?>
Logo

UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 401k Plan overview

Plan NameUNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN
Plan identification number 001

UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • 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 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • 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.
  • 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

UNIVERSITY OF NORTHWESTERN - ST PAUL has sponsored the creation of one or more 401k plans.

Company Name:UNIVERSITY OF NORTHWESTERN - ST PAUL
Employer identification number (EIN):410711610
NAIC Classification:611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01BRYON KRUEGER BRYON KRUEGER2018-09-27
0012016-01-01DOUGLAS R. SCHROEDER DOUGLAS R. SCHROEDER2017-10-04
0012015-01-01DOUGLAS SCHROEDER DOUGLAS SCHROEDER2016-10-05
0012014-01-01DOUGLAS SCHROEDER DOUGLAS SCHROEDER2015-09-29
0012013-01-01DOUGLAS SCHROEDER DOUGLAS SCHROEDER2014-09-30
0012012-01-01PEARL FERRIN DOUGLAS R SCHROEDER2013-10-11
0012011-01-01PEARL FERRIN DOUG SCHROEDER2012-10-11
0012009-01-01PEARL FERRIN DOUG SCHROEDER2010-10-08

Plan Statistics for UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN

401k plan membership statisitcs for UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN

Measure Date Value
2022: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-011,184
Total number of active participants reported on line 7a of the Form 55002022-01-01939
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01303
Total of all active and inactive participants2022-01-011,242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-011,242
Number of participants with account balances2022-01-01778
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,196
Total number of active participants reported on line 7a of the Form 55002021-01-01923
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01302
Total of all active and inactive participants2021-01-011,225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-011,225
Number of participants with account balances2021-01-01778
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,254
Total number of active participants reported on line 7a of the Form 55002020-01-01939
Number of other retired or separated participants entitled to future benefits2020-01-01303
Total of all active and inactive participants2020-01-011,242
Total participants2020-01-011,242
Number of participants with account balances2020-01-01785
2019: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,181
Total number of active participants reported on line 7a of the Form 55002019-01-01979
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01327
Total of all active and inactive participants2019-01-011,306
Total participants2019-01-011,306
Number of participants with account balances2019-01-01831
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,194
Total number of active participants reported on line 7a of the Form 55002018-01-01917
Number of other retired or separated participants entitled to future benefits2018-01-01320
Total of all active and inactive participants2018-01-011,237
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-011,237
Number of participants with account balances2018-01-01792
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-011,189
Total number of active participants reported on line 7a of the Form 55002017-01-01891
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01318
Total of all active and inactive participants2017-01-011,209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-011,209
Number of participants with account balances2017-01-01769
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,162
Total number of active participants reported on line 7a of the Form 55002016-01-01826
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01332
Total of all active and inactive participants2016-01-011,158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-011,158
Number of participants with account balances2016-01-01767
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-011,147
Total number of active participants reported on line 7a of the Form 55002015-01-01837
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01335
Total of all active and inactive participants2015-01-011,172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-011,172
Number of participants with account balances2015-01-01767
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-011,164
Total number of active participants reported on line 7a of the Form 55002014-01-01804
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01314
Total of all active and inactive participants2014-01-011,118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-011,119
Number of participants with account balances2014-01-01765
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-011,091
Total number of active participants reported on line 7a of the Form 55002013-01-01778
Number of retired or separated participants receiving benefits2013-01-0190
Number of other retired or separated participants entitled to future benefits2013-01-01223
Total of all active and inactive participants2013-01-011,091
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-011,091
Number of participants with account balances2013-01-01764
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-011,050
Total number of active participants reported on line 7a of the Form 55002012-01-01729
Number of retired or separated participants receiving benefits2012-01-0181
Number of other retired or separated participants entitled to future benefits2012-01-01248
Total of all active and inactive participants2012-01-011,058
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-011,058
Number of participants with account balances2012-01-01763
2011: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01808
Total number of active participants reported on line 7a of the Form 55002011-01-01731
Number of retired or separated participants receiving benefits2011-01-0185
Number of other retired or separated participants entitled to future benefits2011-01-01234
Total of all active and inactive participants2011-01-011,050
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-011,050
Number of participants with account balances2011-01-01761
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01881
Total number of active participants reported on line 7a of the Form 55002009-01-01777
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01108
Total of all active and inactive participants2009-01-01885
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01886
Number of participants with account balances2009-01-01809
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN

Measure Date Value
2022 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2022 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$8
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-6,662,825
Total of all expenses incurred2022-12-31$6,986,766
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$6,813,075
Value of total corrective distributions2022-12-31$58,868
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$3,229,716
Value of total assets at end of year2022-12-31$61,289,401
Value of total assets at beginning of year2022-12-31$74,938,984
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$114,823
Total interest from all sources2022-12-31$421,220
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$838,271
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$838,271
Administrative expenses professional fees incurred2022-12-31$114,823
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$2,328,328
Participant contributions at beginning of year2022-12-31$158
Assets. Other investments not covered elsewhere at end of year2022-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$654,127
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$153,484
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$1,367
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$8
Other income not declared elsewhere2022-12-31$-53,736
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-13,649,591
Value of net assets at end of year (total assets less liabilities)2022-12-31$61,289,393
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$74,938,984
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$48,186,265
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$61,313,478
Value of interest in pooled separate accounts at end of year2022-12-31$596,183
Value of interest in pooled separate accounts at beginning of year2022-12-31$606,997
Interest earned on other investments2022-12-31$421,220
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$12,506,953
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$12,362,809
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-11,147,768
Net investment gain/loss from pooled separate accounts2022-12-31$49,472
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$747,904
Employer contributions (assets) at beginning of year2022-12-31$48
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$6,813,075
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Disclaimer
Accountancy firm name2022-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2022-12-31410746749
2021 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$13,552,345
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$7,895,455
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$7,766,715
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$4,796,484
Value of total assets at end of year2021-12-31$74,938,984
Value of total assets at beginning of year2021-12-31$69,282,094
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$128,740
Total interest from all sources2021-12-31$365,298
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$834,037
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$834,037
Administrative expenses professional fees incurred2021-12-31$128,740
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$2,277,356
Participant contributions at end of year2021-12-31$158
Assets. Other investments not covered elsewhere at end of year2021-12-31$654,127
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$564,155
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$424,347
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$1,367
Other income not declared elsewhere2021-12-31$18,221
Administrative expenses (other) incurred2021-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$5,656,890
Value of net assets at end of year (total assets less liabilities)2021-12-31$74,938,984
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$69,282,094
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$61,313,478
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$55,617,112
Value of interest in pooled separate accounts at end of year2021-12-31$606,997
Value of interest in pooled separate accounts at beginning of year2021-12-31$572,075
Interest earned on other investments2021-12-31$365,298
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$12,362,809
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$12,528,752
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$7,440,821
Net investment gain/loss from pooled separate accounts2021-12-31$97,484
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$2,094,781
Employer contributions (assets) at end of year2021-12-31$48
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$7,766,715
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Disclaimer
Accountancy firm name2021-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2021-12-31410746749
2020 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2020 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$3,080
Total income from all sources (including contributions)2020-12-31$10,875,822
Total of all expenses incurred2020-12-31$7,071,062
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$6,973,061
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$2,759,140
Value of total assets at end of year2020-12-31$69,282,094
Value of total assets at beginning of year2020-12-31$65,480,414
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$98,001
Total interest from all sources2020-12-31$419,247
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$1,206,191
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$1,206,191
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$2,093,528
Assets. Other investments not covered elsewhere at end of year2020-12-31$564,155
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$719,495
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$121,741
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$3,080
Other income not declared elsewhere2020-12-31$5,819
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$3,804,760
Value of net assets at end of year (total assets less liabilities)2020-12-31$69,282,094
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$65,477,334
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$55,617,112
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$51,593,142
Value of interest in pooled separate accounts at end of year2020-12-31$572,075
Value of interest in pooled separate accounts at beginning of year2020-12-31$613,577
Interest earned on other investments2020-12-31$419,247
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$12,528,752
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$12,554,200
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$6,490,578
Net investment gain/loss from pooled separate accounts2020-12-31$-5,153
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$543,871
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$6,973,061
Contract administrator fees2020-12-31$98,001
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2020-12-31410746749
2019 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2019 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$3,080
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$244
Total income from all sources (including contributions)2019-12-31$13,965,313
Total of all expenses incurred2019-12-31$6,470,172
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$6,388,632
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,793,035
Value of total assets at end of year2019-12-31$65,480,414
Value of total assets at beginning of year2019-12-31$57,982,437
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$81,540
Total interest from all sources2019-12-31$463,586
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$885,085
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$885,085
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$2,025,837
Assets. Other investments not covered elsewhere at end of year2019-12-31$719,495
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$564,708
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$337,555
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$3,080
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$244
Other income not declared elsewhere2019-12-31$39
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$7,495,141
Value of net assets at end of year (total assets less liabilities)2019-12-31$65,477,334
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$57,982,193
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$51,593,142
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$42,519,065
Value of interest in pooled separate accounts at end of year2019-12-31$613,577
Value of interest in pooled separate accounts at beginning of year2019-12-31$673,245
Interest earned on other investments2019-12-31$463,586
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$12,554,200
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$14,225,419
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$8,787,849
Net investment gain/loss from pooled separate accounts2019-12-31$35,719
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$1,429,643
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$6,388,632
Contract administrator fees2019-12-31$81,540
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2019-12-31410746749
2018 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2018 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$244
Total income from all sources (including contributions)2018-12-31$622,589
Total of all expenses incurred2018-12-31$2,731,858
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,709,573
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$3,359,281
Value of total assets at end of year2018-12-31$57,982,437
Value of total assets at beginning of year2018-12-31$60,091,462
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$22,285
Total interest from all sources2018-12-31$502,461
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$767,821
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$767,821
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,909,937
Assets. Other investments not covered elsewhere at end of year2018-12-31$564,708
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$581,289
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$55,715
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$244
Other income not declared elsewhere2018-12-31$3
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-2,109,269
Value of net assets at end of year (total assets less liabilities)2018-12-31$57,982,193
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$60,091,462
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$42,519,065
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$44,480,834
Value of interest in pooled separate accounts at end of year2018-12-31$673,245
Value of interest in pooled separate accounts at beginning of year2018-12-31$642,705
Interest earned on other investments2018-12-31$502,461
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$14,225,419
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$14,386,634
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-4,036,504
Net investment gain/loss from pooled separate accounts2018-12-31$29,527
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,393,629
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,709,573
Contract administrator fees2018-12-31$22,285
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2018-12-31410746749
2017 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2017 401k financial data
Total transfer of assets to this plan2017-12-31$0
Total transfer of assets from this plan2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$561
Total income from all sources (including contributions)2017-12-31$10,471,103
Total of all expenses incurred2017-12-31$5,359,448
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$5,337,111
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$3,137,926
Value of total assets at end of year2017-12-31$60,091,462
Value of total assets at beginning of year2017-12-31$54,980,368
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$22,337
Total interest from all sources2017-12-31$515,111
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$721,015
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$721,015
Administrative expenses professional fees incurred2017-12-31$0
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,771,755
Assets. Other investments not covered elsewhere at end of year2017-12-31$581,289
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$466,754
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$157,647
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$561
Other income not declared elsewhere2017-12-31$-131
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$5,111,655
Value of net assets at end of year (total assets less liabilities)2017-12-31$60,091,462
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$54,979,807
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$44,480,834
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$38,435,281
Value of interest in pooled separate accounts at end of year2017-12-31$642,705
Value of interest in pooled separate accounts at beginning of year2017-12-31$815,610
Interest earned on other investments2017-12-31$515,111
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$14,386,634
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$15,262,723
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$6,064,038
Net investment gain/loss from pooled separate accounts2017-12-31$33,144
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,208,524
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$5,337,111
Contract administrator fees2017-12-31$22,337
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2017-12-31410746749
2016 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$561
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$866
Total income from all sources (including contributions)2016-12-31$6,446,910
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$3,887,129
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$3,884,036
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$3,176,924
Value of total assets at end of year2016-12-31$54,980,368
Value of total assets at beginning of year2016-12-31$52,420,892
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$3,093
Total interest from all sources2016-12-31$586,169
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$560,877
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$560,877
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,644,490
Assets. Other investments not covered elsewhere at end of year2016-12-31$466,754
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$420,100
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$315,421
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$561
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$866
Other income not declared elsewhere2016-12-31$40,416
Administrative expenses (other) incurred2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$2,559,781
Value of net assets at end of year (total assets less liabilities)2016-12-31$54,979,807
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$52,420,026
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$38,435,281
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$35,790,981
Value of interest in pooled separate accounts at end of year2016-12-31$815,610
Value of interest in pooled separate accounts at beginning of year2016-12-31$819,340
Interest earned on other investments2016-12-31$586,169
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$15,262,723
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$15,390,471
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$2,041,146
Net investment gain/loss from pooled separate accounts2016-12-31$41,378
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$1,217,013
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$3,884,036
Contract administrator fees2016-12-31$3,093
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2016-12-31410746749
2015 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$866
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$3,404,435
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$3,686,857
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$3,680,501
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,200,934
Value of total assets at end of year2015-12-31$52,420,892
Value of total assets at beginning of year2015-12-31$52,702,448
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$6,356
Total interest from all sources2015-12-31$554,275
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$515,970
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$515,970
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,540,038
Assets. Other investments not covered elsewhere at end of year2015-12-31$420,100
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$491,100
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$866
Other income not declared elsewhere2015-12-31$-37,324
Administrative expenses (other) incurred2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-282,422
Value of net assets at end of year (total assets less liabilities)2015-12-31$52,420,026
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$52,702,448
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$35,790,981
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$36,873,460
Value of interest in pooled separate accounts at end of year2015-12-31$819,340
Value of interest in pooled separate accounts at beginning of year2015-12-31$800,539
Interest earned on other investments2015-12-31$554,275
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$15,390,471
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$15,028,449
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-893,273
Net investment gain/loss from pooled separate accounts2015-12-31$63,853
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$1,169,796
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$3,680,501
Contract administrator fees2015-12-31$6,356
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2015-12-31410746749
2014 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$6,013,225
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$3,434,082
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$3,428,788
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,243,950
Value of total assets at end of year2014-12-31$52,702,448
Value of total assets at beginning of year2014-12-31$50,123,305
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$5,294
Total interest from all sources2014-12-31$586,082
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$668,524
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$668,524
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,534,256
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$491,176
Administrative expenses (other) incurred2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$2,579,143
Value of net assets at end of year (total assets less liabilities)2014-12-31$52,702,448
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$50,123,305
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$36,873,460
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$34,203,201
Value of interest in pooled separate accounts at end of year2014-12-31$800,539
Value of interest in pooled separate accounts at beginning of year2014-12-31$700,657
Interest earned on other investments2014-12-31$586,082
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$24
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$24
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$15,028,449
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$15,219,423
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$159,860
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,426,999
Net investment gain/loss from pooled separate accounts2014-12-31$87,670
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$1,218,518
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$3,268,928
Contract administrator fees2014-12-31$5,294
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2014-12-31410746749
2013 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$9,230,278
Total of all expenses incurred2013-12-31$2,253,162
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,250,391
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,009,850
Value of total assets at end of year2013-12-31$50,123,305
Value of total assets at beginning of year2013-12-31$43,146,189
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,771
Total interest from all sources2013-12-31$574,345
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$462,654
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$462,654
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,456,669
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$360,828
Other income not declared elsewhere2013-12-31$101,386
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$6,977,116
Value of net assets at end of year (total assets less liabilities)2013-12-31$50,123,305
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$43,146,189
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$34,203,201
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$27,380,433
Value of interest in pooled separate accounts at end of year2013-12-31$700,657
Value of interest in pooled separate accounts at beginning of year2013-12-31$701,382
Interest earned on other investments2013-12-31$574,345
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$24
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$15,219,423
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$15,064,374
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$78,979
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$5,016,953
Net investment gain/loss from pooled separate accounts2013-12-31$65,090
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$1,192,353
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,171,412
Contract administrator fees2013-12-31$2,771
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2013-12-31410746749
2012 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$-27,171
Total unrealized appreciation/depreciation of assets2012-12-31$-27,171
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$6,657,599
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,831,962
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,829,947
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$2,705,883
Value of total assets at end of year2012-12-31$43,146,189
Value of total assets at beginning of year2012-12-31$38,320,552
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$2,015
Total interest from all sources2012-12-31$567,183
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$407,188
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$407,188
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,363,417
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$204,256
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$4,825,637
Value of net assets at end of year (total assets less liabilities)2012-12-31$43,146,189
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$38,320,552
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$27,380,433
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$22,801,031
Value of interest in pooled separate accounts at end of year2012-12-31$701,382
Value of interest in pooled separate accounts at beginning of year2012-12-31$700,033
Interest earned on other investments2012-12-31$567,183
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$15,064,374
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$14,819,488
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$2,936,329
Net investment gain/loss from pooled separate accounts2012-12-31$68,187
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$1,138,210
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,829,947
Contract administrator fees2012-12-31$2,015
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2012-12-31410746749
2011 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$3,581,458
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,889,692
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,885,092
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$3,531,301
Value of total assets at end of year2011-12-31$38,320,552
Value of total assets at beginning of year2011-12-31$37,628,786
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$4,600
Total interest from all sources2011-12-31$477,634
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,309,229
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$1,087,717
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$691,766
Value of net assets at end of year (total assets less liabilities)2011-12-31$38,320,552
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$37,628,786
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$22,801,031
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$21,484,756
Value of interest in pooled separate accounts at end of year2011-12-31$700,033
Value of interest in pooled separate accounts at beginning of year2011-12-31$2,843,975
Interest earned on other investments2011-12-31$477,634
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$14,819,488
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$13,300,055
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-602,483
Net investment gain/loss from pooled separate accounts2011-12-31$175,006
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$1,134,355
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,885,092
Contract administrator fees2011-12-31$4,600
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2011-12-31410746749
2010 : UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$5,963,263
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,488,530
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,488,530
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$2,661,680
Value of total assets at end of year2010-12-31$37,628,786
Value of total assets at beginning of year2010-12-31$33,154,053
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$0
Total interest from all sources2010-12-31$490,351
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,103,746
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$90,660
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$4,474,733
Value of net assets at end of year (total assets less liabilities)2010-12-31$37,628,786
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$33,154,053
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$21,484,756
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$18,225,759
Value of interest in pooled separate accounts at end of year2010-12-31$2,843,975
Value of interest in pooled separate accounts at beginning of year2010-12-31$2,159,696
Interest earned on other investments2010-12-31$490,351
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$13,300,055
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$12,768,598
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$2,485,665
Net investment gain/loss from pooled separate accounts2010-12-31$325,567
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$1,467,274
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,488,530
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31LARSONALLEN LLP
Accountancy firm EIN2010-12-31410746749

Form 5500 Responses for UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN

2022: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan benefit arrangement – InsuranceYes
2009: UNIVERSITY OF NORTHWESTERN - ST. PAUL 403(B) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 3
Insurance contract or identification number150008
Number of Individuals Covered260
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered747
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,056
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees2056
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number711513
Policy instance 1
Insurance contract or identification number711513
Number of Individuals Covered747
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
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 number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered266
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered724
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,731
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees1731
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered738
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,739
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees1739
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered278
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
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 number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered383
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered768
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,878
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees1878
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered398
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered718
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,044
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees2044
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered414
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered701
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,488
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees2488
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
Insurance broker nameTAX SHELTERED COMPENSATION, INC.
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered725
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,094
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees2094
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
Insurance broker nameTAX SHELTERED COMPENSATION, INC.
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered451
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered722
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,354
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees2354
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
Insurance broker nameTAX SHELTERED COMPENSATION, INC.
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered460
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered745
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of fees paid to insurance companyUSD $22,720
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees22720
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?5
Insurance broker nameTAX SHELTERED COMPENSATION, INC.
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered481
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered533
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered766
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $17,087
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees17087
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameTAX SHELTERED COMPENSATION INC
METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )
Policy contract number933837
Policy instance 1
Insurance contract or identification number933837
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $1,008
Total amount of fees paid to insurance companyUSD $0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered770
Insurance policy start date2011-04-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $11,711
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 3
Insurance contract or identification number150008
Number of Individuals Covered548
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )
Policy contract number933837
Policy instance 1
Insurance contract or identification number933837
Number of Individuals Covered68
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $3,160
Total amount of fees paid to insurance companyUSD $0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,001
Additional information about fees paid to insurance brokerTO PROVIDE ASSET ALLOCATION ADVICE AND REBALANCING SERVICES FOR PLAN PARTICIPANTS
Insurance broker organization code?3
Insurance broker nameMIHEVC, GLORIA E
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150008
Policy instance 2
Insurance contract or identification number150008
Number of Individuals Covered695
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

Potentially related plans

Was this data useful?
If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us.

Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer
The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Copyright © Market Footprint Ltd
Contact us   Datalog Company Directory
401k Lookup     VAT Lookup S3