401k Plan data: CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN plan

CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 401k Plan overview

Plan Name	CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN
Plan identification number	002

CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

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

Company Name: CALDWELL UNIVERSITY

Employer identification number (EIN): 221500483

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2011-01-01 JOEL BOFF
002 2009-01-01 SHEILA N. O'ROURKE
002 2009-01-01 SHEILA N. O'ROURKE

Plan id#	Filing Submission Date	Name of Administrator
002	2011-01-01	JOEL BOFF
002	2009-01-01	SHEILA N. O'ROURKE
002	2009-01-01	SHEILA N. O'ROURKE

Plan Statistics for CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN

401k plan membership statisitcs for CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN

Measure Date Value
2011: CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 58
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
2009: CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 52
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 52
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 6
Total of all active and inactive participants 2009-01-01 58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 58
Number of participants with account balances 2009-01-01 50
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: CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	58
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
2009: CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	52
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	52
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	6
Total of all active and inactive participants	2009-01-01	58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	58
Number of participants with account balances	2009-01-01	50
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN

Measure	Date	Value
2011 : CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$18,593
Total unrealized appreciation/depreciation of assets	2011-12-31	$18,593
Total transfer of assets from this plan	2011-12-31	$1,707,576
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$1,707,576
Total income from all sources (including contributions)	2011-12-31	$131,163
Total loss/gain on sale of assets	2011-12-31	$2,407
Total of all expenses incurred	2011-12-31	$49,521
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$49,521
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$109,379
Value of total assets at end of year	2011-12-31	$1,707,576
Value of total assets at beginning of year	2011-12-31	$1,625,934
Total interest from all sources	2011-12-31	$2,849
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$5,867
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$5,867
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	$109,379
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$1,707,576
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	$81,642
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$1,625,934
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	$865,495
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$863,257
Value of interest in pooled separate accounts at end of year	2011-12-31	$105,087
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$68,150
Interest earned on other investments	2011-12-31	$2,849
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$736,994
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$694,527
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-19,207
Net investment gain/loss from pooled separate accounts	2011-12-31	$11,275
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	$49,521
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	2011-12-31	No
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	Yes
Aggregate proceeds on sale of assets	2011-12-31	$2,407
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	J H COHN LLP
Accountancy firm EIN	2011-12-31	221478099
2010 : CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$18,509
Total unrealized appreciation/depreciation of assets	2010-12-31	$18,509
Total income from all sources (including contributions)	2010-12-31	$262,765
Total loss/gain on sale of assets	2010-12-31	$543
Total of all expenses incurred	2010-12-31	$6,806
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$6,806
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$144,563
Value of total assets at end of year	2010-12-31	$1,625,934
Value of total assets at beginning of year	2010-12-31	$1,369,975
Total interest from all sources	2010-12-31	$4,359
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	No
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	$117,647
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$26,916
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	$255,959
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$1,625,934
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,369,975
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	$863,257
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$711,509
Value of interest in pooled separate accounts at end of year	2010-12-31	$68,150
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$39,803
Interest earned on other investments	2010-12-31	$4,359
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$694,527
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$618,663
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$88,036
Net investment gain/loss from pooled separate accounts	2010-12-31	$6,755
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	$6,806
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	2010-12-31	No
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	$543
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	J H COHN LLP
Accountancy firm EIN	2010-12-31	221478099

Form 5500 Responses for CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN

2011: CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	This submission is the final filing	Yes
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CALDWELL COLLEGE TAX DEFERRED ANNUITY RETIREMENT 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	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CALDWELL UNIVERSITY
Employer identification number (EIN):	221500483
NAIC Classification:	611000