401k Plan data: RIVIER UNIVERSITY TDA PLAN plan

RIVIER UNIVERSITY TDA PLAN 401k Plan overview

Plan Name	RIVIER UNIVERSITY TDA PLAN
Plan identification number	002

RIVIER UNIVERSITY TDA PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

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

Company Name: RIVIER UNIVERSITY

Employer identification number (EIN): 020223339

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RIVIER UNIVERSITY TDA PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 DIANA STRANO
002 2012-01-01 DIANA STRANO
002 2011-01-01 DIANA STRANO
002 2010-01-01 DIANA STRANO
002 2009-01-01 DIANA STRANO
002 2009-01-01 DIANA STRANO

Plan id#	Filing Submission Date	Name of Administrator
002	2013-01-01	DIANA STRANO
002	2012-01-01	DIANA STRANO
002	2011-01-01	DIANA STRANO
002	2010-01-01	DIANA STRANO
002	2009-01-01	DIANA STRANO
002	2009-01-01	DIANA STRANO

Plan Statistics for RIVIER UNIVERSITY TDA PLAN

401k plan membership statisitcs for RIVIER UNIVERSITY TDA PLAN

Measure Date Value
2013: RIVIER UNIVERSITY TDA PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 202
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
2012: RIVIER UNIVERSITY TDA PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 199
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 129
Number of other retired or separated participants entitled to future benefits 2012-01-01 72
Total of all active and inactive participants 2012-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 202
Number of participants with account balances 2012-01-01 157
2011: RIVIER UNIVERSITY TDA PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 199
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 126
Number of other retired or separated participants entitled to future benefits 2011-01-01 73
Total of all active and inactive participants 2011-01-01 199
Total participants 2011-01-01 199
Number of participants with account balances 2011-01-01 159
2010: RIVIER UNIVERSITY TDA PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 201
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 133
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 66
Total of all active and inactive participants 2010-01-01 199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 199
Number of participants with account balances 2010-01-01 157
2009: RIVIER UNIVERSITY TDA PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 215
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 130
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 72
Total of all active and inactive participants 2009-01-01 202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 202
Number of participants with account balances 2009-01-01 161

Measure	Date	Value
2013: RIVIER UNIVERSITY TDA PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	202
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
2012: RIVIER UNIVERSITY TDA PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	199
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	129
Number of other retired or separated participants entitled to future benefits	2012-01-01	72
Total of all active and inactive participants	2012-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	202
Number of participants with account balances	2012-01-01	157
2011: RIVIER UNIVERSITY TDA PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	199
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	126
Number of other retired or separated participants entitled to future benefits	2011-01-01	73
Total of all active and inactive participants	2011-01-01	199
Total participants	2011-01-01	199
Number of participants with account balances	2011-01-01	159
2010: RIVIER UNIVERSITY TDA PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	201
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	133
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	66
Total of all active and inactive participants	2010-01-01	199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	199
Number of participants with account balances	2010-01-01	157
2009: RIVIER UNIVERSITY TDA PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	215
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	130
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	72
Total of all active and inactive participants	2009-01-01	202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	202
Number of participants with account balances	2009-01-01	161

Financial Data on RIVIER UNIVERSITY TDA PLAN

Measure	Date	Value
2013 : RIVIER UNIVERSITY TDA PLAN 2013 401k financial data
Total transfer of assets from this plan	2013-12-31	$7,384,125
Total income from all sources (including contributions)	2013-12-31	$1,972,854
Total of all expenses incurred	2013-12-31	$710,646
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$710,646
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,086,769
Value of total assets at end of year	2013-12-31	$0
Value of total assets at beginning of year	2013-12-31	$6,121,917
Total interest from all sources	2013-12-31	$67,046
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$12,285
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$12,285
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$408,893
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$677,876
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,262,208
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$6,121,917
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$3,403,292
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$296,908
Interest earned on other investments	2013-12-31	$67,046
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$2,421,717
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$282,094
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$774,165
Net investment gain/loss from pooled separate accounts	2013-12-31	$32,589
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$428,552
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	2013-12-31	No
Did the plan have assets held for investment	2013-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2013-12-31	043499945
2012 : RIVIER UNIVERSITY TDA PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$937,431
Total of all expenses incurred	2012-12-31	$259,782
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$259,782
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$423,149
Value of total assets at end of year	2012-12-31	$6,121,917
Value of total assets at beginning of year	2012-12-31	$5,444,268
Total interest from all sources	2012-12-31	$81,715
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$371,225
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$51,924
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	$677,649
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$6,121,917
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$5,444,268
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	$3,403,292
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$2,909,696
Value of interest in pooled separate accounts at end of year	2012-12-31	$296,908
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$266,589
Interest earned on other investments	2012-12-31	$81,715
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$2,421,717
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$2,267,983
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$6,084
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$405,963
Net investment gain/loss from pooled separate accounts	2012-12-31	$26,604
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$253,698
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	CARON & BLETZER PLLC
Accountancy firm EIN	2012-12-31	043499945
2011 : RIVIER UNIVERSITY TDA PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$432,930
Total of all expenses incurred	2011-12-31	$255,151
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$255,151
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$364,999
Value of total assets at end of year	2011-12-31	$5,444,268
Value of total assets at beginning of year	2011-12-31	$5,266,489
Total interest from all sources	2011-12-31	$84,864
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$353,076
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$11,923
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	$177,779
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$5,444,268
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$5,266,489
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	$2,909,696
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$2,883,215
Value of interest in pooled separate accounts at end of year	2011-12-31	$266,589
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$226,476
Interest earned on other investments	2011-12-31	$84,864
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$2,267,983
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$2,156,798
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-46,716
Net investment gain/loss from pooled separate accounts	2011-12-31	$29,783
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$255,151
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	CARON & BLETZER PLLC
Accountancy firm EIN	2011-12-31	043499945
2010 : RIVIER UNIVERSITY TDA PLAN 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$1,088,554
Total of all expenses incurred	2010-12-31	$1,730,501
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,730,501
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$481,518
Value of total assets at end of year	2010-12-31	$5,266,489
Value of total assets at beginning of year	2010-12-31	$5,908,436
Total interest from all sources	2010-12-31	$67,674
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$361,637
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$119,881
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$-641,947
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$5,266,489
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$5,908,436
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$2,883,215
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$3,720,546
Value of interest in pooled separate accounts at end of year	2010-12-31	$226,476
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$199,463
Interest earned on other investments	2010-12-31	$67,674
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$2,156,798
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,988,427
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$513,088
Net investment gain/loss from pooled separate accounts	2010-12-31	$26,274
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,730,501
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	CARON & BLETZER PLLC
Accountancy firm EIN	2010-12-31	043499945

Form 5500 Responses for RIVIER UNIVERSITY TDA PLAN

2013: RIVIER UNIVERSITY TDA PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	This submission is the final filing	Yes
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: RIVIER UNIVERSITY TDA PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2011: RIVIER UNIVERSITY TDA PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2010: RIVIER UNIVERSITY TDA PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2009: RIVIER UNIVERSITY TDA PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

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Company Name:	RIVIER UNIVERSITY
Employer identification number (EIN):	020223339
NAIC Classification:	611000