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UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 401k Plan overview

Plan NameUNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN
Plan identification number 001

UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
  • Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.

401k Sponsoring company profile

UNIVERSITY OF DUBUQUE has sponsored the creation of one or more 401k plans.

Company Name:UNIVERSITY OF DUBUQUE
Employer identification number (EIN):420680323
NAIC Classification:611000

Additional information about UNIVERSITY OF DUBUQUE

Jurisdiction of Incorporation: Iowa Secretary of State Business Entities
Incorporation Date: 1911-06-30
Company Identification Number: 083043
Legal Registered Office Address: 2000 UNIVERSITY AVE

DUBUQUE
United States of America (USA)
52001

More information about UNIVERSITY OF DUBUQUE

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01JAMES STEINER2022-10-11
0012020-01-01JAMES STEINER2021-10-07
0012019-01-01JAMES STEINER2020-10-13
0012018-01-01JAMES STEINER2019-10-14
0012018-01-01JAMES STEINER2020-09-28
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01
0012014-01-01
0012013-01-01JAMES STEINER
0012012-01-01JAMES STEINER
0012011-01-01JAMES D. STEINER
0012009-01-01JAMES D. STEINER JAMES D. STEINER2010-10-14

Plan Statistics for UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN

401k plan membership statisitcs for UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN

Measure Date Value
2022: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01815
Total number of active participants reported on line 7a of the Form 55002022-01-01468
Number of retired or separated participants receiving benefits2022-01-0152
Number of other retired or separated participants entitled to future benefits2022-01-01295
Total of all active and inactive participants2022-01-01815
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-013
Total participants2022-01-01818
Number of participants with account balances2022-01-01742
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,013
Total number of active participants reported on line 7a of the Form 55002021-01-01508
Number of retired or separated participants receiving benefits2021-01-0150
Number of other retired or separated participants entitled to future benefits2021-01-01253
Total of all active and inactive participants2021-01-01811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-014
Total participants2021-01-01815
Number of participants with account balances2021-01-01707
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01915
Total number of active participants reported on line 7a of the Form 55002020-01-01566
Number of retired or separated participants receiving benefits2020-01-01113
Number of other retired or separated participants entitled to future benefits2020-01-01332
Total of all active and inactive participants2020-01-011,011
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-012
Total participants2020-01-011,013
Number of participants with account balances2020-01-01825
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01975
Total number of active participants reported on line 7a of the Form 55002019-01-01475
Number of retired or separated participants receiving benefits2019-01-01114
Number of other retired or separated participants entitled to future benefits2019-01-01323
Total of all active and inactive participants2019-01-01912
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-013
Total participants2019-01-01915
Number of participants with account balances2019-01-01822
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01969
Total number of active participants reported on line 7a of the Form 55002018-01-01556
Number of retired or separated participants receiving benefits2018-01-01116
Number of other retired or separated participants entitled to future benefits2018-01-01302
Total of all active and inactive participants2018-01-01974
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01975
Number of participants with account balances2018-01-01789
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01846
Total number of active participants reported on line 7a of the Form 55002017-01-01658
Number of retired or separated participants receiving benefits2017-01-01102
Number of other retired or separated participants entitled to future benefits2017-01-01208
Total of all active and inactive participants2017-01-01968
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01968
Number of participants with account balances2017-01-01777
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01798
Total number of active participants reported on line 7a of the Form 55002016-01-01597
Number of other retired or separated participants entitled to future benefits2016-01-01237
Total of all active and inactive participants2016-01-01834
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01835
Number of participants with account balances2016-01-01735
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01715
Total number of active participants reported on line 7a of the Form 55002015-01-01583
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01214
Total of all active and inactive participants2015-01-01797
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01798
Number of participants with account balances2015-01-01702
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01638
Total number of active participants reported on line 7a of the Form 55002014-01-01542
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01171
Total of all active and inactive participants2014-01-01713
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01713
Number of participants with account balances2014-01-01546
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01668
Total number of active participants reported on line 7a of the Form 55002013-01-01486
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01151
Total of all active and inactive participants2013-01-01637
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01638
Number of participants with account balances2013-01-01554
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01684
Total number of active participants reported on line 7a of the Form 55002012-01-01540
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01127
Total of all active and inactive participants2012-01-01667
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01668
Number of participants with account balances2012-01-01573
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01672
Total number of active participants reported on line 7a of the Form 55002011-01-01579
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01111
Total of all active and inactive participants2011-01-01690
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01690
Number of participants with account balances2011-01-01527
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01604
Total number of active participants reported on line 7a of the Form 55002009-01-01600
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0176
Total of all active and inactive participants2009-01-01676
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01676
Number of participants with account balances2009-01-01517
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN

Measure Date Value
2022 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-7,192,616
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$4,054,237
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$4,041,522
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$3,265,803
Value of total assets at end of year2022-12-31$59,465,002
Value of total assets at beginning of year2022-12-31$70,711,855
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$12,715
Total interest from all sources2022-12-31$1,200,458
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Administrative expenses professional fees incurred2022-12-31$12,715
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$2,000,000
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$1,795,554
Assets. Other investments not covered elsewhere at end of year2022-12-31$28,197,238
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$37,245,054
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$13,598
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-11,246,853
Value of net assets at end of year (total assets less liabilities)2022-12-31$59,465,002
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$70,711,855
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$18,552,869
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$20,945,003
Value of interest in pooled separate accounts at end of year2022-12-31$1,928,789
Value of interest in pooled separate accounts at beginning of year2022-12-31$1,863,266
Interest earned on other investments2022-12-31$1,200,458
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$10,786,106
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$10,658,532
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-11,658,877
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$1,456,651
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$4,041,522
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 name2022-12-31RSM US LLP
Accountancy firm EIN2022-12-31420714325
2021 : UNIVERSITY OF DUBUQUE EMPLOYEES' 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$12,758,756
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$4,545,916
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$4,535,386
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$4,238,472
Value of total assets at end of year2021-12-31$70,711,855
Value of total assets at beginning of year2021-12-31$62,499,015
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$10,530
Total interest from all sources2021-12-31$939,320
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Administrative expenses professional fees incurred2021-12-31$10,530
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$2,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,883,256
Assets. Other investments not covered elsewhere at end of year2021-12-31$37,245,054
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$32,839,688
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$853,981
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$8,212,840
Value of net assets at end of year (total assets less liabilities)2021-12-31$70,711,855
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$62,499,015
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$20,945,003
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$16,466,847
Value of interest in pooled separate accounts at end of year2021-12-31$1,863,266
Value of interest in pooled separate accounts at beginning of year2021-12-31$1,556,421
Interest earned on other investments2021-12-31$939,320
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$10,658,532
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$11,636,059
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$7,580,964
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$1,501,235
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$4,535,386
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 name2021-12-31RSM US LLP
Accountancy firm EIN2021-12-31420714325
2020 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$11,357,223
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$2,791,305
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$2,782,690
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$3,115,168
Value of total assets at end of year2020-12-31$62,499,015
Value of total assets at beginning of year2020-12-31$53,933,097
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$8,615
Total interest from all sources2020-12-31$758,718
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$8,615
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,742,067
Assets. Other investments not covered elsewhere at end of year2020-12-31$32,839,688
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$27,821,656
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$142,702
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$8,565,918
Value of net assets at end of year (total assets less liabilities)2020-12-31$62,499,015
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$53,933,097
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$16,466,847
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$12,930,783
Value of interest in pooled separate accounts at end of year2020-12-31$1,556,421
Value of interest in pooled separate accounts at beginning of year2020-12-31$1,945,696
Interest earned on other investments2020-12-31$758,718
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$11,636,059
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$11,234,962
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$7,483,337
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 contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,230,399
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$2,782,690
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 name2020-12-31RSM US LLP
Accountancy firm EIN2020-12-31420714325
2019 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$11,648,351
Total income from all sources (including contributions)2019-12-31$11,648,351
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$3,287,068
Total of all expenses incurred2019-12-31$3,287,068
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$3,279,358
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$3,279,358
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,107,847
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,107,847
Value of total assets at end of year2019-12-31$53,933,097
Value of total assets at end of year2019-12-31$53,933,097
Value of total assets at beginning of year2019-12-31$45,571,814
Value of total assets at beginning of year2019-12-31$45,571,814
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$7,710
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$7,710
Total interest from all sources2019-12-31$620,036
Total interest from all sources2019-12-31$620,036
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Administrative expenses professional fees incurred2019-12-31$7,710
Administrative expenses professional fees incurred2019-12-31$7,710
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,614,849
Contributions received from participants2019-12-31$1,614,849
Assets. Other investments not covered elsewhere at end of year2019-12-31$27,821,656
Assets. Other investments not covered elsewhere at end of year2019-12-31$27,821,656
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$23,384,666
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$23,384,666
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$303,353
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$303,353
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
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$8,361,283
Value of net income/loss2019-12-31$8,361,283
Value of net assets at end of year (total assets less liabilities)2019-12-31$53,933,097
Value of net assets at end of year (total assets less liabilities)2019-12-31$53,933,097
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$45,571,814
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$45,571,814
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
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 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
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$12,930,783
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$12,930,783
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$9,604,473
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$9,604,473
Value of interest in pooled separate accounts at end of year2019-12-31$1,945,696
Value of interest in pooled separate accounts at end of year2019-12-31$1,945,696
Value of interest in pooled separate accounts at beginning of year2019-12-31$1,779,449
Value of interest in pooled separate accounts at beginning of year2019-12-31$1,779,449
Interest earned on other investments2019-12-31$620,036
Interest earned on other investments2019-12-31$620,036
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$11,234,962
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$11,234,962
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$10,803,226
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$10,803,226
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$7,920,468
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$7,920,468
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
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
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
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$1,189,645
Contributions received in cash from employer2019-12-31$1,189,645
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$3,279,358
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$3,279,358
Did the plan have assets held for investment2019-12-31Yes
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
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
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)2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31RSM US LLP
Accountancy firm name2019-12-31RSM US LLP
Accountancy firm EIN2019-12-31420714325
Accountancy firm EIN2019-12-31420714325
2018 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$1,197,739
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$3,924,648
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$3,917,720
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,956,780
Value of total assets at end of year2018-12-31$45,571,814
Value of total assets at beginning of year2018-12-31$48,298,723
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$6,928
Total interest from all sources2018-12-31$698,526
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Administrative expenses professional fees incurred2018-12-31$6,928
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,567,846
Assets. Other investments not covered elsewhere at end of year2018-12-31$23,384,666
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$26,248,573
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$226,003
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-2,726,909
Value of net assets at end of year (total assets less liabilities)2018-12-31$45,571,814
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$48,298,723
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$9,604,473
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$9,454,867
Value of interest in pooled separate accounts at end of year2018-12-31$1,779,449
Value of interest in pooled separate accounts at beginning of year2018-12-31$1,632,387
Interest earned on other investments2018-12-31$698,526
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$10,803,226
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$10,962,896
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-2,457,567
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$1,162,931
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$3,917,720
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 name2018-12-31RSM US LLP
Accountancy firm EIN2018-12-31420714325
2017 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$8,972,550
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$2,495,177
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$2,492,138
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,557,157
Value of total assets at end of year2017-12-31$48,298,723
Value of total assets at beginning of year2017-12-31$41,821,350
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$3,039
Total interest from all sources2017-12-31$450,999
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Administrative expenses professional fees incurred2017-12-31$3,039
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,424,224
Assets. Other investments not covered elsewhere at end of year2017-12-31$26,248,573
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$22,048,582
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$55,507
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$6,477,373
Value of net assets at end of year (total assets less liabilities)2017-12-31$48,298,723
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$41,821,350
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$9,454,867
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$7,235,749
Value of interest in pooled separate accounts at end of year2017-12-31$1,632,387
Value of interest in pooled separate accounts at beginning of year2017-12-31$1,494,201
Interest earned on other investments2017-12-31$450,999
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$10,962,896
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$11,042,818
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$5,964,394
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 contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,077,426
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$2,492,138
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 name2017-12-31RSM US LLP
Accountancy firm EIN2017-12-31420714325
2016 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2016 401k financial data
Total income from all sources (including contributions)2016-12-31$4,993,035
Total of all expenses incurred2016-12-31$2,068,975
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,066,696
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,469,788
Value of total assets at end of year2016-12-31$41,821,350
Value of total assets at beginning of year2016-12-31$38,897,290
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$2,279
Total interest from all sources2016-12-31$366,707
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$2,279
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$1,306,727
Assets. Other investments not covered elsewhere at end of year2016-12-31$22,048,582
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$20,845,711
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$172,450
Other income not declared elsewhere2016-12-31$1,812,335
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$2,924,060
Value of net assets at end of year (total assets less liabilities)2016-12-31$41,821,350
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$38,897,290
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$7,235,749
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$5,988,313
Value of interest in pooled separate accounts at end of year2016-12-31$1,494,201
Value of interest in pooled separate accounts at beginning of year2016-12-31$1,470,944
Interest earned on other investments2016-12-31$366,707
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$11,042,818
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$10,592,322
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$269,575
Net investment gain/loss from pooled separate accounts2016-12-31$74,630
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 contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$990,611
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,066,696
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)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31RSM US LLP
Accountancy firm EIN2016-12-31420714325
2015 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$2,800,256
Total of all expenses incurred2015-12-31$1,761,095
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,758,473
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,164,666
Value of total assets at end of year2015-12-31$38,897,290
Value of total assets at beginning of year2015-12-31$37,858,129
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$2,622
Total interest from all sources2015-12-31$404,259
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,214,432
Assets. Other investments not covered elsewhere at end of year2015-12-31$20,845,711
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$20,529,780
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$24,209
Administrative expenses (other) incurred2015-12-31$2,622
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$1,039,161
Value of net assets at end of year (total assets less liabilities)2015-12-31$38,897,290
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$37,858,129
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$5,988,313
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$5,403,318
Value of interest in pooled separate accounts at end of year2015-12-31$1,470,944
Value of interest in pooled separate accounts at beginning of year2015-12-31$1,281,104
Interest earned on other investments2015-12-31$404,259
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$10,592,322
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$10,643,927
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$231,331
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$926,025
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,758,473
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)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31RSM US LLP
Accountancy firm EIN2015-12-31420714325
2014 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$4,455,786
Total of all expenses incurred2014-12-31$1,849,272
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,845,672
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,180,630
Value of total assets at end of year2014-12-31$37,858,129
Value of total assets at beginning of year2014-12-31$35,251,615
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$3,600
Total interest from all sources2014-12-31$381,090
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,074,154
Assets. Other investments not covered elsewhere at end of year2014-12-31$20,529,780
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$19,376,730
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$281,314
Other income not declared elsewhere2014-12-31$1,693,135
Administrative expenses (other) incurred2014-12-31$3,600
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$2,606,514
Value of net assets at end of year (total assets less liabilities)2014-12-31$37,858,129
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$35,251,615
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$5,403,318
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$4,337,308
Value of interest in pooled separate accounts at end of year2014-12-31$1,281,104
Value of interest in pooled separate accounts at beginning of year2014-12-31$1,117,681
Interest earned on other investments2014-12-31$381,090
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$10,643,927
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$10,419,896
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$63,226
Net investment gain/loss from pooled separate accounts2014-12-31$137,705
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$825,162
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,845,672
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)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31MCGLADREY LLP
Accountancy firm EIN2014-12-31420714325
2013 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$6,809,747
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$2,040,649
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,037,043
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,816,600
Value of total assets at end of year2013-12-31$35,251,615
Value of total assets at beginning of year2013-12-31$30,482,517
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$3,606
Total interest from all sources2013-12-31$259,504
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,003,725
Assets. Other investments not covered elsewhere at end of year2013-12-31$19,376,730
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$15,999,169
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$18,891
Other income not declared elsewhere2013-12-31$4,057,232
Administrative expenses (other) incurred2013-12-31$3,606
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$4,769,098
Value of net assets at end of year (total assets less liabilities)2013-12-31$35,251,615
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$30,482,517
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$4,337,308
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$2,951,884
Value of interest in pooled separate accounts at end of year2013-12-31$1,117,681
Value of interest in pooled separate accounts at beginning of year2013-12-31$1,013,963
Interest earned on other investments2013-12-31$259,504
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$10,419,896
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$10,517,501
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$576,564
Net investment gain/loss from pooled separate accounts2013-12-31$99,847
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 contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$793,984
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,037,043
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)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31MCGLADREY LLP
Accountancy firm EIN2013-12-31420714325
2012 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
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$4,585,075
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,223,416
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,219,446
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,725,263
Value of total assets at end of year2012-12-31$30,482,517
Value of total assets at beginning of year2012-12-31$27,120,858
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$3,970
Total interest from all sources2012-12-31$180,682
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$5,000,000
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$941,574
Assets. Other investments not covered elsewhere at end of year2012-12-31$15,999,169
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$13,802,238
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$18,772
Other income not declared elsewhere2012-12-31$2,325,403
Administrative expenses (other) incurred2012-12-31$3,970
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$3,361,659
Value of net assets at end of year (total assets less liabilities)2012-12-31$30,482,517
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$27,120,858
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$2,951,884
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$2,142,784
Value of interest in pooled separate accounts at end of year2012-12-31$1,013,963
Value of interest in pooled separate accounts at beginning of year2012-12-31$823,672
Interest earned on other investments2012-12-31$180,682
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$10,517,501
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$10,352,164
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$266,896
Net investment gain/loss from pooled separate accounts2012-12-31$86,831
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$764,917
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,219,446
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)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31MCGLADREY LLP
Accountancy firm EIN2012-12-31420714325
2011 : UNIVERSITY OF DUBUQUE EMPLOYEES' 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$2,101,116
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,218,270
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,214,485
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,978,638
Value of total assets at end of year2011-12-31$27,120,858
Value of total assets at beginning of year2011-12-31$27,238,012
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$3,785
Total interest from all sources2011-12-31$155,384
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$5,000,000
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$921,675
Participant contributions at beginning of year2011-12-31$1,066
Assets. Other investments not covered elsewhere at end of year2011-12-31$13,802,238
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$14,736,222
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$325,114
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$0
Other income not declared elsewhere2011-12-31$9,581
Administrative expenses (other) incurred2011-12-31$3,785
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-117,154
Value of net assets at end of year (total assets less liabilities)2011-12-31$27,120,858
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$27,238,012
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$2,142,784
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$1,306,655
Value of interest in pooled separate accounts at end of year2011-12-31$823,672
Value of interest in pooled separate accounts at beginning of year2011-12-31$681,768
Interest earned on other investments2011-12-31$155,384
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$10,352,164
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$10,511,222
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-133,627
Net investment gain/loss from pooled separate accounts2011-12-31$91,140
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 contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$731,849
Employer contributions (assets) at beginning of year2011-12-31$1,079
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,214,485
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)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31MCGLADREY LLP
Accountancy firm EIN2011-12-31420714325
2010 : UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets to this plan2010-12-31$2,242,960
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$3,393,747
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,337,657
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,336,137
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,252,743
Value of total assets at end of year2010-12-31$27,238,012
Value of total assets at beginning of year2010-12-31$22,938,962
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,520
Total interest from all sources2010-12-31$73,352
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$5,000,000
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$678,834
Participant contributions at end of year2010-12-31$1,066
Assets. Other investments not covered elsewhere at end of year2010-12-31$14,736,222
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$11,821,010
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$29,356
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2010-12-31$80,034
Other income not declared elsewhere2010-12-31$1,879,206
Administrative expenses (other) incurred2010-12-31$1,520
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$2,056,090
Value of net assets at end of year (total assets less liabilities)2010-12-31$27,238,012
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$22,938,962
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$1,306,655
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$581,246
Value of interest in pooled separate accounts at end of year2010-12-31$681,768
Value of interest in pooled separate accounts at beginning of year2010-12-31$527,170
Interest earned on other investments2010-12-31$73,352
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$10,511,222
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$10,009,536
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$119,821
Net investment gain/loss from pooled separate accounts2010-12-31$68,625
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 contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$544,553
Employer contributions (assets) at end of year2010-12-31$1,079
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,256,103
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)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31MCGLADREY & PULLEN, LLP
Accountancy firm EIN2010-12-31420714325

Form 5500 Responses for UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN

2022: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2021: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2020: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2019: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2018: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2017: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2016: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2015: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2014: UNIVERSITY OF DUBUQUE EMPLOYEES' 403(B) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
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 benefit arrangement – InsuranceYes
2013: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 benefit arrangement – InsuranceYes
2012: UNIVERSITY OF DUBUQUE EMPLOYEES' 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 DUBUQUE EMPLOYEES' 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 DUBUQUE EMPLOYEES' 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 funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered29
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered478
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered34
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered493
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered38
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered482
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered483
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered38
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered494
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered41
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered43
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered494
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered47
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered505
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered48
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered498
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered504
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 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered50
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 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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered54
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 $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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered519
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 $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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered526
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered56
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
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 number365711
Policy instance 1
Insurance contract or identification number365711
Number of Individuals Covered530
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365712
Policy instance 2
Insurance contract or identification number365712
Number of Individuals Covered60
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

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