401k Plan data: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN plan

CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 401k Plan overview

Plan Name	CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN
Plan identification number	002

CARROLL 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.

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 TAX DEFERRED ANNUITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2012-01-01 LORRAINE FORCINITO DEIDRE ERWIN 2013-09-19
002 2011-01-01 LORRAINE FORCINITO JENNIFER HAUSCH 2012-08-08
002 2010-01-01 BARBARA CHRISTUS JENNIFER HAUSCH 2011-07-28
002 2009-01-01 BARBARA CHRISTUS JENNIFER HAUSCH 2010-10-14

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2012-01-01	LORRAINE FORCINITO	DEIDRE ERWIN	2013-09-19
002	2011-01-01	LORRAINE FORCINITO	JENNIFER HAUSCH	2012-08-08
002	2010-01-01	BARBARA CHRISTUS	JENNIFER HAUSCH	2011-07-28
002	2009-01-01	BARBARA CHRISTUS	JENNIFER HAUSCH	2010-10-14

Plan Statistics for CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN

401k plan membership statisitcs for CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN

Measure Date Value
2012: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
2011: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 111
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 59
Number of other retired or separated participants entitled to future benefits 2011-01-01 49
Total of all active and inactive participants 2011-01-01 108
Total participants 2011-01-01 108
Number of participants with account balances 2011-01-01 102
2010: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 61
Number of other retired or separated participants entitled to future benefits 2010-01-01 50
Total of all active and inactive participants 2010-01-01 111
Total participants 2010-01-01 111
Number of participants with account balances 2010-01-01 104
2009: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 65
Number of other retired or separated participants entitled to future benefits 2009-01-01 39
Total of all active and inactive participants 2009-01-01 104
Total participants 2009-01-01 104
Number of participants with account balances 2009-01-01 98

Measure	Date	Value
2012: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
2011: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	111
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	59
Number of other retired or separated participants entitled to future benefits	2011-01-01	49
Total of all active and inactive participants	2011-01-01	108
Total participants	2011-01-01	108
Number of participants with account balances	2011-01-01	102
2010: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	61
Number of other retired or separated participants entitled to future benefits	2010-01-01	50
Total of all active and inactive participants	2010-01-01	111
Total participants	2010-01-01	111
Number of participants with account balances	2010-01-01	104
2009: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	65
Number of other retired or separated participants entitled to future benefits	2009-01-01	39
Total of all active and inactive participants	2009-01-01	104
Total participants	2009-01-01	104
Number of participants with account balances	2009-01-01	98

Financial Data on CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN

Measure	Date	Value
2012 : CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 401k financial data
Total transfer of assets from this plan	2012-12-31	$4,293,449
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$4,293,449
Total income from all sources (including contributions)	2012-12-31	$668,407
Total of all expenses incurred	2012-12-31	$195,091
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$194,693
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$248,502
Value of total assets at end of year	2012-12-31	$4,293,449
Value of total assets at beginning of year	2012-12-31	$3,820,133
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$398
Total interest from all sources	2012-12-31	$45,144
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$27,103
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$27,103
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	$154,731
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$15,397
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$31,376
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$93,771
Administrative expenses (other) incurred	2012-12-31	$398
Liabilities. Value of operating payables at end of year	2012-12-31	$4,293,449
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	$473,316
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$3,820,133
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	$2,525,487
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$2,147,991
Value of interest in pooled separate accounts at end of year	2012-12-31	$367,277
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$343,858
Interest earned on other investments	2012-12-31	$45,144
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$1,385,288
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$1,296,908
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$313,824
Net investment gain/loss from pooled separate accounts	2012-12-31	$33,834
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$194,693
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	Yes
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 TAX DEFERRED ANNUITY PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$281,165
Total of all expenses incurred	2011-12-31	$441,343
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$441,172
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$247,770
Value of total assets at end of year	2011-12-31	$3,820,133
Value of total assets at beginning of year	2011-12-31	$3,980,311
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$171
Total interest from all sources	2011-12-31	$41,192
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$15,572
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	$15,572
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	$182,678
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$31,376
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$32,774
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$65,092
Administrative expenses (other) incurred	2011-12-31	$171
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	$-160,178
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$3,820,133
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$3,980,311
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	$2,147,991
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$2,526,215
Value of interest in pooled separate accounts at end of year	2011-12-31	$343,858
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$365,685
Interest earned on other investments	2011-12-31	$41,192
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$1,296,908
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$1,055,637
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-68,355
Net investment gain/loss from pooled separate accounts	2011-12-31	$44,986
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$441,172
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 TAX DEFERRED ANNUITY PLAN 2010 401k financial data
Total transfer of assets to this plan	2010-12-31	$12,470
Total income from all sources (including contributions)	2010-12-31	$677,528
Total of all expenses incurred	2010-12-31	$95,268
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$95,100
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$285,758
Value of total assets at end of year	2010-12-31	$3,980,311
Value of total assets at beginning of year	2010-12-31	$3,385,581
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$168
Total interest from all sources	2010-12-31	$37,481
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$6,946
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	$6,946
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	$209,673
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$32,774
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$18,050
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$76,085
Administrative expenses (other) incurred	2010-12-31	$168
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	$582,260
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,980,311
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,385,581
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	$2,526,215
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$2,060,336
Value of interest in pooled separate accounts at end of year	2010-12-31	$365,685
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$57,487
Interest earned on other investments	2010-12-31	$37,481
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$1,055,637
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,249,708
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$311,870
Net investment gain/loss from pooled separate accounts	2010-12-31	$35,473
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$95,100
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 TAX DEFERRED ANNUITY PLAN

2012: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	Yes
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 TAX DEFERRED ANNUITY PLAN 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
2010: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CARROLL UNIVERSITY TAX DEFERRED ANNUITY PLAN 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

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