401k Plan data: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN plan

OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 401k Plan overview

Plan Name	OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN
Plan identification number	002

OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY 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.
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.

401k Sponsoring company profile

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

Company Name: OHIO NORTHERN UNIVERSITY

Employer identification number (EIN): 344429091

NAIC Classification: 611000

Additional information about OHIO NORTHERN UNIVERSITY

Jurisdiction of Incorporation: Ohio Secretary of State Business Services Division

Incorporation Date: 1899-05-24

Company Identification Number: 24286

Legal Registered Office Address: 525 S MAIN STREET
-
ADA
United States of America (USA)
45810

More information about OHIO NORTHERN UNIVERSITY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-09-01 JOYCE A. DULWORTH 2015-06-08
002 2012-09-01 GWYN EASTOM
002 2011-09-01 GWYN EASTOM
002 2010-09-01 GWYN EASTOM
002 2009-09-01 GWYN EASTOM
002 2009-09-01 GWYN EASTOM
002 2007-09-01 WILLIAM BALLARD

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2013-09-01	JOYCE A. DULWORTH	2015-06-08
002	2012-09-01	GWYN EASTOM
002	2011-09-01	GWYN EASTOM
002	2010-09-01	GWYN EASTOM
002	2009-09-01	GWYN EASTOM
002	2009-09-01	GWYN EASTOM
002	2007-09-01	WILLIAM BALLARD

Plan Statistics for OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN

401k plan membership statisitcs for OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN

Measure Date Value
2012: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year 2012-09-01 585
Total number of active participants reported on line 7a of the Form 5500 2012-09-01 298
Number of other retired or separated participants entitled to future benefits 2012-09-01 254
Total of all active and inactive participants 2012-09-01 552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-09-01 1
Total participants 2012-09-01 553
Number of participants with account balances 2012-09-01 517
2011: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year 2011-09-01 593
Total number of active participants reported on line 7a of the Form 5500 2011-09-01 371
Number of other retired or separated participants entitled to future benefits 2011-09-01 214
Total of all active and inactive participants 2011-09-01 585
Total participants 2011-09-01 585
Number of participants with account balances 2011-09-01 518
2010: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year 2010-09-01 594
Total number of active participants reported on line 7a of the Form 5500 2010-09-01 525
Number of other retired or separated participants entitled to future benefits 2010-09-01 67
Total of all active and inactive participants 2010-09-01 592
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-09-01 1
Total participants 2010-09-01 593
Number of participants with account balances 2010-09-01 489
2009: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year 2009-09-01 614
Total number of active participants reported on line 7a of the Form 5500 2009-09-01 517
Number of other retired or separated participants entitled to future benefits 2009-09-01 59
Total of all active and inactive participants 2009-09-01 576
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-09-01 3
Total participants 2009-09-01 579
Number of participants with account balances 2009-09-01 488

Measure	Date	Value
2012: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year	2012-09-01	585
Total number of active participants reported on line 7a of the Form 5500	2012-09-01	298
Number of other retired or separated participants entitled to future benefits	2012-09-01	254
Total of all active and inactive participants	2012-09-01	552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-09-01	1
Total participants	2012-09-01	553
Number of participants with account balances	2012-09-01	517
2011: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year	2011-09-01	593
Total number of active participants reported on line 7a of the Form 5500	2011-09-01	371
Number of other retired or separated participants entitled to future benefits	2011-09-01	214
Total of all active and inactive participants	2011-09-01	585
Total participants	2011-09-01	585
Number of participants with account balances	2011-09-01	518
2010: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year	2010-09-01	594
Total number of active participants reported on line 7a of the Form 5500	2010-09-01	525
Number of other retired or separated participants entitled to future benefits	2010-09-01	67
Total of all active and inactive participants	2010-09-01	592
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-09-01	1
Total participants	2010-09-01	593
Number of participants with account balances	2010-09-01	489
2009: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year	2009-09-01	614
Total number of active participants reported on line 7a of the Form 5500	2009-09-01	517
Number of other retired or separated participants entitled to future benefits	2009-09-01	59
Total of all active and inactive participants	2009-09-01	576
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-09-01	3
Total participants	2009-09-01	579
Number of participants with account balances	2009-09-01	488

Financial Data on OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN

Measure	Date	Value
2013 : OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-08-31	$3,672,161
Total of all expenses incurred	2013-08-31	$1,515,567
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-08-31	$1,471,716
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-08-31	$1,674,124
Value of total assets at end of year	2013-08-31	$23,261,254
Value of total assets at beginning of year	2013-08-31	$21,104,660
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-08-31	$43,851
Total interest from all sources	2013-08-31	$315,763
Total dividends received (eg from common stock, registered investment company shares)	2013-08-31	$81,692
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-08-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-08-31	$81,692
Was this plan covered by a fidelity bond	2013-08-31	Yes
Value of fidelity bond cover	2013-08-31	$2,000,000
If this is an individual account plan, was there a blackout period	2013-08-31	No
Aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers	2013-08-31	0
Minimum employer required contribution for this plan year	2013-08-31	$0
Amount contributed by the employer to the plan for this plan year	2013-08-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-08-31	No
Contributions received from participants	2013-08-31	$1,316,707
Income. Received or receivable in cash from other sources (including rollovers)	2013-08-31	$357,417
Other income not declared elsewhere	2013-08-31	$4,598
Administrative expenses (other) incurred	2013-08-31	$43,851
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-08-31	No
Value of net income/loss	2013-08-31	$2,156,594
Value of net assets at end of year (total assets less liabilities)	2013-08-31	$23,261,254
Value of net assets at beginning of year (total assets less liabilities)	2013-08-31	$21,104,660
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-08-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-08-31	No
Were any leases to which the plan was party in default or uncollectible	2013-08-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-08-31	$13,032,335
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-08-31	$11,626,925
Value of interest in pooled separate accounts at end of year	2013-08-31	$1,157,235
Value of interest in pooled separate accounts at beginning of year	2013-08-31	$990,893
Interest on participant loans	2013-08-31	$4
Interest earned on other investments	2013-08-31	$315,759
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-08-31	$9,071,684
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-08-31	$8,486,842
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-08-31	$1,503,276
Net investment gain/loss from pooled separate accounts	2013-08-31	$92,708
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-08-31	No
Was there a failure to transmit to the plan any participant contributions	2013-08-31	No
Has the plan failed to provide any benefit when due under the plan	2013-08-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-08-31	$1,471,716
Did the plan have assets held for investment	2013-08-31	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	2013-08-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-08-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-08-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-08-31	Disclaimer
Accountancy firm name	2013-08-31	BKD, LLP
Accountancy firm EIN	2013-08-31	440160260
2012 : OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-08-31	$3,187,067
Total of all expenses incurred	2012-08-31	$1,256,933
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-08-31	$1,227,269
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-08-31	$1,720,366
Value of total assets at end of year	2012-08-31	$21,104,660
Value of total assets at beginning of year	2012-08-31	$19,174,526
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-08-31	$29,664
Total interest from all sources	2012-08-31	$293,668
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-08-31	No
Was this plan covered by a fidelity bond	2012-08-31	Yes
Value of fidelity bond cover	2012-08-31	$2,000,000
If this is an individual account plan, was there a blackout period	2012-08-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-08-31	$0
Minimum employer required contribution for this plan year	2012-08-31	$0
Amount contributed by the employer to the plan for this plan year	2012-08-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-08-31	No
Contributions received from participants	2012-08-31	$1,308,389
Income. Received or receivable in cash from other sources (including rollovers)	2012-08-31	$411,977
Administrative expenses (other) incurred	2012-08-31	$29,664
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-08-31	No
Value of net income/loss	2012-08-31	$1,930,134
Value of net assets at end of year (total assets less liabilities)	2012-08-31	$21,104,660
Value of net assets at beginning of year (total assets less liabilities)	2012-08-31	$19,174,526
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-08-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-08-31	No
Were any leases to which the plan was party in default or uncollectible	2012-08-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-08-31	$11,626,925
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-08-31	$10,483,090
Value of interest in pooled separate accounts at end of year	2012-08-31	$990,893
Value of interest in pooled separate accounts at beginning of year	2012-08-31	$872,260
Interest earned on other investments	2012-08-31	$293,668
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-08-31	$8,486,842
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-08-31	$7,819,176
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-08-31	$1,082,616
Net investment gain/loss from pooled separate accounts	2012-08-31	$90,417
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-08-31	No
Was there a failure to transmit to the plan any participant contributions	2012-08-31	No
Has the plan failed to provide any benefit when due under the plan	2012-08-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-08-31	$1,227,269
Did the plan have assets held for investment	2012-08-31	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	2012-08-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-08-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-08-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-08-31	Disclaimer
Accountancy firm name	2012-08-31	BKD, LLP
Accountancy firm EIN	2012-08-31	440160260
2011 : OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-08-31	$4,183,010
Total of all expenses incurred	2011-08-31	$1,074,407
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-08-31	$998,142
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-08-31	$2,498,374
Value of total assets at end of year	2011-08-31	$19,174,526
Value of total assets at beginning of year	2011-08-31	$16,065,923
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-08-31	$76,265
Total interest from all sources	2011-08-31	$264,425
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-08-31	No
Was this plan covered by a fidelity bond	2011-08-31	Yes
Value of fidelity bond cover	2011-08-31	$2,000,000
If this is an individual account plan, was there a blackout period	2011-08-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-08-31	No
Contributions received from participants	2011-08-31	$1,070,822
Participant contributions at end of year	2011-08-31	$0
Participant contributions at beginning of year	2011-08-31	$77,978
Income. Received or receivable in cash from other sources (including rollovers)	2011-08-31	$1,427,552
Administrative expenses (other) incurred	2011-08-31	$76,265
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-08-31	No
Value of net income/loss	2011-08-31	$3,108,603
Value of net assets at end of year (total assets less liabilities)	2011-08-31	$19,174,526
Value of net assets at beginning of year (total assets less liabilities)	2011-08-31	$16,065,923
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-08-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-08-31	No
Were any leases to which the plan was party in default or uncollectible	2011-08-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-08-31	$10,483,090
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-08-31	$8,573,006
Value of interest in pooled separate accounts at end of year	2011-08-31	$872,260
Value of interest in pooled separate accounts at beginning of year	2011-08-31	$532,189
Interest earned on other investments	2011-08-31	$264,425
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-08-31	$7,819,176
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-08-31	$6,882,750
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-08-31	$1,298,274
Net investment gain/loss from pooled separate accounts	2011-08-31	$121,937
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-08-31	No
Was there a failure to transmit to the plan any participant contributions	2011-08-31	No
Has the plan failed to provide any benefit when due under the plan	2011-08-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-08-31	$998,142
Did the plan have assets held for investment	2011-08-31	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	2011-08-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-08-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-08-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-08-31	Disclaimer
Accountancy firm name	2011-08-31	BKD, LLP
Accountancy firm EIN	2011-08-31	440160260

Form 5500 Responses for OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN

2012: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 form 5500 responses
2012-09-01	Type of plan entity	Single employer plan
2012-09-01	Plan funding arrangement – Insurance	Yes
2012-09-01	Plan funding arrangement – Trust	Yes
2012-09-01	Plan benefit arrangement – Insurance	Yes
2012-09-01	Plan benefit arrangement - Trust	Yes
2011: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2011 form 5500 responses
2011-09-01	Type of plan entity	Single employer plan
2011-09-01	Plan funding arrangement – Insurance	Yes
2011-09-01	Plan funding arrangement – Trust	Yes
2011-09-01	Plan benefit arrangement – Insurance	Yes
2011-09-01	Plan benefit arrangement - Trust	Yes
2010: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2010 form 5500 responses
2010-09-01	Type of plan entity	Single employer plan
2010-09-01	Plan funding arrangement – Insurance	Yes
2010-09-01	Plan funding arrangement – Trust	Yes
2010-09-01	Plan benefit arrangement – Insurance	Yes
2010-09-01	Plan benefit arrangement - Trust	Yes
2009: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2009 form 5500 responses
2009-09-01	Type of plan entity	Single employer plan
2009-09-01	Submission has been amended	Yes
2009-09-01	Plan funding arrangement – Insurance	Yes
2009-09-01	Plan funding arrangement – Trust	Yes
2009-09-01	Plan benefit arrangement – Insurance	Yes
2009-09-01	Plan benefit arrangement - Trust	Yes
2007: OHIO NORTHERN UNIVERSITY TAX DEFERRED ANNUITY PLAN 2007 form 5500 responses
2007-09-01	Type of plan entity	Single employer plan
2007-09-01	Submission has been amended	No
2007-09-01	This submission is the final filing	No
2007-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-09-01	Plan is a collectively bargained plan	No

Insurance Providers Used on plan

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

Policy contract number

104259

Policy instance

Insurance contract or identification number	104259
Number of Individuals Covered	517
Insurance policy start date	2012-09-01
Insurance policy end date	2013-08-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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

Policy contract number

104259

Policy instance

Insurance contract or identification number	104259
Number of Individuals Covered	585
Insurance policy start date	2011-09-01
Insurance policy end date	2012-08-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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

Policy contract number

104259

Policy instance

Insurance contract or identification number	104259
Number of Individuals Covered	593
Insurance policy start date	2010-09-01
Insurance policy end date	2011-08-31
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 contract types other than deposit administration, immediate participation guarantee or 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:	OHIO NORTHERN UNIVERSITY
Employer identification number (EIN):	344429091
NAIC Classification:	611000

Jurisdiction of Incorporation:	Ohio Secretary of State Business Services Division
Incorporation Date:	1899-05-24
Company Identification Number:	24286
Legal Registered Office Address:	525 S MAIN STREET - ADA United States of America (USA) 45810