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PEPPERDINE UNIVERSITY RETIREMENT PLAN 401k Plan overview

Plan NamePEPPERDINE UNIVERSITY RETIREMENT PLAN
Plan identification number 001

PEPPERDINE UNIVERSITY RETIREMENT PLAN Benefits

401k Plan TypeDefined 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • 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.

401k Sponsoring company profile

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

Company Name:PEPPERDINE UNIVERSITY
Employer identification number (EIN):951644037
NAIC Classification:611000

Additional information about PEPPERDINE UNIVERSITY

Jurisdiction of Incorporation: California Department of State
Incorporation Date:
Company Identification Number: C0171635

More information about PEPPERDINE UNIVERSITY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PEPPERDINE UNIVERSITY RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01LAUREN COSENTINO
0012016-01-01LAUREN COSENTINO
0012015-01-01LAUREN COSENTINO
0012014-01-01LAUREN COSENTINO
0012013-01-01LAUREN COSENTINO
0012012-01-01EDNA POWELL
0012011-01-01EDNA POWELL
0012010-01-01EDNA POWELL
0012009-01-01EDNA POWELL

Plan Statistics for PEPPERDINE UNIVERSITY RETIREMENT PLAN

401k plan membership statisitcs for PEPPERDINE UNIVERSITY RETIREMENT PLAN

Measure Date Value
2022: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-013,455
Total number of active participants reported on line 7a of the Form 55002022-01-011,773
Number of retired or separated participants receiving benefits2022-01-0167
Number of other retired or separated participants entitled to future benefits2022-01-011,634
Total of all active and inactive participants2022-01-013,474
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0174
Total participants2022-01-013,548
Number of participants with account balances2022-01-013,413
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-013,372
Total number of active participants reported on line 7a of the Form 55002021-01-011,834
Number of retired or separated participants receiving benefits2021-01-0159
Number of other retired or separated participants entitled to future benefits2021-01-011,536
Total of all active and inactive participants2021-01-013,429
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0115
Total participants2021-01-013,444
Number of participants with account balances2021-01-013,356
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-013,509
Total number of active participants reported on line 7a of the Form 55002020-01-011,653
Number of retired or separated participants receiving benefits2020-01-0136
Number of other retired or separated participants entitled to future benefits2020-01-011,648
Total of all active and inactive participants2020-01-013,337
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-0133
Total participants2020-01-013,370
Number of participants with account balances2020-01-013,370
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-013,667
Total number of active participants reported on line 7a of the Form 55002019-01-011,870
Number of retired or separated participants receiving benefits2019-01-0157
Number of other retired or separated participants entitled to future benefits2019-01-011,549
Total of all active and inactive participants2019-01-013,476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-0130
Total participants2019-01-013,506
Number of participants with account balances2019-01-013,391
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-013,419
Total number of active participants reported on line 7a of the Form 55002018-01-012,018
Number of retired or separated participants receiving benefits2018-01-0151
Number of other retired or separated participants entitled to future benefits2018-01-011,571
Total of all active and inactive participants2018-01-013,640
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0124
Total participants2018-01-013,664
Number of participants with account balances2018-01-013,353
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-013,194
Total number of active participants reported on line 7a of the Form 55002017-01-011,599
Number of retired or separated participants receiving benefits2017-01-0148
Number of other retired or separated participants entitled to future benefits2017-01-011,571
Total of all active and inactive participants2017-01-013,218
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0129
Total participants2017-01-013,247
Number of participants with account balances2017-01-013,247
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-013,276
Total number of active participants reported on line 7a of the Form 55002016-01-011,574
Number of retired or separated participants receiving benefits2016-01-0143
Number of other retired or separated participants entitled to future benefits2016-01-011,562
Total of all active and inactive participants2016-01-013,179
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-0115
Total participants2016-01-013,194
Number of participants with account balances2016-01-013,194
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-014,430
Total number of active participants reported on line 7a of the Form 55002015-01-011,627
Number of retired or separated participants receiving benefits2015-01-0139
Number of other retired or separated participants entitled to future benefits2015-01-011,589
Total of all active and inactive participants2015-01-013,255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0121
Total participants2015-01-013,276
Number of participants with account balances2015-01-013,208
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-013,423
Total number of active participants reported on line 7a of the Form 55002014-01-012,685
Number of retired or separated participants receiving benefits2014-01-0134
Number of other retired or separated participants entitled to future benefits2014-01-011,687
Total of all active and inactive participants2014-01-014,406
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-0122
Total participants2014-01-014,428
Number of participants with account balances2014-01-013,533
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-012,505
Total number of active participants reported on line 7a of the Form 55002013-01-011,670
Number of retired or separated participants receiving benefits2013-01-0127
Number of other retired or separated participants entitled to future benefits2013-01-011,656
Total of all active and inactive participants2013-01-013,353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-0119
Total participants2013-01-013,372
Number of participants with account balances2013-01-013,035
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-012,401
Total number of active participants reported on line 7a of the Form 55002012-01-011,356
Number of retired or separated participants receiving benefits2012-01-0113
Number of other retired or separated participants entitled to future benefits2012-01-011,120
Total of all active and inactive participants2012-01-012,489
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-0112
Total participants2012-01-012,501
Number of participants with account balances2012-01-012,463
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-012,346
Total number of active participants reported on line 7a of the Form 55002011-01-011,595
Number of retired or separated participants receiving benefits2011-01-017
Number of other retired or separated participants entitled to future benefits2011-01-01791
Total of all active and inactive participants2011-01-012,393
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-018
Total participants2011-01-012,401
Number of participants with account balances2011-01-012,212
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-013,039
Total number of active participants reported on line 7a of the Form 55002010-01-011,311
Number of retired or separated participants receiving benefits2010-01-013
Number of other retired or separated participants entitled to future benefits2010-01-011,024
Total of all active and inactive participants2010-01-012,338
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-016
Total participants2010-01-012,344
Number of participants with account balances2010-01-012,344
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-011,861
Total number of active participants reported on line 7a of the Form 55002009-01-011,298
Number of retired or separated participants receiving benefits2009-01-011
Number of other retired or separated participants entitled to future benefits2009-01-011,736
Total of all active and inactive participants2009-01-013,035
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-014
Total participants2009-01-013,039
Number of participants with account balances2009-01-012,039
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on PEPPERDINE UNIVERSITY RETIREMENT PLAN

Measure Date Value
2022 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2022 401k financial data
Total income from all sources (including contributions)2022-12-31$-58,350,099
Total of all expenses incurred2022-12-31$46,547,747
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$46,226,682
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$25,671,554
Value of total assets at end of year2022-12-31$509,205,381
Value of total assets at beginning of year2022-12-31$614,103,227
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$321,065
Total interest from all sources2022-12-31$2,013,350
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$8,210,812
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$8,210,812
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$5,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$13,021,261
Participant contributions at end of year2022-12-31$211,527
Participant contributions at beginning of year2022-12-31$280,641
Assets. Other investments not covered elsewhere at end of year2022-12-31$14,842,409
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$23,238,130
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$691,903
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$0
Other income not declared elsewhere2022-12-31$-3,061,990
Administrative expenses (other) incurred2022-12-31$214,575
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-104,897,846
Value of net assets at end of year (total assets less liabilities)2022-12-31$509,205,381
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$614,103,227
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$106,490
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$408,579,322
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$505,706,924
Value of interest in pooled separate accounts at end of year2022-12-31$2,627,605
Value of interest in pooled separate accounts at beginning of year2022-12-31$3,320,173
Interest on participant loans2022-12-31$9,762
Interest earned on other investments2022-12-31$2,003,588
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$82,944,518
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$81,557,359
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-91,032,448
Net investment gain/loss from pooled separate accounts2022-12-31$-151,377
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$11,958,390
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$46,226,682
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31No
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31HOLTHOUSE CARLIN & VAN TRIGT
Accountancy firm EIN2022-12-31954345526
2021 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2021 401k financial data
Total income from all sources (including contributions)2021-12-31$93,461,709
Total of all expenses incurred2021-12-31$41,518,701
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$40,852,571
Expenses. Certain deemed distributions of participant loans2021-12-31$317,481
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$21,163,285
Value of total assets at end of year2021-12-31$614,103,227
Value of total assets at beginning of year2021-12-31$562,160,219
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$348,649
Total interest from all sources2021-12-31$1,786,157
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$8,894,998
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$8,894,998
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$5,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$12,756,200
Participant contributions at end of year2021-12-31$280,641
Participant contributions at beginning of year2021-12-31$658,407
Assets. Other investments not covered elsewhere at end of year2021-12-31$23,238,130
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$19,721,145
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$354,885
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$0
Other income not declared elsewhere2021-12-31$2,272,791
Administrative expenses (other) incurred2021-12-31$241,752
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$51,943,008
Value of net assets at end of year (total assets less liabilities)2021-12-31$614,103,227
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$562,160,219
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$106,897
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$505,706,924
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$457,250,527
Value of interest in pooled separate accounts at end of year2021-12-31$3,320,173
Value of interest in pooled separate accounts at beginning of year2021-12-31$2,608,288
Interest on participant loans2021-12-31$26,458
Interest earned on other investments2021-12-31$1,759,699
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$81,557,359
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$81,921,852
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$58,849,666
Net investment gain/loss from pooled separate accounts2021-12-31$494,812
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$8,052,200
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$40,852,571
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-12-31No
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31HOLTHOUSE CARLIN & VAN TRIGT
Accountancy firm EIN2021-12-31954345526
2020 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2020 401k financial data
Total income from all sources (including contributions)2020-12-31$88,764,938
Total of all expenses incurred2020-12-31$38,522,205
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$38,226,038
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$21,892,958
Value of total assets at end of year2020-12-31$562,160,219
Value of total assets at beginning of year2020-12-31$511,917,486
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$296,167
Total interest from all sources2020-12-31$2,828,961
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$6,468,507
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$6,468,507
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$5,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$12,453,022
Participant contributions at end of year2020-12-31$658,407
Participant contributions at beginning of year2020-12-31$0
Assets. Other investments not covered elsewhere at end of year2020-12-31$19,721,145
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$15,180,741
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$320,308
Other income not declared elsewhere2020-12-31$2,895,685
Administrative expenses (other) incurred2020-12-31$216,469
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$50,242,733
Value of net assets at end of year (total assets less liabilities)2020-12-31$562,160,219
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$511,917,486
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$79,698
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$457,250,527
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$412,003,965
Value of interest in pooled separate accounts at end of year2020-12-31$2,608,288
Value of interest in pooled separate accounts at beginning of year2020-12-31$2,362,864
Interest on participant loans2020-12-31$6,171
Interest earned on other investments2020-12-31$2,822,790
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$81,921,852
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$82,369,916
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$54,506,725
Net investment gain/loss from pooled separate accounts2020-12-31$172,102
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$9,119,628
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$38,226,038
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31No
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31HOLTHOUSE CARLIN & VAN TRIGT
Accountancy firm EIN2020-12-31954345526
2019 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2019 401k financial data
Total income from all sources (including contributions)2019-12-31$105,559,769
Total of all expenses incurred2019-12-31$29,715,576
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$29,434,905
Value of total corrective distributions2019-12-31$4,471
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$23,882,290
Value of total assets at end of year2019-12-31$511,917,486
Value of total assets at beginning of year2019-12-31$436,073,293
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$276,200
Total interest from all sources2019-12-31$2,891,813
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$7,352,237
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$7,352,237
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$5,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$11,815,092
Assets. Other investments not covered elsewhere at end of year2019-12-31$15,180,741
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$12,458,461
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$664,553
Other income not declared elsewhere2019-12-31$2,068,486
Administrative expenses (other) incurred2019-12-31$276,200
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$75,844,193
Value of net assets at end of year (total assets less liabilities)2019-12-31$511,917,486
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$436,073,293
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$412,003,965
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$338,372,660
Value of interest in pooled separate accounts at end of year2019-12-31$2,362,864
Value of interest in pooled separate accounts at beginning of year2019-12-31$2,468,737
Interest earned on other investments2019-12-31$2,891,813
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$82,369,916
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$82,773,435
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$69,289,408
Net investment gain/loss from pooled separate accounts2019-12-31$75,535
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$11,402,645
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$29,434,905
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31HOLTHOUSE CARLIN & VAN TRIGT
Accountancy firm EIN2019-12-31954345526
2018 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2018 401k financial data
Total transfer of assets to this plan2018-12-31$11,527
Total income from all sources (including contributions)2018-12-31$5,506,895
Total of all expenses incurred2018-12-31$29,434,171
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$29,116,258
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$23,483,293
Value of total assets at end of year2018-12-31$436,073,293
Value of total assets at beginning of year2018-12-31$459,989,042
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$317,913
Total interest from all sources2018-12-31$2,911,117
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$6,331,708
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$6,331,708
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$10,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$11,057,111
Assets. Other investments not covered elsewhere at end of year2018-12-31$12,458,461
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$11,128,822
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$1,465,401
Other income not declared elsewhere2018-12-31$-655,553
Administrative expenses (other) incurred2018-12-31$317,913
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-23,927,276
Value of net assets at end of year (total assets less liabilities)2018-12-31$436,073,293
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$459,989,042
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$338,372,660
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$366,228,073
Value of interest in pooled separate accounts at end of year2018-12-31$2,468,737
Value of interest in pooled separate accounts at beginning of year2018-12-31$2,510,682
Interest earned on other investments2018-12-31$2,911,117
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$82,773,435
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$80,121,465
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-26,570,965
Net investment gain/loss from pooled separate accounts2018-12-31$7,295
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$10,960,781
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$29,116,258
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31HOLTHOUSE CARLIN & VAN TRIGT
Accountancy firm EIN2018-12-31954345526
2017 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-12-31$80,631,866
Total of all expenses incurred2017-12-31$18,904,039
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$18,562,157
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$21,170,839
Value of total assets at end of year2017-12-31$459,989,042
Value of total assets at beginning of year2017-12-31$398,261,215
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$341,882
Total interest from all sources2017-12-31$2,893,569
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$5,289,864
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$5,289,864
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$10,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$10,059,276
Assets. Other investments not covered elsewhere at end of year2017-12-31$11,128,822
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$7,596,260
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$682,670
Other income not declared elsewhere2017-12-31$1,095,720
Administrative expenses (other) incurred2017-12-31$341,882
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$61,727,827
Value of net assets at end of year (total assets less liabilities)2017-12-31$459,989,042
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$398,261,215
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$366,228,073
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$307,981,898
Value of interest in pooled separate accounts at end of year2017-12-31$2,510,682
Value of interest in pooled separate accounts at beginning of year2017-12-31$2,522,588
Interest earned on other investments2017-12-31$2,893,569
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$80,121,465
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$80,160,469
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$1,264,343
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$49,925,039
Net investment gain/loss from pooled separate accounts2017-12-31$256,835
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$10,428,893
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$17,297,814
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31MOSS ADAMS LLP
Accountancy firm EIN2017-12-31910189318
2016 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2016 401k financial data
Total income from all sources (including contributions)2016-12-31$48,082,011
Total of all expenses incurred2016-12-31$24,791,617
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$24,596,619
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$21,049,016
Value of total assets at end of year2016-12-31$398,261,215
Value of total assets at beginning of year2016-12-31$374,970,821
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$194,998
Total interest from all sources2016-12-31$3,140,550
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$4,148,978
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$4,148,978
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$10,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$9,506,393
Assets. Other investments not covered elsewhere at end of year2016-12-31$7,596,260
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$7,505,551
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$1,475,418
Other income not declared elsewhere2016-12-31$428,944
Administrative expenses (other) incurred2016-12-31$194,998
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$23,290,394
Value of net assets at end of year (total assets less liabilities)2016-12-31$398,261,215
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$374,970,821
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$307,981,898
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$286,622,982
Value of interest in pooled separate accounts at end of year2016-12-31$2,522,588
Value of interest in pooled separate accounts at beginning of year2016-12-31$2,414,981
Interest earned on other investments2016-12-31$3,140,550
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$80,160,469
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$78,427,307
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$19,248,306
Net investment gain/loss from pooled separate accounts2016-12-31$66,217
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$10,067,205
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$24,596,619
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31MOSS ADAMS LLP
Accountancy firm EIN2016-12-31910189318
2015 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$21,614,409
Total of all expenses incurred2015-12-31$24,998,688
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$24,770,124
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$19,784,295
Value of total assets at end of year2015-12-31$374,970,821
Value of total assets at beginning of year2015-12-31$378,355,100
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$228,564
Total interest from all sources2015-12-31$3,009,209
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$3,945,491
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$3,945,491
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$10,000,000
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$8,656,757
Assets. Other investments not covered elsewhere at end of year2015-12-31$7,505,551
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$7,717,564
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$1,321,543
Other income not declared elsewhere2015-12-31$-230,605
Administrative expenses (other) incurred2015-12-31$228,564
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-3,384,279
Value of net assets at end of year (total assets less liabilities)2015-12-31$374,970,821
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$378,355,100
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$286,622,982
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$288,122,154
Value of interest in pooled separate accounts at end of year2015-12-31$2,414,981
Value of interest in pooled separate accounts at beginning of year2015-12-31$2,511,397
Interest earned on other investments2015-12-31$3,009,209
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$78,427,307
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$80,003,985
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-4,976,718
Net investment gain/loss from pooled separate accounts2015-12-31$82,737
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 contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$9,805,995
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$24,770,124
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
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)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31MOSS ADAMS LLP
Accountancy firm EIN2015-12-31910189318
2014 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$40,431,636
Total of all expenses incurred2014-12-31$20,344,964
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$20,142,643
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$18,418,042
Value of total assets at end of year2014-12-31$378,355,100
Value of total assets at beginning of year2014-12-31$358,268,428
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$202,321
Total interest from all sources2014-12-31$3,118,943
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$4,114,164
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$4,114,164
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$10,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$7,684,680
Assets. Other investments not covered elsewhere at end of year2014-12-31$7,717,564
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$7,419,368
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$1,259,184
Other income not declared elsewhere2014-12-31$182,795
Administrative expenses (other) incurred2014-12-31$202,321
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$20,086,672
Value of net assets at end of year (total assets less liabilities)2014-12-31$378,355,100
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$358,268,428
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$288,122,154
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$267,885,382
Value of interest in pooled separate accounts at end of year2014-12-31$2,511,397
Value of interest in pooled separate accounts at beginning of year2014-12-31$2,370,664
Interest earned on other investments2014-12-31$3,118,943
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$80,003,985
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$80,593,014
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$14,500,395
Net investment gain/loss from pooled separate accounts2014-12-31$97,297
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 contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$9,474,178
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$20,142,643
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31No
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 name2014-12-31MOSS ADAMS LLP
Accountancy firm EIN2014-12-31910189318
2013 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$66,387,416
Total of all expenses incurred2013-12-31$24,165,863
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$23,976,682
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$17,332,272
Value of total assets at end of year2013-12-31$358,268,428
Value of total assets at beginning of year2013-12-31$316,046,875
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$189,181
Total interest from all sources2013-12-31$2,925,163
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$3,607,706
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$3,607,706
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$10,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$7,379,729
Assets. Other investments not covered elsewhere at end of year2013-12-31$7,419,368
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$6,816,340
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$922,451
Other income not declared elsewhere2013-12-31$527,610
Administrative expenses (other) incurred2013-12-31$189,181
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$42,221,553
Value of net assets at end of year (total assets less liabilities)2013-12-31$358,268,428
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$316,046,875
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$267,885,382
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$226,882,832
Value of interest in pooled separate accounts at end of year2013-12-31$2,370,664
Value of interest in pooled separate accounts at beginning of year2013-12-31$18,604,570
Interest earned on other investments2013-12-31$2,925,163
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$80,593,014
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$63,743,133
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$41,876,186
Net investment gain/loss from pooled separate accounts2013-12-31$118,479
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
Contributions received in cash from employer2013-12-31$9,030,092
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$23,976,682
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
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 name2013-12-31MOSS ADAMS LLP
Accountancy firm EIN2013-12-31910189318
2012 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2012 401k financial data
Total transfer of assets to this plan2012-12-31$169,644
Total income from all sources (including contributions)2012-12-31$45,271,949
Total of all expenses incurred2012-12-31$13,748,317
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$13,747,126
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$15,955,239
Value of total assets at end of year2012-12-31$316,046,875
Value of total assets at beginning of year2012-12-31$284,353,599
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,191
Total interest from all sources2012-12-31$2,635,366
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$3,294,654
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$3,294,654
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$10,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$7,095,749
Assets. Other investments not covered elsewhere at end of year2012-12-31$6,816,340
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$6,378,636
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$62,822
Other income not declared elsewhere2012-12-31$559,207
Administrative expenses (other) incurred2012-12-31$1,191
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$31,523,632
Value of net assets at end of year (total assets less liabilities)2012-12-31$316,046,875
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$284,353,599
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$226,882,832
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$196,161,851
Value of interest in pooled separate accounts at end of year2012-12-31$18,604,570
Value of interest in pooled separate accounts at beginning of year2012-12-31$16,452,337
Interest earned on other investments2012-12-31$2,635,366
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$63,743,133
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$65,360,775
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$22,533,960
Net investment gain/loss from pooled separate accounts2012-12-31$293,523
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
Contributions received in cash from employer2012-12-31$8,796,668
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$13,747,126
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
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 name2012-12-31MOSS ADAMS LLP
Accountancy firm EIN2012-12-31910189318
2011 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2011 401k financial data
Total transfer of assets to this plan2011-12-31$5,721
Total income from all sources (including contributions)2011-12-31$15,449,381
Total of all expenses incurred2011-12-31$9,310,362
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$9,305,177
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$15,862,783
Value of total assets at end of year2011-12-31$284,353,599
Value of total assets at beginning of year2011-12-31$278,208,859
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$5,185
Total interest from all sources2011-12-31$2,670,972
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$2,595,489
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$2,595,489
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$10,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$6,963,778
Assets. Other investments not covered elsewhere at end of year2011-12-31$6,378,636
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$5,070,177
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$224,466
Administrative expenses (other) incurred2011-12-31$5,185
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$6,139,019
Value of net assets at end of year (total assets less liabilities)2011-12-31$284,353,599
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$278,208,859
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$196,161,851
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$192,483,112
Value of interest in pooled separate accounts at end of year2011-12-31$16,452,337
Value of interest in pooled separate accounts at beginning of year2011-12-31$13,874,764
Interest earned on other investments2011-12-31$2,670,972
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$65,360,775
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$66,780,806
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-5,950,797
Net investment gain/loss from pooled separate accounts2011-12-31$270,934
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
Contributions received in cash from employer2011-12-31$8,674,539
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$9,305,177
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
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 name2011-12-31MOSS ADAMS LLP
Accountancy firm EIN2011-12-31910189318
2010 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2010 401k financial data
Total transfer of assets from this plan2010-12-31$115,824
Total income from all sources (including contributions)2010-12-31$40,387,671
Total of all expenses incurred2010-12-31$7,845,555
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$7,843,709
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$15,720,050
Value of total assets at end of year2010-12-31$278,208,859
Value of total assets at beginning of year2010-12-31$245,782,567
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,846
Total interest from all sources2010-12-31$2,572,314
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$2,320,775
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$2,320,775
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$10,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$6,749,203
Assets. Other investments not covered elsewhere at end of year2010-12-31$5,070,177
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$3,403,599
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$421,261
Other income not declared elsewhere2010-12-31$401,972
Administrative expenses (other) incurred2010-12-31$1,846
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$32,542,116
Value of net assets at end of year (total assets less liabilities)2010-12-31$278,208,859
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$245,782,567
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$192,483,112
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$164,495,414
Value of interest in pooled separate accounts at end of year2010-12-31$13,874,764
Value of interest in pooled separate accounts at beginning of year2010-12-31$10,700,623
Interest earned on other investments2010-12-31$2,572,314
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$66,780,806
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$67,182,931
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$18,833,271
Net investment gain/loss from pooled separate accounts2010-12-31$539,289
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
Contributions received in cash from employer2010-12-31$8,549,586
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$7,843,709
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
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 name2010-12-31MOSS ADAMS LLP
Accountancy firm EIN2010-12-31910189318
2009 : PEPPERDINE UNIVERSITY RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for PEPPERDINE UNIVERSITY RETIREMENT PLAN

2022: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
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: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
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: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
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: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
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: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
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: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: PEPPERDINE UNIVERSITY RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
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

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069312
Policy instance 4
Insurance contract or identification numberTT069312
Number of Individuals Covered2779
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150217
Policy instance 3
Insurance contract or identification number150217
Number of Individuals Covered891
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069312
Policy instance 2
Insurance contract or identification numberTT069312
Number of Individuals Covered2779
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number004730
Policy instance 1
Insurance contract or identification number004730
Number of Individuals Covered31
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of fees paid to insurance companyUSD $3,445
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
Amount paid for insurance broker fees3445
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number004730
Policy instance 1
Insurance contract or identification number004730
Number of Individuals Covered32
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $3,922
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
Commission paid to Insurance BrokerUSD $3,922
Insurance broker organization code?3
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069312
Policy instance 2
Insurance contract or identification numberTT069312
Number of Individuals Covered2675
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150217
Policy instance 3
Insurance contract or identification number150217
Number of Individuals Covered923
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
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
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069312
Policy instance 4
Insurance contract or identification numberTT069312
Number of Individuals Covered2675
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
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
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069312
Policy instance 4
Insurance contract or identification numberTT069312
Number of Individuals Covered2649
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150217
Policy instance 3
Insurance contract or identification number150217
Number of Individuals Covered978
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
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
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069312
Policy instance 2
Insurance contract or identification numberTT069312
Number of Individuals Covered2649
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number004730
Policy instance 1
Insurance contract or identification number004730
Number of Individuals Covered34
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $3,699
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
Commission paid to Insurance BrokerUSD $3,699
Insurance broker organization code?3
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069312
Policy instance 2
Insurance contract or identification numberTT069312
Number of Individuals Covered2674
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number004730
Policy instance 1
Insurance contract or identification number004730
Number of Individuals Covered34
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $3,966
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
Commission paid to Insurance BrokerUSD $3,966
Insurance broker organization code?3
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150217
Policy instance 3
Insurance contract or identification number150217
Number of Individuals Covered1027
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069312
Policy instance 4
Insurance contract or identification numberTT069312
Number of Individuals Covered2674
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069312
Policy instance 4
Insurance contract or identification numberTT069312
Number of Individuals Covered2573
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number004730
Policy instance 1
Insurance contract or identification number004730
Number of Individuals Covered32
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069312
Policy instance 2
Insurance contract or identification numberTT069312
Number of Individuals Covered2573
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150217
Policy instance 3
Insurance contract or identification number150217
Number of Individuals Covered1089
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069312
Policy instance 4
Insurance contract or identification numberTT069312
Number of Individuals Covered2439
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number150217
Policy instance 3
Insurance contract or identification number150217
Number of Individuals Covered1183
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069312
Policy instance 2
Insurance contract or identification numberTT069312
Number of Individuals Covered2439
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number004730
Policy instance 1
Insurance contract or identification number004730
Number of Individuals Covered35
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $4,526
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
Commission paid to Insurance BrokerUSD $4,526
Insurance broker organization code?3
Insurance broker nameRAYMOND JAMES INSURANCE GROUP

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