401k Plan data: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN plan

MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 401k Plan overview

Plan Name	MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN
Plan identification number	003

MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN Benefits

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

401k Sponsoring company profile

MOUNT SAINT MARY'S UNIVERSITY has sponsored the creation of one or more 401k plans.

Company Name: MOUNT SAINT MARY'S UNIVERSITY

Employer identification number (EIN): 951641455

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2011-01-01 BUDDY HORNER
003 2010-01-01 CHRIS MCALARY CHRIS MCALARY 2011-10-13
003 2009-01-01 CHRIS MCALARY CHRIS MCALARY 2010-10-13

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2011-01-01	BUDDY HORNER
003	2010-01-01	CHRIS MCALARY	CHRIS MCALARY	2011-10-13
003	2009-01-01	CHRIS MCALARY	CHRIS MCALARY	2010-10-13

Plan Statistics for MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN

401k plan membership statisitcs for MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN

Measure Date Value
2011: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 335
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
Number of other retired or separated participants entitled to future 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
2010: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 325
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 294
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 41
Total of all active and inactive participants 2010-01-01 335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 335
Number of participants with account balances 2010-01-01 274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 336
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 286
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 39
Total of all active and inactive participants 2009-01-01 325
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 325
Number of participants with account balances 2009-01-01 271
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: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	335
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
Number of other retired or separated participants entitled to future 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
2010: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	325
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	294
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	41
Total of all active and inactive participants	2010-01-01	335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	335
Number of participants with account balances	2010-01-01	274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	336
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	286
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	39
Total of all active and inactive participants	2009-01-01	325
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	325
Number of participants with account balances	2009-01-01	271
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN

Measure	Date	Value
2011 : MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) 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	$8,339,734
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	$45,036
Total income from all sources (including contributions)	2011-12-31	$844,364
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$433,930
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$433,281
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$806,124
Value of total assets at end of year	2011-12-31	$0
Value of total assets at beginning of year	2011-12-31	$7,974,336
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$649
Total interest from all sources	2011-12-31	$22,171
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$14,148
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$14,148
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$688,893
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$117,231
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$45,036
Administrative expenses (other) incurred	2011-12-31	$649
Total non interest bearing cash at end of year	2011-12-31	$0
Total non interest bearing cash at beginning of year	2011-12-31	$481,841
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	$410,434
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	$7,929,300
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$5,146,455
Value of interest in pooled separate accounts at end of year	2011-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$3,065
Interest earned on other investments	2011-12-31	$22,137
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$34
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$2,342,975
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$1,535
Net investment gain/loss from pooled separate accounts	2011-12-31	$386
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	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$433,281
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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2011-12-31	390859910
2010 : MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$45,036
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$1,348,445
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$545,386
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$544,968
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$660,856
Value of total assets at end of year	2010-12-31	$7,974,336
Value of total assets at beginning of year	2010-12-31	$7,126,241
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$418
Total interest from all sources	2010-12-31	$82,759
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$10,002
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$10,002
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$660,856
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$3,011
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2010-12-31	$84,542
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$45,036
Administrative expenses (other) incurred	2010-12-31	$418
Total non interest bearing cash at end of year	2010-12-31	$481,841
Total non interest bearing cash at beginning of year	2010-12-31	$450,538
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	$803,059
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$7,929,300
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$7,126,241
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	$5,146,455
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$4,374,567
Value of interest in pooled separate accounts at end of year	2010-12-31	$3,065
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$2,273
Interest earned on other investments	2010-12-31	$82,663
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$96
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$2,342,975
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$2,295,852
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$594,439
Net investment gain/loss from pooled separate accounts	2010-12-31	$389
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	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$460,426
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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2010-12-31	390859910
2009 : MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) 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 MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN

2011: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: MOUNT ST. MARYS COLLEGE TAX DEFERRED ANNUITY 403(B) 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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MOUNT SAINT MARY'S UNIVERSITY
Employer identification number (EIN):	951641455
NAIC Classification:	611000