401k Plan data: SUMITOMO ELECTRIC GROUP 401(K) PLAN plan

SUMITOMO ELECTRIC GROUP 401(K) PLAN 401k Plan overview

Plan Name	SUMITOMO ELECTRIC GROUP 401(K) PLAN
Plan identification number	001

SUMITOMO ELECTRIC GROUP 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SUMITOMO ELECTRIC FINANCE USA, INC. has sponsored the creation of one or more 401k plans.

Company Name: SUMITOMO ELECTRIC FINANCE USA, INC.

Employer identification number (EIN): 133452985

NAIC Classification: 335900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SUMITOMO ELECTRIC GROUP 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 KEISUKE YOSHITSUGU KEISUKE YOSHITSUGU 2012-10-10
001 2009-01-01 KEISUKE YOSHITSUGU KEISUKE YOSHITSUGU 2010-10-05

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2011-01-01	KEISUKE YOSHITSUGU		KEISUKE YOSHITSUGU	2012-10-10
001	2009-01-01	KEISUKE YOSHITSUGU		KEISUKE YOSHITSUGU	2010-10-05

Plan Statistics for SUMITOMO ELECTRIC GROUP 401(K) PLAN

401k plan membership statisitcs for SUMITOMO ELECTRIC GROUP 401(K) PLAN

Measure Date Value
2011: SUMITOMO ELECTRIC GROUP 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2,347
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2,069
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 295
Total of all active and inactive participants 2011-01-01 2,365
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 2,365
Number of participants with account balances 2011-01-01 2,057
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 38
2009: SUMITOMO ELECTRIC GROUP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 3,071
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1,905
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 330
Total of all active and inactive participants 2009-01-01 2,235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2,235
Number of participants with account balances 2009-01-01 2,168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 117

Measure	Date	Value
2011: SUMITOMO ELECTRIC GROUP 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2,347
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2,069
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	295
Total of all active and inactive participants	2011-01-01	2,365
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	2,365
Number of participants with account balances	2011-01-01	2,057
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	38
2009: SUMITOMO ELECTRIC GROUP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	3,071
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1,905
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	330
Total of all active and inactive participants	2009-01-01	2,235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2,235
Number of participants with account balances	2009-01-01	2,168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	117

Financial Data on SUMITOMO ELECTRIC GROUP 401(K) PLAN

Measure	Date	Value
2011 : SUMITOMO ELECTRIC GROUP 401(K) 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	$1,938,895
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	$9,703,577
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$6,615,236
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$6,201,370
Expenses. Certain deemed distributions of participant loans	2011-12-31	$27,011
Value of total corrective distributions	2011-12-31	$43,985
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$10,434,470
Value of total assets at end of year	2011-12-31	$114,471,797
Value of total assets at beginning of year	2011-12-31	$113,322,351
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$342,870
Total interest from all sources	2011-12-31	$1,004,699
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,030,476
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	$1,030,476
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	$5,372,310
Participant contributions at end of year	2011-12-31	$7,081,830
Participant contributions at beginning of year	2011-12-31	$6,765,575
Participant contributions at end of year	2011-12-31	$50,177
Participant contributions at beginning of year	2011-12-31	$55,504
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,278,792
Other income not declared elsewhere	2011-12-31	$49,786
Administrative expenses (other) incurred	2011-12-31	$342,870
Total non interest bearing cash at end of year	2011-12-31	$761
Total non interest bearing cash at beginning of year	2011-12-31	$425
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	$3,088,341
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$114,471,797
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$113,322,351
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	$84,274,279
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$88,002,340
Interest on participant loans	2011-12-31	$328,786
Interest earned on other investments	2011-12-31	$675,913
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$21,478,083
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$17,287,552
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-2,815,854
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	$3,783,368
Employer contributions (assets) at end of year	2011-12-31	$1,586,667
Employer contributions (assets) at beginning of year	2011-12-31	$1,210,955
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$6,201,370
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	LEO J. KRUPP & COMPANY LLP
Accountancy firm EIN	2011-12-31	362657681
2010 : SUMITOMO ELECTRIC GROUP 401(K) 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	$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	$20,935,412
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$7,341,645
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$7,206,396
Expenses. Certain deemed distributions of participant loans	2010-12-31	$18,950
Value of total corrective distributions	2010-12-31	$58,074
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$9,220,205
Value of total assets at end of year	2010-12-31	$113,322,351
Value of total assets at beginning of year	2010-12-31	$99,728,584
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$58,225
Total interest from all sources	2010-12-31	$1,005,787
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$979,007
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	$979,007
Administrative expenses professional fees incurred	2010-12-31	$32,505
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	$5,362,864
Participant contributions at end of year	2010-12-31	$6,765,575
Participant contributions at beginning of year	2010-12-31	$6,462,028
Participant contributions at end of year	2010-12-31	$55,504
Participant contributions at beginning of year	2010-12-31	$72,814
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$420,426
Administrative expenses (other) incurred	2010-12-31	$25,720
Total non interest bearing cash at end of year	2010-12-31	$425
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	$13,593,767
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$113,322,351
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$99,728,584
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	$88,002,340
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$76,537,251
Interest on participant loans	2010-12-31	$362,392
Interest earned on other investments	2010-12-31	$643,395
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$17,287,552
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$15,797,030
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$9,730,413
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	$3,436,915
Employer contributions (assets) at end of year	2010-12-31	$1,210,955
Employer contributions (assets) at beginning of year	2010-12-31	$859,461
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$7,206,396
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	LEO J. KRUPP & COMPANY, LLP
Accountancy firm EIN	2010-12-31	362657681

Form 5500 Responses for SUMITOMO ELECTRIC GROUP 401(K) PLAN

2011: SUMITOMO ELECTRIC GROUP 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: SUMITOMO ELECTRIC GROUP 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Mulitple 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:	SUMITOMO ELECTRIC FINANCE USA, INC.
Employer identification number (EIN):	133452985
NAIC Classification:	335900