401k Plan data: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN plan

UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 401k Plan overview

Plan Name	UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN
Plan identification number	004

UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT 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

UNIVERSITY OF NOTRE DAME DU LAC has sponsored the creation of one or more 401k plans.

Company Name: UNIVERSITY OF NOTRE DAME DU LAC

Employer identification number (EIN): 350868188

NAIC Classification: 611000

Additional information about UNIVERSITY OF NOTRE DAME DU LAC

Jurisdiction of Incorporation: Michigan Department of Licensing & Regulatory Affairs

Incorporation Date:

Company Identification Number: 902916

More information about UNIVERSITY OF NOTRE DAME DU LAC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2011-01-01 ROBERT MCQUADE JOHN AFFLECK-GRAVES 2012-08-20
004 2010-01-01 ROBERT MCQUADE
004 2009-01-01 ROBERT MCQUADE

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
004	2011-01-01	ROBERT MCQUADE	JOHN AFFLECK-GRAVES	2012-08-20
004	2010-01-01	ROBERT MCQUADE
004	2009-01-01	ROBERT MCQUADE

Plan Statistics for UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN

401k plan membership statisitcs for UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN

Measure Date Value
2011: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 8,387
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 8,298
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 7,788
Number of retired or separated participants receiving benefits 2010-01-01 7
Number of other retired or separated participants entitled to future benefits 2010-01-01 757
Total of all active and inactive participants 2010-01-01 8,552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 4
Total participants 2010-01-01 8,556
Number of participants with account balances 2010-01-01 2,498
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 8,874
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 7,583
Number of retired or separated participants receiving benefits 2009-01-01 9
Number of other retired or separated participants entitled to future benefits 2009-01-01 765
Total of all active and inactive participants 2009-01-01 8,357
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 6
Total participants 2009-01-01 8,363
Number of participants with account balances 2009-01-01 2,496
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	8,387
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	8,298
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	7,788
Number of retired or separated participants receiving benefits	2010-01-01	7
Number of other retired or separated participants entitled to future benefits	2010-01-01	757
Total of all active and inactive participants	2010-01-01	8,552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	4
Total participants	2010-01-01	8,556
Number of participants with account balances	2010-01-01	2,498
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	8,874
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	7,583
Number of retired or separated participants receiving benefits	2009-01-01	9
Number of other retired or separated participants entitled to future benefits	2009-01-01	765
Total of all active and inactive participants	2009-01-01	8,357
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	6
Total participants	2009-01-01	8,363
Number of participants with account balances	2009-01-01	2,496
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN

Measure	Date	Value
2011 : UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2011 401k financial data
Total transfer of assets to this plan	2011-12-31	$1,549,005
Total transfer of assets from this plan	2011-12-31	$146,756,558
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$191,080
Total income from all sources (including contributions)	2011-12-31	$13,324,950
Total of all expenses incurred	2011-12-31	$4,471,851
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$4,446,129
Value of total corrective distributions	2011-12-31	$752
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$13,733,836
Value of total assets at end of year	2011-12-31	$0
Value of total assets at beginning of year	2011-12-31	$136,545,534
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$24,970
Total interest from all sources	2011-12-31	$1,105,889
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,560,338
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$1,560,338
Administrative expenses professional fees incurred	2011-12-31	$13,900
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$10,567,167
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$3,166,669
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$536,795
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$191,080
Other income not declared elsewhere	2011-12-31	$1
Administrative expenses (other) incurred	2011-12-31	$9,463
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$8,853,099
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$136,354,454
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$769
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$97,707,860
Value of interest in pooled separate accounts at end of year	2011-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$3,617,954
Interest earned on other investments	2011-12-31	$1,105,370
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$2,763,705
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$2,763,705
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$519
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$31,919,220
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$196,462
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-3,603,676
Net investment gain/loss from pooled separate accounts	2011-12-31	$528,562
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$4,249,667
Contract administrator fees	2011-12-31	$838
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	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2011-12-31	134008324
2010 : UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2010 401k financial data
Total transfer of assets to this plan	2010-12-31	$1,518,750
Total transfer of assets from this plan	2010-12-31	$2,137,559
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$191,080
Total income from all sources (including contributions)	2010-12-31	$24,641,971
Total of all expenses incurred	2010-12-31	$4,218,931
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,215,621
Value of total corrective distributions	2010-12-31	$2,309
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$11,131,783
Value of total assets at end of year	2010-12-31	$136,545,534
Value of total assets at beginning of year	2010-12-31	$116,550,223
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,001
Total interest from all sources	2010-12-31	$1,016,554
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$953,450
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$953,450
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$10,295,112
Participant contributions at beginning of year	2010-12-31	$17,750
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$836,671
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$536,795
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$191,080
Administrative expenses (other) incurred	2010-12-31	$269
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$20,423,040
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$136,354,454
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$116,550,223
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$712
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$97,707,860
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$80,599,346
Value of interest in pooled separate accounts at end of year	2010-12-31	$3,617,954
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$2,402,633
Interest earned on other investments	2010-12-31	$1,015,553
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$2,763,705
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$2,621,697
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$2,621,697
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$1,001
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$31,919,220
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$30,908,797
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$11,154,163
Net investment gain/loss from pooled separate accounts	2010-12-31	$386,021
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,215,621
Contract administrator fees	2010-12-31	$20
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	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2010-12-31	134008324
2009 : UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN

2011: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	This submission is the final filing	Yes
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: UNIVERSITY OF NOTRE DAME SUPPLEMENTAL RETIREMENT ACCOUNT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UNIVERSITY OF NOTRE DAME DU LAC
Employer identification number (EIN):	350868188
NAIC Classification:	611000

Jurisdiction of Incorporation:	Michigan Department of Licensing & Regulatory Affairs
Incorporation Date:
Company Identification Number:	902916