401k Plan data: AUA TAX SHELTERED ANNUITY PLAN plan

AUA TAX SHELTERED ANNUITY PLAN 401k Plan overview

Plan Name	AUA TAX SHELTERED ANNUITY PLAN
Plan identification number	003

AUA TAX SHELTERED 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 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. has sponsored the creation of one or more 401k plans.

Company Name: AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC.

Employer identification number (EIN): 430691437

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AUA TAX SHELTERED ANNUITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2022-01-01
003 2021-01-01
003 2020-01-01
003 2019-01-01
003 2018-01-01
003 2017-01-01 BARBARA HARTFORD
003 2016-01-01 MARK CAMPOBELLO
003 2015-01-01 MARK CAMPOBELLO
003 2015-01-01 MARK CAMPOBELLO
003 2015-01-01
003 2014-01-01 MARK CAMPOBELLO
003 2013-01-01 KAREN BRUNO KAREN BRUNO 2014-07-30
003 2012-01-01 KAREN BRUNO KAREN BRUNO 2013-07-30
003 2011-01-01 KATHE APESOSPOULOS KATHE APESOSPOULOS 2012-07-19
003 2010-01-01 KATHE APESOSPOULOS KATHE APESOSPOULOS 2011-07-19
003 2009-01-01 KATHE APESOSPOULOS KATHE APESOSPOULOS 2011-03-02
003 2009-01-01 KATHE APESOS POULOS KATHE APESOS POULOS 2010-10-14
003 2009-01-01 KATHE APESOS POULOS KATHE APESOS POULOS 2010-10-14

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2022-01-01
003	2021-01-01
003	2020-01-01
003	2019-01-01
003	2018-01-01
003	2017-01-01	BARBARA HARTFORD
003	2016-01-01	MARK CAMPOBELLO
003	2015-01-01	MARK CAMPOBELLO
003	2015-01-01	MARK CAMPOBELLO
003	2015-01-01
003	2014-01-01	MARK CAMPOBELLO
003	2013-01-01	KAREN BRUNO	KAREN BRUNO	2014-07-30
003	2012-01-01	KAREN BRUNO	KAREN BRUNO	2013-07-30
003	2011-01-01	KATHE APESOSPOULOS	KATHE APESOSPOULOS	2012-07-19
003	2010-01-01	KATHE APESOSPOULOS	KATHE APESOSPOULOS	2011-07-19
003	2009-01-01	KATHE APESOSPOULOS	KATHE APESOSPOULOS	2011-03-02
003	2009-01-01	KATHE APESOS POULOS	KATHE APESOS POULOS	2010-10-14
003	2009-01-01	KATHE APESOS POULOS	KATHE APESOS POULOS	2010-10-14

Plan Statistics for AUA TAX SHELTERED ANNUITY PLAN

401k plan membership statisitcs for AUA TAX SHELTERED ANNUITY PLAN

Measure Date Value
2022: AUA TAX SHELTERED ANNUITY PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 195
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 143
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 64
Total of all active and inactive participants 2022-01-01 207
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 207
Number of participants with account balances 2022-01-01 200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: AUA TAX SHELTERED ANNUITY PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 189
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 137
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 64
Total of all active and inactive participants 2021-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 201
Number of participants with account balances 2021-01-01 197
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: AUA TAX SHELTERED ANNUITY PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 213
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 140
Number of retired or separated participants receiving benefits 2020-01-01 1
Number of other retired or separated participants entitled to future benefits 2020-01-01 55
Total of all active and inactive participants 2020-01-01 196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 196
Number of participants with account balances 2020-01-01 196
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: AUA TAX SHELTERED ANNUITY PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 208
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 151
Number of retired or separated participants receiving benefits 2019-01-01 3
Number of other retired or separated participants entitled to future benefits 2019-01-01 59
Total of all active and inactive participants 2019-01-01 213
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 213
Number of participants with account balances 2019-01-01 213
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: AUA TAX SHELTERED ANNUITY PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 230
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 151
Number of retired or separated participants receiving benefits 2018-01-01 2
Number of other retired or separated participants entitled to future benefits 2018-01-01 55
Total of all active and inactive participants 2018-01-01 208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 208
Number of participants with account balances 2018-01-01 205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: AUA TAX SHELTERED ANNUITY PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 210
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 171
Number of retired or separated participants receiving benefits 2017-01-01 2
Number of other retired or separated participants entitled to future benefits 2017-01-01 57
Total of all active and inactive participants 2017-01-01 230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 230
Number of participants with account balances 2017-01-01 211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: AUA TAX SHELTERED ANNUITY PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 202
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 165
Number of retired or separated participants receiving benefits 2016-01-01 2
Number of other retired or separated participants entitled to future benefits 2016-01-01 43
Total of all active and inactive participants 2016-01-01 210
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 210
Number of participants with account balances 2016-01-01 198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: AUA TAX SHELTERED ANNUITY PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 189
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 162
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 38
Total of all active and inactive participants 2015-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 201
Number of participants with account balances 2015-01-01 186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: AUA TAX SHELTERED ANNUITY PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 159
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 158
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 31
Total of all active and inactive participants 2014-01-01 189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 189
Number of participants with account balances 2014-01-01 168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: AUA TAX SHELTERED ANNUITY PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 153
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 145
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 14
Total of all active and inactive participants 2013-01-01 159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 159
Number of participants with account balances 2013-01-01 148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: AUA TAX SHELTERED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 133
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 20
Total of all active and inactive participants 2012-01-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 153
Number of participants with account balances 2012-01-01 145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: AUA TAX SHELTERED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 145
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 125
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 15
Total of all active and inactive participants 2011-01-01 140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 140
Number of participants with account balances 2011-01-01 132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: AUA TAX SHELTERED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 143
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 125
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 23
Total of all active and inactive participants 2010-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 148
Number of participants with account balances 2010-01-01 132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: AUA TAX SHELTERED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 113
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 30
Total of all active and inactive participants 2009-01-01 143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 143
Number of participants with account balances 2009-01-01 129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2022: AUA TAX SHELTERED ANNUITY PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	195
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	143
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	64
Total of all active and inactive participants	2022-01-01	207
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	207
Number of participants with account balances	2022-01-01	200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: AUA TAX SHELTERED ANNUITY PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	189
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	137
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	64
Total of all active and inactive participants	2021-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	201
Number of participants with account balances	2021-01-01	197
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: AUA TAX SHELTERED ANNUITY PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	213
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	140
Number of retired or separated participants receiving benefits	2020-01-01	1
Number of other retired or separated participants entitled to future benefits	2020-01-01	55
Total of all active and inactive participants	2020-01-01	196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	196
Number of participants with account balances	2020-01-01	196
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: AUA TAX SHELTERED ANNUITY PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	208
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	151
Number of retired or separated participants receiving benefits	2019-01-01	3
Number of other retired or separated participants entitled to future benefits	2019-01-01	59
Total of all active and inactive participants	2019-01-01	213
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	213
Number of participants with account balances	2019-01-01	213
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: AUA TAX SHELTERED ANNUITY PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	230
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	151
Number of retired or separated participants receiving benefits	2018-01-01	2
Number of other retired or separated participants entitled to future benefits	2018-01-01	55
Total of all active and inactive participants	2018-01-01	208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	208
Number of participants with account balances	2018-01-01	205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: AUA TAX SHELTERED ANNUITY PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	210
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	171
Number of retired or separated participants receiving benefits	2017-01-01	2
Number of other retired or separated participants entitled to future benefits	2017-01-01	57
Total of all active and inactive participants	2017-01-01	230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	230
Number of participants with account balances	2017-01-01	211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: AUA TAX SHELTERED ANNUITY PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	202
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	165
Number of retired or separated participants receiving benefits	2016-01-01	2
Number of other retired or separated participants entitled to future benefits	2016-01-01	43
Total of all active and inactive participants	2016-01-01	210
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	210
Number of participants with account balances	2016-01-01	198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: AUA TAX SHELTERED ANNUITY PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	189
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	162
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	38
Total of all active and inactive participants	2015-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	201
Number of participants with account balances	2015-01-01	186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: AUA TAX SHELTERED ANNUITY PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	159
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	158
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	31
Total of all active and inactive participants	2014-01-01	189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	189
Number of participants with account balances	2014-01-01	168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: AUA TAX SHELTERED ANNUITY PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	153
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	145
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	14
Total of all active and inactive participants	2013-01-01	159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	159
Number of participants with account balances	2013-01-01	148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: AUA TAX SHELTERED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	133
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	20
Total of all active and inactive participants	2012-01-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	153
Number of participants with account balances	2012-01-01	145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: AUA TAX SHELTERED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	145
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	125
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	15
Total of all active and inactive participants	2011-01-01	140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	140
Number of participants with account balances	2011-01-01	132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: AUA TAX SHELTERED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	143
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	125
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	23
Total of all active and inactive participants	2010-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	148
Number of participants with account balances	2010-01-01	132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: AUA TAX SHELTERED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	113
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	30
Total of all active and inactive participants	2009-01-01	143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	143
Number of participants with account balances	2009-01-01	129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on AUA TAX SHELTERED ANNUITY PLAN

Measure	Date	Value
2022 : AUA TAX SHELTERED ANNUITY PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-2,272,840
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$1,937,115
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$1,890,874
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,688,245
Value of total assets at end of year	2022-12-31	$17,868,795
Value of total assets at beginning of year	2022-12-31	$22,078,750
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$46,241
Total interest from all sources	2022-12-31	$16,676
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$292,093
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$292,093
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$1,121,451
Participant contributions at end of year	2022-12-31	$72,410
Participant contributions at beginning of year	2022-12-31	$52,939
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$298,390
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2022-12-31	$88
Other income not declared elsewhere	2022-12-31	$9,187
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-4,209,955
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$17,868,795
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$22,078,750
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$7
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$16,879,184
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$21,119,108
Interest on participant loans	2022-12-31	$3,032
Interest earned on other investments	2022-12-31	$13,644
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$917,201
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$906,703
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-4,279,041
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$268,404
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$1,890,786
Contract administrator fees	2022-12-31	$46,234
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Disclaimer
Accountancy firm name	2022-12-31	RSM US LLP
Accountancy firm EIN	2022-12-31	420714325
2021 : AUA TAX SHELTERED ANNUITY PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$4,757,450
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$1,269,666
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,207,049
Expenses. Certain deemed distributions of participant loans	2021-12-31	$8,180
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,954,712
Value of total assets at end of year	2021-12-31	$22,078,750
Value of total assets at beginning of year	2021-12-31	$18,590,966
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$54,437
Total interest from all sources	2021-12-31	$18,974
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$261,863
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$261,863
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$1,134,985
Participant contributions at end of year	2021-12-31	$52,939
Participant contributions at beginning of year	2021-12-31	$41,246
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$540,052
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-12-31	$194
Other income not declared elsewhere	2021-12-31	$1,075
Administrative expenses (other) incurred	2021-12-31	$3,176
Total non interest bearing cash at beginning of year	2021-12-31	$45,012
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$3,487,784
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$22,078,750
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$18,590,966
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$11,104
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$21,119,108
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$17,095,451
Interest on participant loans	2021-12-31	$1,928
Interest earned on other investments	2021-12-31	$17,046
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$906,703
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$1,409,063
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$2,520,826
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$279,675
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,207,049
Contract administrator fees	2021-12-31	$40,157
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	2021-12-31	Yes
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Disclaimer
Accountancy firm name	2021-12-31	RSM US LLP
Accountancy firm EIN	2021-12-31	420714325
2020 : AUA TAX SHELTERED ANNUITY PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$4,179,678
Total of all expenses incurred	2020-12-31	$2,944,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$2,896,447
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,831,410
Value of total assets at end of year	2020-12-31	$18,590,966
Value of total assets at beginning of year	2020-12-31	$17,356,169
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$48,434
Total interest from all sources	2020-12-31	$29,054
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$209,512
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$209,512
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,170,140
Participant contributions at end of year	2020-12-31	$41,246
Participant contributions at beginning of year	2020-12-31	$66,929
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$362,435
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$194
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$0
Administrative expenses (other) incurred	2020-12-31	$32,754
Total non interest bearing cash at end of year	2020-12-31	$45,012
Total non interest bearing cash at beginning of year	2020-12-31	$32,267
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,234,797
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$18,590,966
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$17,356,169
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$15,680
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$17,095,451
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$16,355,429
Interest on participant loans	2020-12-31	$3,019
Interest earned on other investments	2020-12-31	$26,035
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$1,409,063
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$901,544
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$2,109,702
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$298,835
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$2,896,447
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	2020-12-31	No
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	RSM US LLP
Accountancy firm EIN	2020-12-31	420714325
2019 : AUA TAX SHELTERED ANNUITY PLAN 2019 401k financial data
Total income from all sources (including contributions)	2019-12-31	$4,628,933
Total of all expenses incurred	2019-12-31	$350,091
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$304,133
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,423,958
Value of total assets at end of year	2019-12-31	$17,356,169
Value of total assets at beginning of year	2019-12-31	$13,077,327
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$45,958
Total interest from all sources	2019-12-31	$22,898
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$329,813
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	$329,813
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
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	$1,110,925
Participant contributions at end of year	2019-12-31	$66,929
Participant contributions at beginning of year	2019-12-31	$73,005
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$16,414
Administrative expenses (other) incurred	2019-12-31	$30,496
Total non interest bearing cash at end of year	2019-12-31	$32,267
Total non interest bearing cash at beginning of year	2019-12-31	$18,954
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	$4,278,842
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$17,356,169
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$13,077,327
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
Investment advisory and management fees	2019-12-31	$15,462
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$16,355,429
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$12,261,481
Interest on participant loans	2019-12-31	$4,703
Interest earned on other investments	2019-12-31	$18,195
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$901,544
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$723,887
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$2,852,264
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	$296,619
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$304,133
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	RSM US LLP
Accountancy firm EIN	2019-12-31	420714325
2018 : AUA TAX SHELTERED ANNUITY PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-12-31	$425,593
Total of all expenses incurred	2018-12-31	$804,103
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$754,597
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,314,510
Value of total assets at end of year	2018-12-31	$13,077,327
Value of total assets at beginning of year	2018-12-31	$13,455,837
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$49,506
Total interest from all sources	2018-12-31	$18,232
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$238,738
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	$238,738
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
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	$1,033,567
Participant contributions at end of year	2018-12-31	$73,005
Participant contributions at beginning of year	2018-12-31	$106,878
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$967
Administrative expenses (other) incurred	2018-12-31	$34,189
Total non interest bearing cash at end of year	2018-12-31	$18,954
Total non interest bearing cash at beginning of year	2018-12-31	$8,555
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	$-378,510
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$13,077,327
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$13,455,837
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
Investment advisory and management fees	2018-12-31	$15,317
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$12,261,481
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$12,724,914
Interest on participant loans	2018-12-31	$4,277
Interest earned on other investments	2018-12-31	$13,955
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$723,887
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$615,490
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,145,887
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	$279,976
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$754,597
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	RSM US LLP
Accountancy firm EIN	2018-12-31	420714325
2017 : AUA TAX SHELTERED ANNUITY PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$3,202,212
Total of all expenses incurred	2017-12-31	$591,100
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$539,792
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,218,951
Value of total assets at end of year	2017-12-31	$13,455,837
Value of total assets at beginning of year	2017-12-31	$10,844,725
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$51,308
Total interest from all sources	2017-12-31	$17,578
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$193,834
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	$193,834
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
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	$947,695
Participant contributions at end of year	2017-12-31	$106,878
Participant contributions at beginning of year	2017-12-31	$97,776
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$18,062
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$0
Administrative expenses (other) incurred	2017-12-31	$35,348
Total non interest bearing cash at end of year	2017-12-31	$8,555
Total non interest bearing cash at beginning of year	2017-12-31	$5,681
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	$2,611,112
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$13,455,837
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$10,844,725
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
Investment advisory and management fees	2017-12-31	$15,960
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$12,724,914
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$9,923,422
Interest on participant loans	2017-12-31	$4,322
Interest earned on other investments	2017-12-31	$12,962
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$294
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$615,490
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$817,846
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,771,849
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	$253,194
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$539,792
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	RSM US LLP
Accountancy firm EIN	2017-12-31	420714325
2016 : AUA TAX SHELTERED ANNUITY PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$1,868,330
Total of all expenses incurred	2016-12-31	$891,104
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$846,454
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,125,115
Value of total assets at end of year	2016-12-31	$10,844,725
Value of total assets at beginning of year	2016-12-31	$9,867,499
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$44,650
Total interest from all sources	2016-12-31	$19,333
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$144,427
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	$144,427
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
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	$897,682
Participant contributions at end of year	2016-12-31	$97,776
Participant contributions at beginning of year	2016-12-31	$150,291
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$303
Administrative expenses (other) incurred	2016-12-31	$29,522
Total non interest bearing cash at end of year	2016-12-31	$5,681
Total non interest bearing cash at beginning of year	2016-12-31	$4,332
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	$977,226
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$10,844,725
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$9,867,499
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
Investment advisory and management fees	2016-12-31	$15,128
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$9,923,422
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$8,867,058
Interest on participant loans	2016-12-31	$5,061
Interest earned on other investments	2016-12-31	$14,272
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$817,846
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$845,515
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$579,455
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	$227,433
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$846,454
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	RSM US LLP
Accountancy firm EIN	2016-12-31	420714325
2015 : AUA TAX SHELTERED ANNUITY PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$1,017,022
Total of all expenses incurred	2015-12-31	$591,148
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$548,793
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,039,533
Value of total assets at end of year	2015-12-31	$9,867,499
Value of total assets at beginning of year	2015-12-31	$9,441,625
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$42,355
Total interest from all sources	2015-12-31	$19,518
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$190,278
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	$190,278
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
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	$824,727
Participant contributions at end of year	2015-12-31	$150,291
Participant contributions at beginning of year	2015-12-31	$219,357
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$924
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$303
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$30
Administrative expenses (other) incurred	2015-12-31	$28,186
Total non interest bearing cash at end of year	2015-12-31	$4,332
Total non interest bearing cash at beginning of year	2015-12-31	$3,370
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	$425,874
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$9,867,499
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$9,441,625
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
Investment advisory and management fees	2015-12-31	$14,169
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$8,867,058
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$8,695,601
Interest earned on other investments	2015-12-31	$12,229
Income. Interest from US Government securities	2015-12-31	$7,289
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$331
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$331
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$845,515
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$522,936
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-232,307
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	$213,882
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$548,793
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	RSM US LLP
Accountancy firm EIN	2015-12-31	420714325
2014 : AUA TAX SHELTERED ANNUITY PLAN 2014 401k financial data
Total transfer of assets to this plan	2014-12-31	$438,874
Total income from all sources (including contributions)	2014-12-31	$1,540,074
Total of all expenses incurred	2014-12-31	$932,667
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$924,311
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$964,974
Value of total assets at end of year	2014-12-31	$9,441,625
Value of total assets at beginning of year	2014-12-31	$8,395,344
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$8,356
Total interest from all sources	2014-12-31	$26,827
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$263,690
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	$263,690
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$730,071
Participant contributions at end of year	2014-12-31	$219,357
Participant contributions at beginning of year	2014-12-31	$170,564
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$40,254
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$30
Administrative expenses (other) incurred	2014-12-31	$8,356
Total non interest bearing cash at end of year	2014-12-31	$3,370
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	$607,407
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$9,441,625
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$8,395,344
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	$8,695,601
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$7,448,693
Interest on participant loans	2014-12-31	$7,373
Interest earned on other investments	2014-12-31	$19,454
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$331
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$522,936
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$776,087
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$284,583
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	$194,649
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$924,311
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	Yes
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	MCGLADREY LLP
Accountancy firm EIN	2014-12-31	420714325
2013 : AUA TAX SHELTERED ANNUITY PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$2,426,457
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$648,097
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$644,982
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,251,567
Value of total assets at end of year	2013-12-31	$8,395,344
Value of total assets at beginning of year	2013-12-31	$6,616,984
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,115
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$28,326
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$76,848
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	$76,848
Administrative expenses professional fees incurred	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Amount of non-exempt transactions with any party-in-interest	2013-12-31	$0
Contributions received from participants	2013-12-31	$726,045
Participant contributions at end of year	2013-12-31	$170,564
Participant contributions at beginning of year	2013-12-31	$176,770
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$348,980
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
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	$1,778,360
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$8,395,344
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$6,616,984
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2013-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$7,448,693
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$5,754,266
Interest on participant loans	2013-12-31	$6,684
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$21,642
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$776,087
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$685,948
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,069,716
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
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	$176,542
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$0
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$644,982
Contract administrator fees	2013-12-31	$3,115
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
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
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
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	MCGLADREY LLP
Accountancy firm EIN	2013-12-31	420714325
2012 : AUA TAX SHELTERED ANNUITY PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$0
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$1,633,331
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$363,816
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$362,130
Expenses. Certain deemed distributions of participant loans	2012-12-31	$0
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$988,621
Value of total assets at end of year	2012-12-31	$6,616,984
Value of total assets at beginning of year	2012-12-31	$5,347,469
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,686
Total income from rents	2012-12-31	$0
Total interest from all sources	2012-12-31	$25,657
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$79,123
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	$79,123
Administrative expenses professional fees incurred	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Amount of non-exempt transactions with any party-in-interest	2012-12-31	$0
Contributions received from participants	2012-12-31	$652,796
Participant contributions at end of year	2012-12-31	$176,770
Participant contributions at beginning of year	2012-12-31	$91,866
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$169,341
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$0
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$0
Liabilities. Value of operating payables at beginning of year	2012-12-31	$0
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	$1,269,515
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$6,616,984
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$5,347,469
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2012-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2012-12-31	$0
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$5,754,266
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$4,517,584
Interest on participant loans	2012-12-31	$5,032
Income. Interest from loans (other than to participants)	2012-12-31	$0
Interest earned on other investments	2012-12-31	$20,625
Income. Interest from US Government securities	2012-12-31	$0
Income. Interest from corporate debt instruments	2012-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$685,948
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$738,019
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$539,930
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$0
Net gain/loss from 103.12 investment entities	2012-12-31	$0
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	$166,484
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$0
Income. Dividends from preferred stock	2012-12-31	$0
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$362,130
Contract administrator fees	2012-12-31	$1,686
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
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
Aggregate proceeds on sale of assets	2012-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2012-12-31	$0
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	MCGLADREY LLP
Accountancy firm EIN	2012-12-31	420714325
2011 : AUA TAX SHELTERED ANNUITY PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$0
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$688,479
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$425,731
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$424,102
Expenses. Certain deemed distributions of participant loans	2011-12-31	$0
Value of total corrective distributions	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$742,101
Value of total assets at end of year	2011-12-31	$5,347,469
Value of total assets at beginning of year	2011-12-31	$5,084,721
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,629
Total income from rents	2011-12-31	$0
Total interest from all sources	2011-12-31	$23,946
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$59,437
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	$59,437
Administrative expenses professional fees incurred	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Amount of non-exempt transactions with any party-in-interest	2011-12-31	$0
Contributions received from participants	2011-12-31	$582,941
Participant contributions at end of year	2011-12-31	$91,866
Participant contributions at beginning of year	2011-12-31	$64,394
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,746
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$0
Other income not declared elsewhere	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$0
Liabilities. Value of operating payables at beginning of year	2011-12-31	$0
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	$262,748
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$5,347,469
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$5,084,721
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2011-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2011-12-31	$0
Investment advisory and management fees	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$4,517,584
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$4,431,233
Interest on participant loans	2011-12-31	$3,595
Income. Interest from loans (other than to participants)	2011-12-31	$0
Interest earned on other investments	2011-12-31	$20,351
Income. Interest from US Government securities	2011-12-31	$0
Income. Interest from corporate debt instruments	2011-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$738,019
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$589,094
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-137,005
Net investment gain/loss from pooled separate accounts	2011-12-31	$0
Net investment gain or loss from common/collective trusts	2011-12-31	$0
Net gain/loss from 103.12 investment entities	2011-12-31	$0
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	$157,414
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$0
Income. Dividends from preferred stock	2011-12-31	$0
Income. Dividends from common stock	2011-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$424,102
Contract administrator fees	2011-12-31	$1,629
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$0
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
Aggregate proceeds on sale of assets	2011-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2011-12-31	$0
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	MCGLADREY LLP
Accountancy firm EIN	2011-12-31	420714325
2010 : AUA TAX SHELTERED ANNUITY PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets	2010-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$0
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$0
Total transfer of assets from this plan	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$1,300,928
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$355,160
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$353,828
Expenses. Certain deemed distributions of participant loans	2010-12-31	$0
Value of total corrective distributions	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$710,204
Value of total assets at end of year	2010-12-31	$5,084,721
Value of total assets at beginning of year	2010-12-31	$4,138,953
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,332
Total income from rents	2010-12-31	$0
Total interest from all sources	2010-12-31	$18,522
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$67,733
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	$67,733
Administrative expenses professional fees incurred	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Amount of non-exempt transactions with any party-in-interest	2010-12-31	$0
Contributions received from participants	2010-12-31	$548,666
Participant contributions at end of year	2010-12-31	$64,394
Participant contributions at beginning of year	2010-12-31	$58,219
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$15,429
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$0
Other income not declared elsewhere	2010-12-31	$14
Administrative expenses (other) incurred	2010-12-31	$0
Liabilities. Value of operating payables at beginning of year	2010-12-31	$0
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	$945,768
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$5,084,721
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,138,953
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2010-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2010-12-31	$0
Investment advisory and management fees	2010-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$4,431,233
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$3,457,327
Interest on participant loans	2010-12-31	$3,372
Income. Interest from loans (other than to participants)	2010-12-31	$0
Interest earned on other investments	2010-12-31	$15,150
Income. Interest from US Government securities	2010-12-31	$0
Income. Interest from corporate debt instruments	2010-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$589,094
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$623,407
Expenses. Payments to insurance carriers foe the provision of benefits	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$504,455
Net investment gain/loss from pooled separate accounts	2010-12-31	$0
Net investment gain or loss from common/collective trusts	2010-12-31	$0
Net gain/loss from 103.12 investment entities	2010-12-31	$0
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	$146,109
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$0
Income. Dividends from preferred stock	2010-12-31	$0
Income. Dividends from common stock	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$353,828
Contract administrator fees	2010-12-31	$1,332
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$0
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2010-12-31	$0
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	MCGLADREY & PULLEN, LLP
Accountancy firm EIN	2010-12-31	420714325
2009 : AUA TAX SHELTERED ANNUITY PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for AUA TAX SHELTERED ANNUITY PLAN

2022: AUA TAX SHELTERED ANNUITY PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: AUA TAX SHELTERED ANNUITY PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: AUA TAX SHELTERED ANNUITY PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
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: AUA TAX SHELTERED ANNUITY PLAN 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
2018: AUA TAX SHELTERED ANNUITY PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: AUA TAX SHELTERED ANNUITY PLAN 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: AUA TAX SHELTERED ANNUITY PLAN 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: AUA TAX SHELTERED ANNUITY PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
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: AUA TAX SHELTERED ANNUITY PLAN 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: AUA TAX SHELTERED ANNUITY PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
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: AUA TAX SHELTERED ANNUITY PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
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: AUA TAX SHELTERED ANNUITY PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
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: AUA TAX SHELTERED ANNUITY PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
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: AUA TAX SHELTERED ANNUITY PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	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

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	207
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	201
Insurance policy start date	2021-03-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

TA069662

Policy instance

Insurance contract or identification number	TA069662
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-03-17
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

TA069662

Policy instance

Insurance contract or identification number	TA069662
Number of Individuals Covered	196
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

TA069662

Policy instance

Insurance contract or identification number	TA069662
Number of Individuals Covered	213
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

TA069662

Policy instance

Insurance contract or identification number	TA069662
Number of Individuals Covered	211
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

TA069662

Policy instance

Insurance contract or identification number	TA069662
Number of Individuals Covered	186
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

441463

Policy instance

Insurance contract or identification number	441463
Number of Individuals Covered	186
Insurance policy start date	2015-01-01
Insurance policy end date	2015-05-08
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

441463

Policy instance

Insurance contract or identification number	441463
Number of Individuals Covered	168
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

TA069662

Policy instance

Insurance contract or identification number	TA069662
Number of Individuals Covered	168
Insurance policy start date	2014-10-01
Insurance policy end date	2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

441463

Policy instance

Insurance contract or identification number	441463
Number of Individuals Covered	159
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $16,201
Total amount of fees paid to insurance company	USD $2,005
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $11,804
Amount paid for insurance broker fees	1890
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE AND PRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?	3
Insurance broker name	TRIAD INSURANCE INC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

441463

Policy instance

Insurance contract or identification number	441463
Number of Individuals Covered	153
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $9,749
Total amount of fees paid to insurance company	USD $1,627
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $8,889
Amount paid for insurance broker fees	1627
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE AND PRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?	3
Insurance broker name	TRIAD INSURANCE INC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

441463

Policy instance

Insurance contract or identification number	441463
Number of Individuals Covered	140
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $9,571
Total amount of fees paid to insurance company	USD $3,983
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

441463

Policy instance

Insurance contract or identification number	441463
Number of Individuals Covered	148
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $7,387
Total amount of fees paid to insurance company	USD $3,477
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,285
Amount paid for insurance broker fees	1624
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	3
Insurance broker name	WOODBURY FINANCIAL SERVICES

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Company Name:	AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC.
Employer identification number (EIN):	430691437
NAIC Classification:	611000