measure	Date	Value
2017: ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	708
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	632
Number of retired or separated participants receiving benefits	2017-01-01	2
Number of other retired or separated participants entitled to future benefits	2017-01-01	66
Total of all active and inactive participants	2017-01-01	700
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	701
Number of participants with account balances	2017-01-01	654
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	20
2016: ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1,438
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	657
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	49
Total of all active and inactive participants	2016-01-01	707
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	708
Number of participants with account balances	2016-01-01	622
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	14

Financial Data on ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN

Measure	Date	Value
2017 : ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$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	$70,313
Total income from all sources (including contributions)	2017-12-31	$29,425,441
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$10,147,271
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$9,940,892
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$8,680,926
Value of total assets at end of year	2017-12-31	$160,844,173
Value of total assets at beginning of year	2017-12-31	$141,636,316
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$206,379
Total interest from all sources	2017-12-31	$190,674
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,760,239
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,760,239
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$750,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$4,018,231
Participant contributions at end of year	2017-12-31	$267,378
Participant contributions at beginning of year	2017-12-31	$243,043
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$1,006,921
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$70,313
Administrative expenses (other) incurred	2017-12-31	$126,379
Total non interest bearing cash at end of year	2017-12-31	$129,419
Total non interest bearing cash at beginning of year	2017-12-31	$53,865
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$19,278,170
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$160,844,173
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$141,566,003
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$80,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$123,146,361
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$69,203,737
Value of interest in pooled separate accounts at end of year	2017-12-31	$6,083,752
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$40,493,289
Interest on participant loans	2017-12-31	$75,474
Interest earned on other investments	2017-12-31	$115,200
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$31,217,263
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$31,642,382
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$9,220,812
Net investment gain/loss from pooled separate accounts	2017-12-31	$9,572,790
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$3,655,774
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$9,940,892
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	DELOITTE & TOUCHE LLP
Accountancy firm EIN	2017-12-31	133891517
2016 : ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$70,313
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	$16,374,026
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$9,096,625
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$8,909,516
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$7,521,411
Value of total assets at end of year	2016-12-31	$141,636,316
Value of total assets at beginning of year	2016-12-31	$134,288,602
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$187,109
Total interest from all sources	2016-12-31	$217,437
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,421,195
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,421,195
Administrative expenses professional fees incurred	2016-12-31	$12,468
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$750,000
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	$3,866,511
Participant contributions at end of year	2016-12-31	$243,043
Participant contributions at beginning of year	2016-12-31	$175,270
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$133,401
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$70,313
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$94,641
Total non interest bearing cash at end of year	2016-12-31	$53,865
Total non interest bearing cash at beginning of year	2016-12-31	$25,585
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	$7,277,401
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$141,566,003
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$134,288,602
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
Investment advisory and management fees	2016-12-31	$80,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$69,203,737
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$89,067,523
Value of interest in pooled separate accounts at end of year	2016-12-31	$40,493,289
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$13,470,346
Interest earned on other investments	2016-12-31	$217,437
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$31,642,382
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$31,549,878
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$3,595,816
Net investment gain/loss from pooled separate accounts	2016-12-31	$3,618,167
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
Contributions received in cash from employer	2016-12-31	$3,521,499
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$8,909,516
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
Did the plan have assets held for investment	2016-12-31	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	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	No
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	DELOITTE
Accountancy firm EIN	2016-12-31	133891517

Form 5500 Responses for ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN

2017: ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ROBERT MORRIS UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
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 funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

150686

Policy instance

Insurance contract or identification number	150686
Number of Individuals Covered	556
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
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 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

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

Policy contract number

150693

Policy instance

Insurance contract or identification number	150693
Number of Individuals Covered	214
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
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 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

VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )

Policy contract number

47542

Policy instance

Insurance contract or identification number	47542
Number of Individuals Covered	81
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $3,688
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	1
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?	No
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
Commission paid to Insurance Broker	USD $2,859
Insurance broker organization code?	3
Insurance broker name	JAMES R ECKBRETH

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TA069497

Policy instance

Insurance contract or identification number	TA069497
Number of Individuals Covered	654
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
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 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:	ROBERT MORRIS UNIVERSITY
Employer identification number (EIN):	251130678
NAIC Classification:	611000

Jurisdiction of Incorporation:	COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF STATE
Incorporation Date:
Company Identification Number:	239355