401k Plan data: ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN plan

ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 401k Plan overview

Plan Name	ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN
Plan identification number	003

ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

ROGER WILLIAMS UNIVERSITY SCHOOL OF LAW has sponsored the creation of one or more 401k plans.

Company Name: ROGER WILLIAMS UNIVERSITY SCHOOL OF LAW

Employer identification number (EIN): 050465628

NAIC Classification: 611000

Additional information about ROGER WILLIAMS UNIVERSITY SCHOOL OF LAW

Jurisdiction of Incorporation: Secretary of State Rhode Island

Incorporation Date:

Company Identification Number: 000068165

More information about ROGER WILLIAMS UNIVERSITY SCHOOL OF LAW

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2011-01-01 CHRISTOPHER M NERONHA CHRISTOPHER M NERONHA 2012-10-10
003 2009-01-01 CHRISTOPHER M NERONHA CHRISTOPHER M NERONHA 2010-10-07

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2011-01-01	CHRISTOPHER M NERONHA		CHRISTOPHER M NERONHA	2012-10-10
003	2009-01-01	CHRISTOPHER M NERONHA		CHRISTOPHER M NERONHA	2010-10-07

Plan Statistics for ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN

401k plan membership statisitcs for ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN

Measure Date Value
2011: ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 167
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
Number of retired or separated participants receiving benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 169
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 146
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 36
Total of all active and inactive participants 2009-01-01 182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 182
Number of participants with account balances 2009-01-01 118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	167
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
Number of retired or separated participants receiving benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	169
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	146
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	36
Total of all active and inactive participants	2009-01-01	182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	182
Number of participants with account balances	2009-01-01	118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN

Measure	Date	Value
2011 : ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$15,861,346
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,304,474
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,220,847
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,214,713
Expenses. Certain deemed distributions of participant loans	2011-12-31	$0
Value of total corrective distributions	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,290,967
Value of total assets at end of year	2011-12-31	$0
Value of total assets at beginning of year	2011-12-31	$15,777,719
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$6,134
Total interest from all sources	2011-12-31	$167,891
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$608,700
Participant contributions at beginning of year	2011-12-31	$0
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$23,078
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$143,825
Other income not declared elsewhere	2011-12-31	$-123,273
Administrative expenses (other) incurred	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$83,627
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$15,777,719
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$812,508
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$298,269
Interest on participant loans	2011-12-31	$0
Interest earned on other investments	2011-12-31	$167,891
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$14,625,213
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-72,668
Net investment gain/loss from pooled separate accounts	2011-12-31	$41,557
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$538,442
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$18,651
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,214,713
Contract administrator fees	2011-12-31	$6,134
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MAYER HOFFMAN MCCANN PC
Accountancy firm EIN	2011-12-31	431947695
2010 : ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$333,554
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,692,779
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$638,267
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$633,514
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,162,119
Value of total assets at end of year	2010-12-31	$15,777,719
Value of total assets at beginning of year	2010-12-31	$13,389,653
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$4,753
Total interest from all sources	2010-12-31	$57,998
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$603,133
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$170,138
Participant contributions at end of year	2010-12-31	$23,078
Participant contributions at beginning of year	2010-12-31	$22,080
Other income not declared elsewhere	2010-12-31	$1,354,718
Administrative expenses (other) incurred	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,054,512
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$15,777,719
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$13,389,653
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$812,508
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$10,091,049
Value of interest in pooled separate accounts at end of year	2010-12-31	$298,269
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$191,980
Interest earned on other investments	2010-12-31	$57,998
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$14,625,213
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$2,891,461
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$83,601
Net investment gain/loss from pooled separate accounts	2010-12-31	$34,343
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$558,986
Employer contributions (assets) at end of year	2010-12-31	$18,651
Employer contributions (assets) at beginning of year	2010-12-31	$22,945
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$633,514
Contract administrator fees	2010-12-31	$4,753
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MAYER, HOFFMAN, MCCANN P C
Accountancy firm EIN	2010-12-31	431947695
2009 : ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN

2011: ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	Yes
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2009: ROGER WILLIAMS SCHOOL OF LAW RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

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Company Name:	ROGER WILLIAMS UNIVERSITY SCHOOL OF LAW
Employer identification number (EIN):	050465628
NAIC Classification:	611000

Jurisdiction of Incorporation:	Secretary of State Rhode Island
Incorporation Date:
Company Identification Number:	000068165