401k Plan data: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN plan

ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 401k Plan overview

Plan Name	ROOSEVELT UNIVERSITY RAFO 403(B) PLAN
Plan identification number	008

ROOSEVELT UNIVERSITY RAFO 403(B) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

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

Company Name: ROOSEVELT UNIVERSITY

Employer identification number (EIN): 362167854

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROOSEVELT UNIVERSITY RAFO 403(B) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
008 2012-09-01 CLARA GONG 2014-01-09
008 2011-09-01 CLARA GONG CLARA GONG 2013-06-06
008 2009-09-01 CLARA GONG
008 2008-09-01 CLARA GONG

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
008	2012-09-01	CLARA GONG	2014-01-09
008	2011-09-01	CLARA GONG		CLARA GONG	2013-06-06
008	2009-09-01	CLARA GONG
008	2008-09-01	CLARA GONG

Plan Statistics for ROOSEVELT UNIVERSITY RAFO 403(B) PLAN

401k plan membership statisitcs for ROOSEVELT UNIVERSITY RAFO 403(B) PLAN

Measure Date Value
2011: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-09-01 650
Total number of active participants reported on line 7a of the Form 5500 2011-09-01 14
Number of retired or separated participants receiving benefits 2011-09-01 0
Number of other retired or separated participants entitled to future benefits 2011-09-01 0
Total of all active and inactive participants 2011-09-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-09-01 0
Total participants 2011-09-01 14
Number of participants with account balances 2011-09-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-09-01 0
2009: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-09-01 343
Total number of active participants reported on line 7a of the Form 5500 2009-09-01 313
Number of retired or separated participants receiving benefits 2009-09-01 0
Number of other retired or separated participants entitled to future benefits 2009-09-01 0
Total of all active and inactive participants 2009-09-01 313
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-09-01 0
Total participants 2009-09-01 313
Number of participants with account balances 2009-09-01 20
2008: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2008 401k membership
Total of all active and inactive participants 2008-09-01 0
Total participants 2008-09-01 0

Measure	Date	Value
2011: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-09-01	650
Total number of active participants reported on line 7a of the Form 5500	2011-09-01	14
Number of retired or separated participants receiving benefits	2011-09-01	0
Number of other retired or separated participants entitled to future benefits	2011-09-01	0
Total of all active and inactive participants	2011-09-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-09-01	0
Total participants	2011-09-01	14
Number of participants with account balances	2011-09-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-09-01	0
2009: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-09-01	343
Total number of active participants reported on line 7a of the Form 5500	2009-09-01	313
Number of retired or separated participants receiving benefits	2009-09-01	0
Number of other retired or separated participants entitled to future benefits	2009-09-01	0
Total of all active and inactive participants	2009-09-01	313
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-09-01	0
Total participants	2009-09-01	313
Number of participants with account balances	2009-09-01	20
2008: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2008 401k membership
Total of all active and inactive participants	2008-09-01	0
Total participants	2008-09-01	0

Financial Data on ROOSEVELT UNIVERSITY RAFO 403(B) PLAN

Measure	Date	Value
2012 : ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-08-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-08-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-08-31	$0
Total income from all sources (including contributions)	2012-08-31	$77,683
Total loss/gain on sale of assets	2012-08-31	$0
Total of all expenses incurred	2012-08-31	$9,671
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-08-31	$9,527
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-08-31	$41,155
Value of total assets at end of year	2012-08-31	$481,677
Value of total assets at beginning of year	2012-08-31	$413,665
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-08-31	$144
Total interest from all sources	2012-08-31	$848
Total dividends received (eg from common stock, registered investment company shares)	2012-08-31	$9,529
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-08-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-08-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-08-31	$9,529
Was this plan covered by a fidelity bond	2012-08-31	Yes
Value of fidelity bond cover	2012-08-31	$1,000,000
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
Were there any nonexempt tranactions with any party-in-interest	2012-08-31	No
Contributions received from participants	2012-08-31	$41,155
Administrative expenses (other) incurred	2012-08-31	$144
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	$68,012
Value of net assets at end of year (total assets less liabilities)	2012-08-31	$481,677
Value of net assets at beginning of year (total assets less liabilities)	2012-08-31	$413,665
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	$454,448
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-08-31	$388,211
Value of interest in pooled separate accounts at end of year	2012-08-31	$84
Value of interest in pooled separate accounts at beginning of year	2012-08-31	$0
Interest earned on other investments	2012-08-31	$848
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-08-31	$27,145
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-08-31	$25,454
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-08-31	$26,146
Net investment gain/loss from pooled separate accounts	2012-08-31	$5
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	Yes
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	$9,527
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	CROWE HORWATH LLP
Accountancy firm EIN	2012-08-31	350921680
2011 : ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-08-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-08-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-08-31	$0
Total income from all sources (including contributions)	2011-08-31	$139,322
Total loss/gain on sale of assets	2011-08-31	$0
Total of all expenses incurred	2011-08-31	$239,140
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-08-31	$238,996
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-08-31	$46,777
Value of total assets at end of year	2011-08-31	$413,665
Value of total assets at beginning of year	2011-08-31	$513,483
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-08-31	$144
Total interest from all sources	2011-08-31	$299
Total dividends received (eg from common stock, registered investment company shares)	2011-08-31	$10,149
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-08-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-08-31	$10,149
Administrative expenses professional fees incurred	2011-08-31	$144
Was this plan covered by a fidelity bond	2011-08-31	Yes
Value of fidelity bond cover	2011-08-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-08-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-08-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-08-31	No
Contributions received from participants	2011-08-31	$46,777
Participant contributions at end of year	2011-08-31	$0
Participant contributions at beginning of year	2011-08-31	$2,312
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	$-99,818
Value of net assets at end of year (total assets less liabilities)	2011-08-31	$413,665
Value of net assets at beginning of year (total assets less liabilities)	2011-08-31	$513,483
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	$388,211
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-08-31	$511,171
Interest earned on other investments	2011-08-31	$299
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-08-31	$25,454
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-08-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-08-31	$82,097
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	Yes
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	$238,996
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	CROWE HORWATH LLP
Accountancy firm EIN	2011-08-31	350921680
2010 : ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-08-31	$0

Form 5500 Responses for ROOSEVELT UNIVERSITY RAFO 403(B) PLAN

2011: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2011 form 5500 responses
2011-09-01	Type of plan entity	Single employer plan
2011-09-01	Submission has been amended	No
2011-09-01	This submission is the final filing	No
2011-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-09-01	Plan is a collectively bargained plan	Yes
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
2009: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2009 form 5500 responses
2009-09-01	Type of plan entity	Single employer plan
2009-09-01	Submission has been amended	No
2009-09-01	This submission is the final filing	No
2009-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-09-01	Plan is a collectively bargained plan	No
2009-09-01	Plan funding arrangement – Trust	Yes
2009-09-01	Plan benefit arrangement - Trust	Yes
2008: ROOSEVELT UNIVERSITY RAFO 403(B) PLAN 2008 form 5500 responses
2008-09-01	Type of plan entity	Single employer plan
2008-09-01	First time form 5500 has been submitted	Yes
2008-09-01	Submission has been amended	No
2008-09-01	This submission is the final filing	No
2008-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-09-01	Plan is a collectively bargained plan	No
2008-09-01	Plan funding arrangement – Trust	Yes
2008-09-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

404901

Policy instance

Insurance contract or identification number	404901
Number of Individuals Covered	16
Insurance policy start date	2011-09-01
Insurance policy end date	2012-08-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
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

404901

Policy instance

Insurance contract or identification number	404901
Number of Individuals Covered	14
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 allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	ROOSEVELT UNIVERSITY
Employer identification number (EIN):	362167854
NAIC Classification:	611000