401k Plan data: SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN plan

SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 401k Plan overview

Plan Name	SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN
Plan identification number	003

SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

SISTERS OF SAINT FRANCIS OF DUBUQUE has sponsored the creation of one or more 401k plans.

Company Name: SISTERS OF SAINT FRANCIS OF DUBUQUE

Employer identification number (EIN): 420757421

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2012-01-01 LEANNE GOLINVAUX
003 2011-01-01 LEANNE GOLINVAUX

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2012-01-01	LEANNE GOLINVAUX
003	2011-01-01	LEANNE GOLINVAUX

Plan Statistics for SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN

401k plan membership statisitcs for SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN

Measure Date Value
2012: SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 142
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 13
Total of all active and inactive participants 2012-01-01 157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 157
Number of participants with account balances 2012-01-01 124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 5
2011: SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 155
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 133
Number of retired or separated participants receiving benefits 2011-01-01 4
Number of other retired or separated participants entitled to future benefits 2011-01-01 12
Total of all active and inactive participants 2011-01-01 149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 149
Number of participants with account balances 2011-01-01 121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5

Measure	Date	Value
2012: SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	142
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	13
Total of all active and inactive participants	2012-01-01	157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	157
Number of participants with account balances	2012-01-01	124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	5
2011: SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	155
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	133
Number of retired or separated participants receiving benefits	2011-01-01	4
Number of other retired or separated participants entitled to future benefits	2011-01-01	12
Total of all active and inactive participants	2011-01-01	149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	149
Number of participants with account balances	2011-01-01	121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5

Financial Data on SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN

Measure	Date	Value
2012 : SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$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	$376,203
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$107,297
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$90,010
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$185,155
Value of total assets at end of year	2012-12-31	$1,775,959
Value of total assets at beginning of year	2012-12-31	$1,507,053
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$17,287
Total interest from all sources	2012-12-31	$290
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 year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$17,287
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$81,249
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$17,115
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$268,906
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,775,959
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,507,053
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$1,523,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$1,255,437
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$165,432
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$166,118
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$166,118
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$290
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$190,758
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$86,791
Employer contributions (assets) at end of year	2012-12-31	$86,791
Employer contributions (assets) at beginning of year	2012-12-31	$85,498
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$90,010
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	EIDE BAILLY LLP
Accountancy firm EIN	2012-12-31	450250958
2011 : SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$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	$373,309
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$48,365
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$35,429
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$400,871
Value of total assets at end of year	2011-12-31	$1,507,053
Value of total assets at beginning of year	2011-12-31	$1,182,109
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$12,936
Total interest from all sources	2011-12-31	$212
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 year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$12,936
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$76,295
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$239,078
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$324,944
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,507,053
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$1,182,109
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$1,255,437
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$940,884
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$166,118
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$158,082
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$158,082
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$212
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-27,774
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$85,498
Employer contributions (assets) at end of year	2011-12-31	$85,498
Employer contributions (assets) at beginning of year	2011-12-31	$83,143
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$35,429
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	EIDE BAILLY LLP
Accountancy firm EIN	2011-12-31	450250958

Form 5500 Responses for SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN

2012: SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SISTERS OF SAINT FRANCIS EMPLOYEES' RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SISTERS OF SAINT FRANCIS OF DUBUQUE
Employer identification number (EIN):	420757421
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations