401k Plan data: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN plan

CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 401k Plan overview

Plan Name	CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN
Plan identification number	003

CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Plan covered by PBGC that was terminated and closed out for PBGC purposes - Before the end of the plan year (or a prior plan year), (1) the plan terminated in a standard (or distress) termination and completed the distribution of plan assets in satisfaction of all benefit liabilities (or all ERISA Title IV benefits for distress termination); or (2) a trustee was appointed for a terminated plan pursuant to ERISA section 4042.
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).

401k Sponsoring company profile

CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER, INC. has sponsored the creation of one or more 401k plans.

Company Name: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER, INC.

Employer identification number (EIN): 160743944

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 KATHLEEN JOHNSON 2017-06-16
003 2015-01-01 KATHLEEN JOHNSON 2016-09-14
003 2014-01-01 KATHLEEN JOHNSON 2015-09-23
003 2013-01-01 KATHLEEN JOHNSON 2014-10-01
003 2012-01-01 JOHN PENNELL 2013-09-18
003 2011-01-01 JOHN PENNELL
003 2009-01-01 JOHN PENNELL

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
003	2016-01-01	KATHLEEN JOHNSON	2017-06-16
003	2015-01-01	KATHLEEN JOHNSON	2016-09-14
003	2014-01-01	KATHLEEN JOHNSON	2015-09-23
003	2013-01-01	KATHLEEN JOHNSON	2014-10-01
003	2012-01-01	JOHN PENNELL	2013-09-18
003	2011-01-01	JOHN PENNELL
003	2009-01-01	JOHN PENNELL

Plan Statistics for CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN

401k plan membership statisitcs for CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN

Measure Date Value
2011: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 101
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 19
Number of retired or separated participants receiving benefits 2011-01-01 30
Number of other retired or separated participants entitled to future benefits 2011-01-01 45
Total of all active and inactive participants 2011-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 4
Total participants 2011-01-01 98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 105
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 25
Number of retired or separated participants receiving benefits 2009-01-01 24
Number of other retired or separated participants entitled to future benefits 2009-01-01 49
Total of all active and inactive participants 2009-01-01 98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 3
Total participants 2009-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	101
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	19
Number of retired or separated participants receiving benefits	2011-01-01	30
Number of other retired or separated participants entitled to future benefits	2011-01-01	45
Total of all active and inactive participants	2011-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	4
Total participants	2011-01-01	98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	105
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	25
Number of retired or separated participants receiving benefits	2009-01-01	24
Number of other retired or separated participants entitled to future benefits	2009-01-01	49
Total of all active and inactive participants	2009-01-01	98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	3
Total participants	2009-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN

Measure	Date	Value
2011 : CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-135,342
Total unrealized appreciation/depreciation of assets	2011-12-31	$-135,342
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$204
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$144,494
Total income from all sources (including contributions)	2011-12-31	$172,174
Total loss/gain on sale of assets	2011-12-31	$105,701
Total of all expenses incurred	2011-12-31	$582,594
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$535,216
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$164,437
Value of total assets at end of year	2011-12-31	$3,047,984
Value of total assets at beginning of year	2011-12-31	$3,602,694
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$47,378
Total interest from all sources	2011-12-31	$6,949
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$16,138
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	$15,288
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
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	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$7,675
Liabilities. Value of operating payables at end of year	2011-12-31	$204
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
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$-410,420
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$3,047,780
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$3,458,200
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
Investment advisory and management fees	2011-12-31	$24,415
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$1,102,474
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$1,111,909
Income. Interest from US Government securities	2011-12-31	$5,947
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$77,268
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$212,380
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$212,380
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$1,002
Asset value of US Government securities at end of year	2011-12-31	$458,754
Asset value of US Government securities at beginning of year	2011-12-31	$551,344
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$14,291
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	$164,437
Employer contributions (assets) at end of year	2011-12-31	$164,437
Employer contributions (assets) at beginning of year	2011-12-31	$231,052
Income. Dividends from common stock	2011-12-31	$16,138
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$535,216
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$0
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$1,245,051
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$1,496,009
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$144,494
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
Aggregate proceeds on sale of assets	2011-12-31	$3,523,748
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$3,418,047
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	MENGEL, METZGER, BARR & CO., LLP
Accountancy firm EIN	2011-12-31	161092347
2010 : CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets	2010-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$241,155
Total unrealized appreciation/depreciation of assets	2010-12-31	$241,155
Total transfer of assets to this plan	2010-12-31	$0
Total transfer of assets from this plan	2010-12-31	$18,367
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$144,494
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$10,012
Total income from all sources (including contributions)	2010-12-31	$629,002
Total loss/gain on sale of assets	2010-12-31	$109,863
Total of all expenses incurred	2010-12-31	$385,763
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$349,273
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$231,052
Value of total assets at end of year	2010-12-31	$3,602,694
Value of total assets at beginning of year	2010-12-31	$3,243,340
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$36,490
Total interest from all sources	2010-12-31	$20,481
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$19,462
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$1,663
Administrative expenses professional fees incurred	2010-12-31	$13,763
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$10,012
Administrative expenses (other) incurred	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Income. Non cash contributions	2010-12-31	$0
Value of net income/loss	2010-12-31	$243,239
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,458,200
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,233,328
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
Investment advisory and management fees	2010-12-31	$22,727
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$1,111,909
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$1,102,712
Income. Interest from US Government securities	2010-12-31	$19,230
Income. Interest from corporate debt instruments	2010-12-31	$1,251
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$212,380
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$149,282
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$149,282
Asset value of US Government securities at end of year	2010-12-31	$551,344
Asset value of US Government securities at beginning of year	2010-12-31	$422,140
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$6,989
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
Contributions received in cash from employer	2010-12-31	$231,052
Employer contributions (assets) at end of year	2010-12-31	$231,052
Employer contributions (assets) at beginning of year	2010-12-31	$127,883
Income. Dividends from common stock	2010-12-31	$17,799
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$349,273
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$78,177
Contract administrator fees	2010-12-31	$0
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$1,496,009
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$1,363,146
Liabilities. Value of benefit claims payable at end of year	2010-12-31	$144,494
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
Aggregate proceeds on sale of assets	2010-12-31	$1,538,738
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$1,428,875
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	MENGEL, METZGER, BARR & CO., LLP
Accountancy firm EIN	2010-12-31	161092347
2009 : CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN

2011: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER INC LIMITED PENSION PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CATHOLIC CHARITIES OF THE DIOCESE OF ROCHESTER, INC.
Employer identification number (EIN):	160743944
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations