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OTTAWA UNIVERSITY TDA 401k Plan overview

Plan NameOTTAWA UNIVERSITY TDA
Plan identification number 002

OTTAWA UNIVERSITY TDA Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Code section 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.

401k Sponsoring company profile

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

Company Name:OTTAWA UNIVERSITY
Employer identification number (EIN):480543772
NAIC Classification:611000

Additional information about OTTAWA UNIVERSITY

Jurisdiction of Incorporation: California Department of State
Incorporation Date:
Company Identification Number: C0922064

More information about OTTAWA UNIVERSITY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OTTAWA UNIVERSITY TDA

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022016-01-01NOELLE TESTA
0022015-01-01NOELLE TESTA
0022014-01-01NOELLE TESTA NOELLE TESTA2015-10-14
0022013-01-01NOELLE TESTA
0022012-01-01NOELLE TESTA
0022011-01-01NOELLE TESTA
0022009-01-01NOELLE TESTA

Plan Statistics for OTTAWA UNIVERSITY TDA

401k plan membership statisitcs for OTTAWA UNIVERSITY TDA

Measure Date Value
2016: OTTAWA UNIVERSITY TDA 2016 401k membership
Total participants, beginning-of-year2016-01-01126
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Number of participants with account balances2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: OTTAWA UNIVERSITY TDA 2015 401k membership
Total participants, beginning-of-year2015-01-01128
Total number of active participants reported on line 7a of the Form 55002015-01-0159
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0166
Total of all active and inactive participants2015-01-01125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01126
Number of participants with account balances2015-01-01124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: OTTAWA UNIVERSITY TDA 2014 401k membership
Total participants, beginning-of-year2014-01-01129
Total number of active participants reported on line 7a of the Form 55002014-01-0180
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0147
Total of all active and inactive participants2014-01-01127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01128
Number of participants with account balances2014-01-01125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: OTTAWA UNIVERSITY TDA 2013 401k membership
Total participants, beginning-of-year2013-01-01186
Total number of active participants reported on line 7a of the Form 55002013-01-01129
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0142
Total of all active and inactive participants2013-01-01171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-012
Total participants2013-01-01173
Number of participants with account balances2013-01-01127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: OTTAWA UNIVERSITY TDA 2012 401k membership
Total participants, beginning-of-year2012-01-01186
Total number of active participants reported on line 7a of the Form 55002012-01-01155
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0130
Total of all active and inactive participants2012-01-01185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01186
Number of participants with account balances2012-01-01129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: OTTAWA UNIVERSITY TDA 2011 401k membership
Total participants, beginning-of-year2011-01-01189
Total number of active participants reported on line 7a of the Form 55002011-01-01167
Number of other retired or separated participants entitled to future benefits2011-01-0118
Total of all active and inactive participants2011-01-01185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01186
Number of participants with account balances2011-01-01129
2009: OTTAWA UNIVERSITY TDA 2009 401k membership
Total participants, beginning-of-year2009-01-01191
Total number of active participants reported on line 7a of the Form 55002009-01-01167
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0115
Total of all active and inactive participants2009-01-01182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01182
Number of participants with account balances2009-01-01125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on OTTAWA UNIVERSITY TDA

Measure Date Value
2016 : OTTAWA UNIVERSITY TDA 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-01-01$0
Total transfer of assets from this plan2016-01-01$5,390,711
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-01-01$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-01-01$0
Total income from all sources (including contributions)2016-01-01$0
Total loss/gain on sale of assets2016-01-01$0
Total of all expenses incurred2016-01-01$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-01-01$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-01-01$0
Value of total assets at end of year2016-01-01$0
Value of total assets at beginning of year2016-01-01$5,390,711
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-01-01$0
Total interest from all sources2016-01-01$0
Total dividends received (eg from common stock, registered investment company shares)2016-01-01$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-01-01Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-01-01$0
Was this plan covered by a fidelity bond2016-01-01Yes
Value of fidelity bond cover2016-01-01$2,000,000
If this is an individual account plan, was there a blackout period2016-01-01No
Were there any nonexempt tranactions with any party-in-interest2016-01-01No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-01-01No
Value of net income/loss2016-01-01$0
Value of net assets at end of year (total assets less liabilities)2016-01-01$0
Value of net assets at beginning of year (total assets less liabilities)2016-01-01$5,390,711
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-01-01No
Were any loans by the plan or fixed income obligations due to the plan in default2016-01-01No
Were any leases to which the plan was party in default or uncollectible2016-01-01No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-01-01$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-01-01$3,478,709
Value of interest in pooled separate accounts at end of year2016-01-01$0
Value of interest in pooled separate accounts at beginning of year2016-01-01$312,387
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-01-01$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-01-01$1,587,928
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-01-01No
Was there a failure to transmit to the plan any participant contributions2016-01-01No
Has the plan failed to provide any benefit when due under the plan2016-01-01No
Employer contributions (assets) at end of year2016-01-01$0
Employer contributions (assets) at beginning of year2016-01-01$11,687
Did the plan have assets held for investment2016-01-01No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-01-01No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-01-01Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-01-01Yes
Opinion of an independent qualified public accountant for this plan2016-01-01Disclaimer
Accountancy firm name2016-01-01RUBINBROWN,LLP
Accountancy firm EIN2016-01-01430865316
2015 : OTTAWA UNIVERSITY TDA 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$569,975
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,003,689
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,003,689
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$454,285
Value of total assets at end of year2015-12-31$5,390,711
Value of total assets at beginning of year2015-12-31$5,824,425
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$0
Total interest from all sources2015-12-31$55,297
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$2,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$274,109
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$180,176
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-433,714
Value of net assets at end of year (total assets less liabilities)2015-12-31$5,390,711
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$5,824,425
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$3,478,709
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$3,827,906
Value of interest in pooled separate accounts at end of year2015-12-31$312,387
Value of interest in pooled separate accounts at beginning of year2015-12-31$226,309
Interest earned on other investments2015-12-31$55,297
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$1,587,928
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$1,750,493
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$7,528
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$39,346
Net investment gain/loss from pooled separate accounts2015-12-31$21,047
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31Yes
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Employer contributions (assets) at end of year2015-12-31$11,687
Employer contributions (assets) at beginning of year2015-12-31$19,717
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$996,161
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31RUBINBROWN, LLP
Accountancy firm EIN2015-12-31430865316
2014 : OTTAWA UNIVERSITY TDA 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$690,189
Total of all expenses incurred2014-12-31$1,035,121
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,035,121
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$318,171
Value of total assets at end of year2014-12-31$5,824,425
Value of total assets at beginning of year2014-12-31$6,169,357
Total interest from all sources2014-12-31$54,599
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$2,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$287,855
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$30,316
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-344,932
Value of net assets at end of year (total assets less liabilities)2014-12-31$5,824,425
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$6,169,357
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$3,827,906
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$4,299,209
Value of interest in pooled separate accounts at end of year2014-12-31$226,309
Value of interest in pooled separate accounts at beginning of year2014-12-31$226,516
Interest earned on other investments2014-12-31$54,599
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$1,750,493
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$1,622,401
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$251,302
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$288,680
Net investment gain/loss from pooled separate accounts2014-12-31$28,739
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$0
Employer contributions (assets) at end of year2014-12-31$19,717
Employer contributions (assets) at beginning of year2014-12-31$21,231
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$783,819
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BKD, LLP
Accountancy firm EIN2014-12-31440160260
2013 : OTTAWA UNIVERSITY TDA 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$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$1,571,279
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$227,208
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$227,208
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$861,583
Value of total assets at end of year2013-12-31$6,169,357
Value of total assets at beginning of year2013-12-31$4,825,286
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$0
Total interest from all sources2013-12-31$53,411
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$2,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$281,516
Participant contributions at end of year2013-12-31$21,231
Participant contributions at beginning of year2013-12-31$19,030
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$580,067
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$1,344,071
Value of net assets at end of year (total assets less liabilities)2013-12-31$6,169,357
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$4,825,286
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$4,299,209
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$3,116,885
Value of interest in pooled separate accounts at end of year2013-12-31$226,516
Value of interest in pooled separate accounts at beginning of year2013-12-31$183,607
Interest earned on other investments2013-12-31$53,411
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$1,622,401
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$1,505,764
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$15,803
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$638,866
Net investment gain/loss from pooled separate accounts2013-12-31$17,419
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$211,405
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31BKD, LLP
Accountancy firm EIN2013-12-31440160260
2012 : OTTAWA UNIVERSITY TDA 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$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$828,911
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$237,891
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$237,891
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$380,225
Value of total assets at end of year2012-12-31$4,825,286
Value of total assets at beginning of year2012-12-31$4,234,266
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$0
Total interest from all sources2012-12-31$46,933
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$2,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$297,349
Participant contributions at end of year2012-12-31$19,030
Participant contributions at beginning of year2012-12-31$38,238
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$82,876
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$591,020
Value of net assets at end of year (total assets less liabilities)2012-12-31$4,825,286
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$4,234,266
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$3,116,885
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$2,756,427
Value of interest in pooled separate accounts at end of year2012-12-31$183,607
Value of interest in pooled separate accounts at beginning of year2012-12-31$160,608
Interest earned on other investments2012-12-31$46,933
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$1,505,764
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,278,993
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$385,153
Net investment gain/loss from pooled separate accounts2012-12-31$16,600
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$237,891
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BKD, LLP
Accountancy firm EIN2012-12-31440160260
2011 : OTTAWA UNIVERSITY TDA 2011 401k financial data
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$426,023
Total of all expenses incurred2011-12-31$249,922
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$53,729
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$387,143
Value of total assets at end of year2011-12-31$4,234,266
Value of total assets at beginning of year2011-12-31$4,058,165
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$196,193
Total interest from all sources2011-12-31$42,413
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$196,193
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$2,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$312,028
Participant contributions at end of year2011-12-31$38,238
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$75,115
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$176,101
Value of net assets at end of year (total assets less liabilities)2011-12-31$4,234,266
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$4,058,165
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$2,756,427
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$2,695,458
Value of interest in pooled separate accounts at end of year2011-12-31$160,608
Value of interest in pooled separate accounts at beginning of year2011-12-31$124,940
Interest earned on other investments2011-12-31$42,413
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,278,993
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$1,237,767
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$53,729
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-20,771
Net investment gain/loss from pooled separate accounts2011-12-31$17,238
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31BKD, LLP
Accountancy firm EIN2011-12-31440160260
2010 : OTTAWA UNIVERSITY TDA 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$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$688,695
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$258,008
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$258,008
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$325,285
Value of total assets at end of year2010-12-31$4,058,165
Value of total assets at beginning of year2010-12-31$3,627,478
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$0
Total interest from all sources2010-12-31$38,612
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$2,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$279,867
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$45,418
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$430,687
Value of net assets at end of year (total assets less liabilities)2010-12-31$4,058,165
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$3,627,478
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$2,695,458
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$2,372,640
Value of interest in pooled separate accounts at end of year2010-12-31$124,940
Value of interest in pooled separate accounts at beginning of year2010-12-31$93,244
Interest earned on other investments2010-12-31$38,612
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$1,237,767
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$1,161,594
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$310,782
Net investment gain/loss from pooled separate accounts2010-12-31$14,016
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$258,008
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31BKD, LLP
Accountancy firm EIN2010-12-31440160260

Form 5500 Responses for OTTAWA UNIVERSITY TDA

2016: OTTAWA UNIVERSITY TDA 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: OTTAWA UNIVERSITY TDA 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: OTTAWA UNIVERSITY TDA 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: OTTAWA UNIVERSITY TDA 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: OTTAWA UNIVERSITY TDA 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: OTTAWA UNIVERSITY TDA 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: OTTAWA UNIVERSITY TDA 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365969
Policy instance 1
Insurance contract or identification number365969
Number of Individuals Covered0
Insurance policy start date2016-01-01
Insurance policy end date2016-01-01
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365969
Policy instance 1
Insurance contract or identification number365969
Number of Individuals Covered124
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365969
Policy instance 1
Insurance contract or identification number365969
Number of Individuals Covered125
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365969
Policy instance 1
Insurance contract or identification number365969
Number of Individuals Covered127
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365969
Policy instance 1
Insurance contract or identification number365969
Number of Individuals Covered129
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365969
Policy instance 1
Insurance contract or identification number365969
Number of Individuals Covered129
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number365969
Policy instance 1
Insurance contract or identification number365969
Number of Individuals Covered132
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
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

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