401k Plan data: EMORY AND HENRY COLLEGE 403(B) TDA PLAN plan

EMORY AND HENRY COLLEGE 403(B) TDA PLAN 401k Plan overview

Plan Name	EMORY AND HENRY COLLEGE 403(B) TDA PLAN
Plan identification number	005

EMORY AND HENRY COLLEGE 403(B) TDA PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
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.
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

EMORY AND HENRY COLLEGE has sponsored the creation of one or more 401k plans.

Company Name: EMORY AND HENRY COLLEGE

Employer identification number (EIN): 540505892

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMORY AND HENRY COLLEGE 403(B) TDA PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2012-01-01 RICHARD K. GAUMER RICHARD K. GAUMER 2015-08-11
005 2011-01-01 DIRK WILMOTH DIRK WILMOTH 2012-09-21
005 2010-01-01 DIRK WILMOTH DIRK WILMOTH 2011-07-27
005 2009-01-01 DIRK WILMOTH DIRK WILMOTH 2010-09-03

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
005	2012-01-01	RICHARD K. GAUMER	RICHARD K. GAUMER	2015-08-11
005	2011-01-01	DIRK WILMOTH	DIRK WILMOTH	2012-09-21
005	2010-01-01	DIRK WILMOTH	DIRK WILMOTH	2011-07-27
005	2009-01-01	DIRK WILMOTH	DIRK WILMOTH	2010-09-03

Plan Statistics for EMORY AND HENRY COLLEGE 403(B) TDA PLAN

401k plan membership statisitcs for EMORY AND HENRY COLLEGE 403(B) TDA PLAN

Measure Date Value
2012: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 322
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
2011: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 324
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 295
Number of other retired or separated participants entitled to future benefits 2011-01-01 27
Total of all active and inactive participants 2011-01-01 322
Total participants 2011-01-01 322
Number of participants with account balances 2011-01-01 258
2010: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 320
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 297
Number of other retired or separated participants entitled to future benefits 2010-01-01 27
Total of all active and inactive participants 2010-01-01 324
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 324
Number of participants with account balances 2010-01-01 262
2009: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 324
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 290
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 27
Total of all active and inactive participants 2009-01-01 317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 318
Number of participants with account balances 2009-01-01 257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	322
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
2011: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	324
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	295
Number of other retired or separated participants entitled to future benefits	2011-01-01	27
Total of all active and inactive participants	2011-01-01	322
Total participants	2011-01-01	322
Number of participants with account balances	2011-01-01	258
2010: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	320
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	297
Number of other retired or separated participants entitled to future benefits	2010-01-01	27
Total of all active and inactive participants	2010-01-01	324
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	324
Number of participants with account balances	2010-01-01	262
2009: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	324
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	290
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	27
Total of all active and inactive participants	2009-01-01	317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	318
Number of participants with account balances	2009-01-01	257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on EMORY AND HENRY COLLEGE 403(B) TDA PLAN

Measure	Date	Value
2012 : EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2012 401k financial data
Total transfer of assets from this plan	2012-12-31	$2,191
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$11,217
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$11,217
Total income from all sources (including contributions)	2012-12-31	$1,722,553
Total of all expenses incurred	2012-12-31	$1,010,479
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,010,479
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$487,668
Value of total assets at end of year	2012-12-31	$14,284,453
Value of total assets at beginning of year	2012-12-31	$13,574,570
Total interest from all sources	2012-12-31	$282,452
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$486,983
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$685
Liabilities. Value of operating payables at end of year	2012-12-31	$11,217
Liabilities. Value of operating payables at beginning of year	2012-12-31	$11,217
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	$712,074
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$14,273,236
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$13,563,353
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$6,746,459
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$6,211,205
Value of interest in pooled separate accounts at end of year	2012-12-31	$452,915
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$478,339
Interest earned on other investments	2012-12-31	$282,452
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$7,085,079
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$6,885,026
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$905,518
Net investment gain/loss from pooled separate accounts	2012-12-31	$46,915
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,010,479
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	BROWN, EDWARDS & COMPANY, L.L.P.
Accountancy firm EIN	2012-12-31	540504608
2011 : EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2011 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$11,217
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$25,932
Total income from all sources (including contributions)	2011-12-31	$686,743
Total of all expenses incurred	2011-12-31	$199,312
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$199,312
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$506,514
Value of total assets at end of year	2011-12-31	$13,574,570
Value of total assets at beginning of year	2011-12-31	$13,101,854
Total interest from all sources	2011-12-31	$270,829
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$483,696
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$22,818
Liabilities. Value of operating payables at end of year	2011-12-31	$11,217
Liabilities. Value of operating payables at beginning of year	2011-12-31	$25,932
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	$487,431
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$13,563,353
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$13,075,922
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$6,211,205
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$6,148,657
Value of interest in pooled separate accounts at end of year	2011-12-31	$478,339
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$403,776
Interest earned on other investments	2011-12-31	$270,829
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$6,885,026
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$6,549,421
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-144,173
Net investment gain/loss from pooled separate accounts	2011-12-31	$53,573
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$199,312
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	BROWN, EDWARDS & COMPANY, L.L.P.
Accountancy firm EIN	2011-12-31	540504608
2010 : EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2010 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$25,932
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$17,754
Total income from all sources (including contributions)	2010-12-31	$1,572,123
Total of all expenses incurred	2010-12-31	$386,612
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$386,612
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$554,459
Value of total assets at end of year	2010-12-31	$13,101,854
Value of total assets at beginning of year	2010-12-31	$11,908,165
Total interest from all sources	2010-12-31	$243,807
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$501,775
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$52,684
Liabilities. Value of operating payables at end of year	2010-12-31	$25,932
Liabilities. Value of operating payables at beginning of year	2010-12-31	$17,754
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	$1,185,511
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$13,075,922
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$11,890,411
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$6,148,657
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$5,287,385
Value of interest in pooled separate accounts at end of year	2010-12-31	$403,776
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$315,243
Interest earned on other investments	2010-12-31	$243,807
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$6,549,421
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$6,305,537
Expenses. Payments to insurance carriers foe the provision of benefits	2010-12-31	$87,593
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$727,844
Net investment gain/loss from pooled separate accounts	2010-12-31	$46,013
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$299,019
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	BROWN, EDWARDS & COMPANY, L.L.P.
Accountancy firm EIN	2010-12-31	540504608
2009 : EMORY AND HENRY COLLEGE 403(B) TDA 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 EMORY AND HENRY COLLEGE 403(B) TDA PLAN

2012: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	Yes
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: EMORY AND HENRY COLLEGE 403(B) TDA PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	EMORY AND HENRY COLLEGE
Employer identification number (EIN):	540505892
NAIC Classification:	611000