401k Plan data: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) plan

FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 401k Plan overview

Plan Name	FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A)
Plan identification number	002

FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.

401k Sponsoring company profile

FIELDING GRADUATE UNIVERSITY has sponsored the creation of one or more 401k plans.

Company Name: FIELDING GRADUATE UNIVERSITY

Employer identification number (EIN): 952882724

NAIC Classification: 611000

Additional information about FIELDING GRADUATE UNIVERSITY

Jurisdiction of Incorporation: California Department of State

Incorporation Date:

Company Identification Number: C0710204

More information about FIELDING GRADUATE UNIVERSITY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A)

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-07-01 DINO FERRARE 2023-11-29 DINO FERRARE 2023-11-29
002 2021-07-01 DINO FERRARE 2022-12-09 DINO FERRARE 2022-12-09
002 2020-07-01 PREMA WINDOKUN 2022-01-06 PREMA WINDOKUN 2022-01-06
002 2019-07-01 PREMA WINDOKUN 2021-02-15 PREMA WINDOKUN 2021-02-15
002 2018-07-01 PREMA WINDOKUN 2020-01-23 PREMA WINDOKUN 2020-01-23
002 2017-07-01 LISA LEWIS 2019-01-09 LISA LEWIS 2019-01-09
002 2015-07-01 LISA LEWIS 2016-12-02 LISA LEWIS 2016-12-02
002 2014-07-01 LISA LEWIS 2015-09-04 LISA LEWIS 2015-09-04
002 2013-07-01 LISA LEWIS 2016-04-21 LISA LEWIS 2016-04-21
002 2012-07-01 LISA LEWIS 2014-01-16 LISA LEWIS 2014-01-16
002 2011-07-01 LISA LEWIS LISA LEWIS 2013-03-19
002 2009-07-01 LISA LEWIS LISA LEWIS 2011-04-15
002 2008-07-01 LISA LEWIS 2010-10-18
002 2007-07-01 LISA LEWIS LISA LEWIS 2010-03-24

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-07-01	DINO FERRARE	2023-11-29	DINO FERRARE	2023-11-29
002	2021-07-01	DINO FERRARE	2022-12-09	DINO FERRARE	2022-12-09
002	2020-07-01	PREMA WINDOKUN	2022-01-06	PREMA WINDOKUN	2022-01-06
002	2019-07-01	PREMA WINDOKUN	2021-02-15	PREMA WINDOKUN	2021-02-15
002	2018-07-01	PREMA WINDOKUN	2020-01-23	PREMA WINDOKUN	2020-01-23
002	2017-07-01	LISA LEWIS	2019-01-09	LISA LEWIS	2019-01-09
002	2015-07-01	LISA LEWIS	2016-12-02	LISA LEWIS	2016-12-02
002	2014-07-01	LISA LEWIS	2015-09-04	LISA LEWIS	2015-09-04
002	2013-07-01	LISA LEWIS	2016-04-21	LISA LEWIS	2016-04-21
002	2012-07-01	LISA LEWIS	2014-01-16	LISA LEWIS	2014-01-16
002	2011-07-01	LISA LEWIS		LISA LEWIS	2013-03-19
002	2009-07-01	LISA LEWIS		LISA LEWIS	2011-04-15
002	2008-07-01			LISA LEWIS	2010-10-18
002	2007-07-01	LISA LEWIS		LISA LEWIS	2010-03-24

Plan Statistics for FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A)

401k plan membership statisitcs for FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A)

Measure Date Value
2011: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2011 401k membership
Total participants, beginning-of-year 2011-07-01 100
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 40
Number of retired or separated participants receiving benefits 2011-07-01 7
Number of other retired or separated participants entitled to future benefits 2011-07-01 44
Total of all active and inactive participants 2011-07-01 91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 0
Total participants 2011-07-01 91
Number of participants with account balances 2011-07-01 91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 0
2009: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2009 401k membership
Total participants, beginning-of-year 2009-07-01 111
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 66
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 46
Total of all active and inactive participants 2009-07-01 112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 2
Total participants 2009-07-01 114
Number of participants with account balances 2009-07-01 104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 0
2008: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2008 401k membership
Total participants, beginning-of-year 2008-07-01 264
Total number of active participants reported on line 7a of the Form 5500 2008-07-01 59
Number of retired or separated participants receiving benefits 2008-07-01 0
Number of other retired or separated participants entitled to future benefits 2008-07-01 51
Total of all active and inactive participants 2008-07-01 110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-07-01 1
Total participants 2008-07-01 111
Number of participants with account balances 2008-07-01 111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-07-01 0
2007: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2007 401k membership
Total participants, beginning-of-year 2007-07-01 259
Total number of active participants reported on line 7a of the Form 5500 2007-07-01 173
Number of retired or separated participants receiving benefits 2007-07-01 0
Number of other retired or separated participants entitled to future benefits 2007-07-01 89
Total of all active and inactive participants 2007-07-01 262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-07-01 2
Total participants 2007-07-01 264

Measure	Date	Value
2011: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2011 401k membership
Total participants, beginning-of-year	2011-07-01	100
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	40
Number of retired or separated participants receiving benefits	2011-07-01	7
Number of other retired or separated participants entitled to future benefits	2011-07-01	44
Total of all active and inactive participants	2011-07-01	91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	0
Total participants	2011-07-01	91
Number of participants with account balances	2011-07-01	91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	0
2009: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2009 401k membership
Total participants, beginning-of-year	2009-07-01	111
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	66
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	46
Total of all active and inactive participants	2009-07-01	112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	2
Total participants	2009-07-01	114
Number of participants with account balances	2009-07-01	104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	0
2008: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2008 401k membership
Total participants, beginning-of-year	2008-07-01	264
Total number of active participants reported on line 7a of the Form 5500	2008-07-01	59
Number of retired or separated participants receiving benefits	2008-07-01	0
Number of other retired or separated participants entitled to future benefits	2008-07-01	51
Total of all active and inactive participants	2008-07-01	110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-07-01	1
Total participants	2008-07-01	111
Number of participants with account balances	2008-07-01	111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-07-01	0
2007: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2007 401k membership
Total participants, beginning-of-year	2007-07-01	259
Total number of active participants reported on line 7a of the Form 5500	2007-07-01	173
Number of retired or separated participants receiving benefits	2007-07-01	0
Number of other retired or separated participants entitled to future benefits	2007-07-01	89
Total of all active and inactive participants	2007-07-01	262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-07-01	2
Total participants	2007-07-01	264

Financial Data on FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A)

Measure	Date	Value
2012 : FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2012 401k financial data
Total income from all sources (including contributions)	2012-06-30	$59,938
Total of all expenses incurred	2012-06-30	$257,781
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-06-30	$257,781
Value of total assets at end of year	2012-06-30	$3,323,611
Value of total assets at beginning of year	2012-06-30	$3,521,454
Total interest from all sources	2012-06-30	$50,764
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-06-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-06-30	$0
Was this plan covered by a fidelity bond	2012-06-30	Yes
Value of fidelity bond cover	2012-06-30	$2,000,000
If this is an individual account plan, was there a blackout period	2012-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2012-06-30	No
Other income not declared elsewhere	2012-06-30	$1
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Value of net income/loss	2012-06-30	$-197,843
Value of net assets at end of year (total assets less liabilities)	2012-06-30	$3,323,611
Value of net assets at beginning of year (total assets less liabilities)	2012-06-30	$3,521,454
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-06-30	No
Were any leases to which the plan was party in default or uncollectible	2012-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-06-30	$1,738,639
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-06-30	$2,298,993
Value of interest in pooled separate accounts at end of year	2012-06-30	$6,144
Value of interest in pooled separate accounts at beginning of year	2012-06-30	$0
Interest earned on other investments	2012-06-30	$50,764
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-06-30	$370,421
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-06-30	$1,208,407
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-06-30	$1,222,461
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-06-30	$8,705
Net investment gain/loss from pooled separate accounts	2012-06-30	$468
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-06-30	No
Was there a failure to transmit to the plan any participant contributions	2012-06-30	No
Has the plan failed to provide any benefit when due under the plan	2012-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-06-30	$257,781
Did the plan have assets held for investment	2012-06-30	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	2012-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-06-30	Disclaimer
Accountancy firm name	2012-06-30	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2012-06-30	390859910
2011 : FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2011 401k financial data
Total income from all sources (including contributions)	2011-06-30	$449,049
Total of all expenses incurred	2011-06-30	$152,538
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-06-30	$151,951
Value of total assets at end of year	2011-06-30	$3,521,454
Value of total assets at beginning of year	2011-06-30	$3,224,943
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-06-30	$587
Total interest from all sources	2011-06-30	$51,814
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-06-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-06-30	$0
Was this plan covered by a fidelity bond	2011-06-30	Yes
Value of fidelity bond cover	2011-06-30	$2,000,000
If this is an individual account plan, was there a blackout period	2011-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2011-06-30	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Value of net income/loss	2011-06-30	$296,511
Value of net assets at end of year (total assets less liabilities)	2011-06-30	$3,521,454
Value of net assets at beginning of year (total assets less liabilities)	2011-06-30	$3,224,943
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-06-30	No
Were any leases to which the plan was party in default or uncollectible	2011-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-06-30	$2,298,993
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-06-30	$1,998,477
Interest earned on other investments	2011-06-30	$51,807
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-06-30	$7
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-06-30	$1,222,461
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-06-30	$1,226,466
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-06-30	$397,235
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-06-30	No
Was there a failure to transmit to the plan any participant contributions	2011-06-30	No
Has the plan failed to provide any benefit when due under the plan	2011-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-06-30	$151,951
Contract administrator fees	2011-06-30	$587
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-06-30	No
Did the plan have assets held for investment	2011-06-30	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	2011-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-06-30	Disclaimer
Accountancy firm name	2011-06-30	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2011-06-30	390859910

Form 5500 Responses for FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A)

2011: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Submission has been amended	No
2011-07-01	This submission is the final filing	No
2011-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-07-01	Plan is a collectively bargained plan	No
2011-07-01	Plan funding arrangement – Insurance	Yes
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement – Insurance	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2009: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	No
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	No
2009-07-01	Plan funding arrangement – Insurance	Yes
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement – Insurance	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes
2008: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2008 form 5500 responses
2008-07-01	Type of plan entity	Single employer plan
2008-07-01	Submission has been amended	No
2008-07-01	This submission is the final filing	No
2008-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-07-01	Plan is a collectively bargained plan	No
2008-07-01	Plan funding arrangement – Insurance	Yes
2008-07-01	Plan funding arrangement – Trust	Yes
2008-07-01	Plan benefit arrangement – Insurance	Yes
2008-07-01	Plan benefit arrangement - Trust	Yes
2007: FIELDING GRADUATE UNIVERSITY EMPLOYEES RETIREMENT PLAN 401 (A) 2007 form 5500 responses
2007-07-01	Type of plan entity	Single employer plan
2007-07-01	Submission has been amended	Yes
2007-07-01	This submission is the final filing	No
2007-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-07-01	Plan is a collectively bargained plan	No
2007-07-01	Plan funding arrangement – Insurance	Yes
2007-07-01	Plan funding arrangement – Trust	Yes
2007-07-01	Plan benefit arrangement – Insurance	Yes
2007-07-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

346817

Policy instance

Insurance contract or identification number	346817
Number of Individuals Covered	91
Insurance policy start date	2011-07-01
Insurance policy end date	2012-06-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes

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

Policy contract number

346817

Policy instance

Insurance contract or identification number	346817
Number of Individuals Covered	100
Insurance policy start date	2010-07-01
Insurance policy end date	2011-06-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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

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Company Name:	FIELDING GRADUATE UNIVERSITY
Employer identification number (EIN):	952882724
NAIC Classification:	611000

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:
Company Identification Number:	C0710204