401k Plan data: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN plan

THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 401k Plan overview

Plan Name	THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN
Plan identification number	002

THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY 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.

401k Sponsoring company profile

THE RIVERS SCHOOL CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: THE RIVERS SCHOOL CORPORATION

Employer identification number (EIN): 042104457

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2012-01-01 BRUCE T. AMSBARY
002 2011-01-01 BRUCE T. AMSBARY
002 2010-01-01 BRUCE T. AMSBARY
002 2009-01-01 BRUCE T. AMSBARY BRUCE T. AMSBARY 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2012-01-01	BRUCE T. AMSBARY
002	2011-01-01	BRUCE T. AMSBARY
002	2010-01-01	BRUCE T. AMSBARY
002	2009-01-01	BRUCE T. AMSBARY	BRUCE T. AMSBARY	2010-10-15

Plan Statistics for THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN

401k plan membership statisitcs for THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN

Measure Date Value
2012: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 202
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
2011: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 206
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 127
Number of other retired or separated participants entitled to future benefits 2011-01-01 74
Total of all active and inactive participants 2011-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 202
Number of participants with account balances 2011-01-01 187
2010: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 174
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 226
Number of retired or separated participants receiving benefits 2010-01-01 11
Number of other retired or separated participants entitled to future benefits 2010-01-01 58
Total of all active and inactive participants 2010-01-01 295
Total participants 2010-01-01 295
Number of participants with account balances 2010-01-01 168
2009: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 197
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 95
Number of retired or separated participants receiving benefits 2009-01-01 2
Number of other retired or separated participants entitled to future benefits 2009-01-01 77
Total of all active and inactive participants 2009-01-01 174
Total participants 2009-01-01 174

Measure	Date	Value
2012: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	202
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
2011: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	206
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	127
Number of other retired or separated participants entitled to future benefits	2011-01-01	74
Total of all active and inactive participants	2011-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	202
Number of participants with account balances	2011-01-01	187
2010: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	174
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	226
Number of retired or separated participants receiving benefits	2010-01-01	11
Number of other retired or separated participants entitled to future benefits	2010-01-01	58
Total of all active and inactive participants	2010-01-01	295
Total participants	2010-01-01	295
Number of participants with account balances	2010-01-01	168
2009: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	197
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	95
Number of retired or separated participants receiving benefits	2009-01-01	2
Number of other retired or separated participants entitled to future benefits	2009-01-01	77
Total of all active and inactive participants	2009-01-01	174
Total participants	2009-01-01	174

Financial Data on THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN

Measure	Date	Value
2012 : THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$6,700,627
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$0
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$0
Value of total assets at end of year	2012-12-31	$0
Value of total assets at beginning of year	2012-12-31	$6,700,627
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$1,096
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$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	2012-12-31	No
Value of net income/loss	2012-12-31	$0
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$6,700,627
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$3,220,363
Value of interest in pooled separate accounts at end of year	2012-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$1,748,913
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$1,730,255
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MILLER WACHMAN LLP
Accountancy firm EIN	2012-12-31	042211907
2011 : THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$0
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	$651,211
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$288,763
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$288,738
Expenses. Certain deemed distributions of participant loans	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$679,560
Value of total assets at end of year	2011-12-31	$6,700,627
Value of total assets at beginning of year	2011-12-31	$6,338,179
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$25
Total interest from all sources	2011-12-31	$54,181
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$33,113
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	$33,113
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	$645,813
Participant contributions at end of year	2011-12-31	$1,096
Participant contributions at beginning of year	2011-12-31	$2,505
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$3,200
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$33,747
Administrative expenses (other) incurred	2011-12-31	$25
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	$362,448
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$6,700,627
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$6,338,179
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	$3,220,363
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$3,144,201
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,748,913
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$1,633,165
Interest on participant loans	2011-12-31	$79
Interest earned on other investments	2011-12-31	$54,102
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$1,730,255
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$1,555,108
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-61,765
Net investment gain/loss from pooled separate accounts	2011-12-31	$-53,878
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$288,738
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MILLER WACHMAN LLP
Accountancy firm EIN	2011-12-31	042211907
2010 : THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2010 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$500
Total income from all sources (including contributions)	2010-12-31	$1,265,090
Total of all expenses incurred	2010-12-31	$830,156
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$830,131
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$640,086
Value of total assets at end of year	2010-12-31	$6,338,179
Value of total assets at beginning of year	2010-12-31	$5,903,745
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$25
Total interest from all sources	2010-12-31	$52,304
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$21,343
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	$21,343
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$634,267
Participant contributions at end of year	2010-12-31	$2,505
Participant contributions at beginning of year	2010-12-31	$3,855
Participant contributions at end of year	2010-12-31	$3,200
Participant contributions at beginning of year	2010-12-31	$5,191
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$5,819
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$500
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	$434,934
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$6,338,179
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$5,903,245
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
Investment advisory and management fees	2010-12-31	$25
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$3,144,200
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$3,090,672
Value of interest in pooled separate accounts at end of year	2010-12-31	$1,633,166
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$1,262,338
Interest on participant loans	2010-12-31	$138
Interest earned on other investments	2010-12-31	$52,166
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$1,555,108
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,541,689
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$388,377
Net investment gain/loss from pooled separate accounts	2010-12-31	$162,980
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	$830,131
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	MILLER WACHMAN LLP
Accountancy firm EIN	2010-12-31	042211907

Form 5500 Responses for THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN

2012: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2011: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY 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	No
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
2010: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2009: THE RIVERS SCHOOL 403(B) TAX DEFERRED ANNUITY PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

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Company Name:	THE RIVERS SCHOOL CORPORATION
Employer identification number (EIN):	042104457
NAIC Classification:	611000