401k Plan data: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT plan

CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 401k Plan overview

Plan Name	CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT
Plan identification number	001

CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 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

CARROLL UNIVERSITY, INC. has sponsored the creation of one or more 401k plans.

Company Name: CARROLL UNIVERSITY, INC.

Employer identification number (EIN): 390806325

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 KELLY PEARSE 2021-03-29 DANA STUART 2021-03-26
001 2019-01-01 KELLY PEARSE 2020-07-24 DANA STUART 2020-07-23
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 LORRAINE FORCINITO DEIDRE ERWIN 2015-07-30
001 2013-01-01 LORRAINE FORCINITO DEIDRE ERWIN 2014-10-07
001 2012-01-01 LORRAINE FORCINITO DEIDRE ERWIN 2013-09-19
001 2011-01-01 LORRAINE FORCINITO JENNIFER HAUSCH 2012-08-08
001 2009-01-01 BARBARA CHRISTUS JENNIFER HAUSCH 2010-10-14

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	KELLY PEARSE	2021-03-29	DANA STUART	2021-03-26
001	2019-01-01	KELLY PEARSE	2020-07-24	DANA STUART	2020-07-23
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	LORRAINE FORCINITO		DEIDRE ERWIN	2015-07-30
001	2013-01-01	LORRAINE FORCINITO		DEIDRE ERWIN	2014-10-07
001	2012-01-01	LORRAINE FORCINITO		DEIDRE ERWIN	2013-09-19
001	2011-01-01	LORRAINE FORCINITO		JENNIFER HAUSCH	2012-08-08
001	2009-01-01	BARBARA CHRISTUS		JENNIFER HAUSCH	2010-10-14

Plan Statistics for CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT

401k plan membership statisitcs for CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT

Measure Date Value
2020: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2020 401k membership
Total participants, beginning-of-year 2020-01-01 943
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 0
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2019 401k membership
Total participants, beginning-of-year 2019-01-01 917
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 423
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 520
Total of all active and inactive participants 2019-01-01 943
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 1
Total participants 2019-01-01 944
Number of participants with account balances 2019-01-01 934
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2017: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2017 401k membership
Total participants, beginning-of-year 2017-01-01 878
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 400
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 507
Total of all active and inactive participants 2017-01-01 907
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 908
Number of participants with account balances 2017-01-01 902
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2016 401k membership
Total participants, beginning-of-year 2016-01-01 861
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 391
Number of other retired or separated participants entitled to future benefits 2016-01-01 486
Total of all active and inactive participants 2016-01-01 877
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 878
Number of participants with account balances 2016-01-01 870
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2015 401k membership
Total participants, beginning-of-year 2015-01-01 834
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 378
Number of other retired or separated participants entitled to future benefits 2015-01-01 482
Total of all active and inactive participants 2015-01-01 860
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 861
Number of participants with account balances 2015-01-01 857
2014: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2014 401k membership
Total participants, beginning-of-year 2014-01-01 825
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 370
Number of other retired or separated participants entitled to future benefits 2014-01-01 463
Total of all active and inactive participants 2014-01-01 833
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 834
Number of participants with account balances 2014-01-01 827
2013: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2013 401k membership
Total participants, beginning-of-year 2013-01-01 824
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 395
Number of other retired or separated participants entitled to future benefits 2013-01-01 433
Total of all active and inactive participants 2013-01-01 828
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 829
Number of participants with account balances 2013-01-01 817
2012: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2012 401k membership
Total participants, beginning-of-year 2012-01-01 791
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 411
Number of other retired or separated participants entitled to future benefits 2012-01-01 400
Total of all active and inactive participants 2012-01-01 811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 812
Number of participants with account balances 2012-01-01 784
2011: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2011 401k membership
Total participants, beginning-of-year 2011-01-01 764
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 402
Number of other retired or separated participants entitled to future benefits 2011-01-01 387
Total of all active and inactive participants 2011-01-01 789
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 2
Total participants 2011-01-01 791
Number of participants with account balances 2011-01-01 753
2009: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2009 401k membership
Total participants, beginning-of-year 2009-01-01 720
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 432
Number of other retired or separated participants entitled to future benefits 2009-01-01 301
Total of all active and inactive participants 2009-01-01 733
Total participants 2009-01-01 733
Number of participants with account balances 2009-01-01 718

Measure	Date	Value
2020: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2020 401k membership
Total participants, beginning-of-year	2020-01-01	943
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	0
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2019 401k membership
Total participants, beginning-of-year	2019-01-01	917
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	423
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	520
Total of all active and inactive participants	2019-01-01	943
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	1
Total participants	2019-01-01	944
Number of participants with account balances	2019-01-01	934
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2017: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2017 401k membership
Total participants, beginning-of-year	2017-01-01	878
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	400
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	507
Total of all active and inactive participants	2017-01-01	907
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	908
Number of participants with account balances	2017-01-01	902
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2016 401k membership
Total participants, beginning-of-year	2016-01-01	861
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	391
Number of other retired or separated participants entitled to future benefits	2016-01-01	486
Total of all active and inactive participants	2016-01-01	877
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	878
Number of participants with account balances	2016-01-01	870
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2015 401k membership
Total participants, beginning-of-year	2015-01-01	834
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	378
Number of other retired or separated participants entitled to future benefits	2015-01-01	482
Total of all active and inactive participants	2015-01-01	860
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	861
Number of participants with account balances	2015-01-01	857
2014: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2014 401k membership
Total participants, beginning-of-year	2014-01-01	825
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	370
Number of other retired or separated participants entitled to future benefits	2014-01-01	463
Total of all active and inactive participants	2014-01-01	833
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	834
Number of participants with account balances	2014-01-01	827
2013: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2013 401k membership
Total participants, beginning-of-year	2013-01-01	824
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	395
Number of other retired or separated participants entitled to future benefits	2013-01-01	433
Total of all active and inactive participants	2013-01-01	828
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	829
Number of participants with account balances	2013-01-01	817
2012: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2012 401k membership
Total participants, beginning-of-year	2012-01-01	791
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	411
Number of other retired or separated participants entitled to future benefits	2012-01-01	400
Total of all active and inactive participants	2012-01-01	811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	812
Number of participants with account balances	2012-01-01	784
2011: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2011 401k membership
Total participants, beginning-of-year	2011-01-01	764
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	402
Number of other retired or separated participants entitled to future benefits	2011-01-01	387
Total of all active and inactive participants	2011-01-01	789
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	2
Total participants	2011-01-01	791
Number of participants with account balances	2011-01-01	753
2009: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2009 401k membership
Total participants, beginning-of-year	2009-01-01	720
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	432
Number of other retired or separated participants entitled to future benefits	2009-01-01	301
Total of all active and inactive participants	2009-01-01	733
Total participants	2009-01-01	733
Number of participants with account balances	2009-01-01	718

Financial Data on CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT

Measure	Date	Value
2020 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2020 401k financial data
Total transfer of assets from this plan	2020-06-30	$101,909,152
Total income from all sources (including contributions)	2020-06-30	$2,223,431
Total of all expenses incurred	2020-06-30	$4,197,902
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-06-30	$4,197,902
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-06-30	$3,876,527
Value of total assets at end of year	2020-06-30	$0
Value of total assets at beginning of year	2020-06-30	$103,883,623
Total interest from all sources	2020-06-30	$508,533
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-06-30	No
Was this plan covered by a fidelity bond	2020-06-30	Yes
Value of fidelity bond cover	2020-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2020-06-30	No
Were there any nonexempt tranactions with any party-in-interest	2020-06-30	No
Contributions received from participants	2020-06-30	$973,992
Income. Received or receivable in cash from other sources (including rollovers)	2020-06-30	$1,687,813
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-06-30	No
Value of net income/loss	2020-06-30	$-1,974,471
Value of net assets at end of year (total assets less liabilities)	2020-06-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-06-30	$103,883,623
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-06-30	No
Were any leases to which the plan was party in default or uncollectible	2020-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-06-30	$73,486,223
Value of interest in pooled separate accounts at end of year	2020-06-30	$0
Value of interest in pooled separate accounts at beginning of year	2020-06-30	$5,438,133
Interest earned on other investments	2020-06-30	$508,533
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-06-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-06-30	$24,959,267
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-06-30	$-2,091,553
Net investment gain/loss from pooled separate accounts	2020-06-30	$-70,076
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-06-30	No
Was there a failure to transmit to the plan any participant contributions	2020-06-30	No
Has the plan failed to provide any benefit when due under the plan	2020-06-30	No
Contributions received in cash from employer	2020-06-30	$1,214,722
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-06-30	$4,197,902
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	2020-06-30	No
Did the plan have assets held for investment	2020-06-30	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	2020-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2020-06-30	Disclaimer
Accountancy firm name	2020-06-30	BAKER TILLY US, LLP
Accountancy firm EIN	2020-06-30	390859910
2019 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2019 401k financial data
Total income from all sources (including contributions)	2019-12-31	$19,889,863
Total of all expenses incurred	2019-12-31	$8,088,860
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$8,088,830
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$4,551,786
Value of total assets at end of year	2019-12-31	$103,883,623
Value of total assets at beginning of year	2019-12-31	$92,082,620
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$30
Total interest from all sources	2019-12-31	$993,219
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,294,387
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,294,387
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,834,643
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$457,139
Administrative expenses (other) incurred	2019-12-31	$30
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$11,801,003
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$103,883,623
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$92,082,620
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$73,486,223
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$60,893,259
Value of interest in pooled separate accounts at end of year	2019-12-31	$5,438,133
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$4,967,331
Interest earned on other investments	2019-12-31	$993,219
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$24,959,267
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$26,222,030
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$1,495,570
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$12,770,965
Net investment gain/loss from pooled separate accounts	2019-12-31	$279,506
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$2,260,004
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$6,593,260
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	2019-12-31	No
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN	2019-12-31	390859910
2018 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2018 401k financial data
Total income from all sources (including contributions)	2018-12-31	$185,847
Total of all expenses incurred	2018-12-31	$8,767,483
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$8,767,453
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$4,202,610
Value of total assets at end of year	2018-12-31	$92,082,620
Value of total assets at beginning of year	2018-12-31	$100,664,256
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$30
Total interest from all sources	2018-12-31	$1,066,228
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,880,278
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,880,278
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,645,638
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$410,541
Administrative expenses (other) incurred	2018-12-31	$30
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-8,581,636
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$92,082,620
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$100,664,256
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$60,893,259
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$69,338,777
Value of interest in pooled separate accounts at end of year	2018-12-31	$4,967,331
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$4,863,572
Interest earned on other investments	2018-12-31	$1,066,228
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$26,222,030
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$26,461,907
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$696,265
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-7,195,474
Net investment gain/loss from pooled separate accounts	2018-12-31	$232,205
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$2,146,431
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$8,071,188
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	2018-12-31	No
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2018-12-31	390859910
2017 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$16,969,749
Total of all expenses incurred	2017-12-31	$4,309,818
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$4,309,785
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$4,448,535
Value of total assets at end of year	2017-12-31	$100,664,256
Value of total assets at beginning of year	2017-12-31	$88,004,325
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$33
Total interest from all sources	2017-12-31	$1,030,764
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,244,687
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,244,687
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,638,850
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$611,489
Administrative expenses (other) incurred	2017-12-31	$33
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$12,659,931
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$100,664,256
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$88,004,325
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$69,338,777
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$57,752,086
Value of interest in pooled separate accounts at end of year	2017-12-31	$4,863,572
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$4,787,947
Interest earned on other investments	2017-12-31	$1,030,764
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$26,461,907
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$25,464,292
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$208,941
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$10,039,871
Net investment gain/loss from pooled separate accounts	2017-12-31	$205,892
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$2,198,196
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$4,100,844
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	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2017-12-31	390859910
2016 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$9,015,238
Total of all expenses incurred	2016-12-31	$4,549,647
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$4,549,620
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$3,598,262
Value of total assets at end of year	2016-12-31	$88,004,325
Value of total assets at beginning of year	2016-12-31	$83,538,734
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$27
Total interest from all sources	2016-12-31	$311,696
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$725,106
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$725,106
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,501,551
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$80,274
Administrative expenses (other) incurred	2016-12-31	$27
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$4,465,591
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$88,004,325
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$83,538,734
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$57,752,086
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$53,993,883
Value of interest in pooled separate accounts at end of year	2016-12-31	$4,787,947
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$4,357,535
Interest earned on other investments	2016-12-31	$311,696
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$25,464,292
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$25,187,316
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$522,590
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$4,152,106
Net investment gain/loss from pooled separate accounts	2016-12-31	$228,068
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$2,016,437
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$4,027,030
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	2016-12-31	No
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2016-12-31	390859910
2015 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$5,553,538
Total of all expenses incurred	2015-12-31	$4,386,668
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$4,386,555
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$4,280,453
Value of total assets at end of year	2015-12-31	$83,538,734
Value of total assets at beginning of year	2015-12-31	$82,371,864
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$113
Total interest from all sources	2015-12-31	$1,017,008
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$963,630
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$963,630
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,448,485
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$887,035
Administrative expenses (other) incurred	2015-12-31	$113
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$1,166,870
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$83,538,734
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$82,371,864
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$53,993,883
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$53,711,333
Value of interest in pooled separate accounts at end of year	2015-12-31	$4,357,535
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$4,090,447
Interest earned on other investments	2015-12-31	$1,017,008
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$25,187,316
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$24,570,084
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$372,407
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,034,608
Net investment gain/loss from pooled separate accounts	2015-12-31	$327,055
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,944,933
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$4,014,148
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	2015-12-31	No
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2015-12-31	390859910
2014 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$8,789,686
Total of all expenses incurred	2014-12-31	$5,022,118
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$5,019,428
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$4,154,448
Value of total assets at end of year	2014-12-31	$82,371,864
Value of total assets at beginning of year	2014-12-31	$78,604,296
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$2,690
Total interest from all sources	2014-12-31	$1,028,501
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$892,803
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$892,803
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,493,864
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$717,450
Administrative expenses (other) incurred	2014-12-31	$2,690
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$3,767,568
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$82,371,864
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$78,604,296
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$53,711,333
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$50,803,838
Value of interest in pooled separate accounts at end of year	2014-12-31	$4,090,447
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$3,808,866
Interest earned on other investments	2014-12-31	$1,028,501
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$24,570,084
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$23,991,592
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$13,884
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$2,255,558
Net investment gain/loss from pooled separate accounts	2014-12-31	$458,376
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,943,134
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$5,005,544
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	2014-12-31	No
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2014-12-31	390859910
2013 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$13,843,634
Total of all expenses incurred	2013-12-31	$4,602,711
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$4,601,785
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$3,426,978
Value of total assets at end of year	2013-12-31	$78,604,296
Value of total assets at beginning of year	2013-12-31	$69,363,373
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$926
Total interest from all sources	2013-12-31	$975,175
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$730,896
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$730,896
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
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	$1,415,663
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$109,126
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$4,293,449
Other income not declared elsewhere	2013-12-31	$5
Administrative expenses (other) incurred	2013-12-31	$926
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	$9,240,923
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$78,604,296
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$69,363,373
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	$50,803,838
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$39,189,689
Value of interest in pooled separate accounts at end of year	2013-12-31	$3,808,866
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$3,007,186
Interest earned on other investments	2013-12-31	$975,175
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$23,991,592
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$22,873,049
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$22,667
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$8,375,609
Net investment gain/loss from pooled separate accounts	2013-12-31	$334,971
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
Contributions received in cash from employer	2013-12-31	$1,902,189
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$4,579,118
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	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	2013-12-31	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	No
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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2013-12-31	390859910
2012 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2012 401k financial data
Total transfer of assets to this plan	2012-12-31	$4,297,583
Total income from all sources (including contributions)	2012-12-31	$9,254,604
Total of all expenses incurred	2012-12-31	$2,548,499
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,548,499
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$3,154,252
Value of total assets at end of year	2012-12-31	$69,363,373
Value of total assets at beginning of year	2012-12-31	$58,359,685
Total interest from all sources	2012-12-31	$912,563
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$260,741
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$260,741
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
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	$1,167,687
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$184,759
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$4,179
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$4,293,449
Other income not declared elsewhere	2012-12-31	$4,184
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	$6,706,105
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$69,363,373
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$58,359,685
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	$39,189,689
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$33,409,331
Value of interest in pooled separate accounts at end of year	2012-12-31	$3,007,186
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$2,579,097
Interest earned on other investments	2012-12-31	$912,563
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$22,873,049
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$22,371,257
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$151,230
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$4,661,054
Net investment gain/loss from pooled separate accounts	2012-12-31	$261,810
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
Contributions received in cash from employer	2012-12-31	$1,801,806
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,393,090
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	2012-12-31	No
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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2012-12-31	390859910
2011 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$3,134,203
Total of all expenses incurred	2011-12-31	$2,509,900
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,509,900
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,776,658
Value of total assets at end of year	2011-12-31	$58,359,685
Value of total assets at beginning of year	2011-12-31	$57,735,382
Total interest from all sources	2011-12-31	$892,052
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$148,985
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$148,985
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
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	$1,114,492
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$6,969
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	$624,303
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$58,359,685
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$57,735,382
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	$33,409,331
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$34,139,142
Value of interest in pooled separate accounts at end of year	2011-12-31	$2,579,097
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$2,015,897
Interest earned on other investments	2011-12-31	$892,052
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$22,371,257
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$21,580,343
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-966,494
Net investment gain/loss from pooled separate accounts	2011-12-31	$283,002
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	$1,655,197
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,509,900
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	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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2011-12-31	390859910
2010 : CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2010 401k financial data
Total transfer of assets from this plan	2010-12-31	$12,470
Total income from all sources (including contributions)	2010-12-31	$7,757,329
Total of all expenses incurred	2010-12-31	$2,220,033
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,219,544
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,662,034
Value of total assets at end of year	2010-12-31	$57,735,382
Value of total assets at beginning of year	2010-12-31	$52,210,556
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$489
Total interest from all sources	2010-12-31	$833,512
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$68,124
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	$68,124
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
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	$1,058,243
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$7,058
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	$5,537,296
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$57,735,382
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$52,210,556
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	$34,139,142
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$29,844,808
Value of interest in pooled separate accounts at end of year	2010-12-31	$2,015,897
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$1,154,881
Interest earned on other investments	2010-12-31	$833,512
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$21,580,343
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$21,210,867
Expenses. Payments to insurance carriers foe the provision of benefits	2010-12-31	$362,544
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$4,015,859
Net investment gain/loss from pooled separate accounts	2010-12-31	$177,800
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	$1,596,733
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,857,000
Contract administrator fees	2010-12-31	$489
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
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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2010-12-31	390859910

Form 5500 Responses for CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT

2020: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	Yes
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2017: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
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: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CARROLL UNIVERSITY DEFINED CONTRIBUTION RETIREMENT 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
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

Insurance Providers Used on plan

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number	103806
Policy instance	1
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number	103806
Policy instance	1
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number	103806
Policy instance	1

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Company Name:	CARROLL UNIVERSITY, INC.
Employer identification number (EIN):	390806325
NAIC Classification:	611000