401k Plan data: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES plan

TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 401k Plan overview

Plan Name	TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES
Plan identification number	005

TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

WAKE FOREST UNIVERSITY HEALTH SCIENCES has sponsored the creation of one or more 401k plans.

Company Name: WAKE FOREST UNIVERSITY HEALTH SCIENCES

Employer identification number (EIN): 223849199

NAIC Classification: 611000

Additional information about WAKE FOREST UNIVERSITY HEALTH SCIENCES

Jurisdiction of Incorporation: North Carolina Secretary of State

Incorporation Date:

Company Identification Number: 0610112

More information about WAKE FOREST UNIVERSITY HEALTH SCIENCES

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2011-07-01 WAKE FOREST UNIV HEALTH SCIENCES
005 2010-07-01 J. MARC SEARS, DIR OF BENEFITS ADM J. MARC SEARS, DIR OF BENEFITS ADM 2012-04-11
005 2009-07-01 J. MARC SEARS, DIR OF BENEFITS ADM J. MARC SEARS, DIR OF BENEFITS ADM 2011-04-12

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
005	2011-07-01	WAKE FOREST UNIV HEALTH SCIENCES
005	2010-07-01	J. MARC SEARS, DIR OF BENEFITS ADM	J. MARC SEARS, DIR OF BENEFITS ADM	2012-04-11
005	2009-07-01	J. MARC SEARS, DIR OF BENEFITS ADM	J. MARC SEARS, DIR OF BENEFITS ADM	2011-04-12

Plan Statistics for TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES

401k plan membership statisitcs for TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES

Measure Date Value
2011: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2011 401k membership
Total participants, beginning-of-year 2011-07-01 8,274
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 0
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 0
Total of all active and inactive participants 2011-07-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 0
Total participants 2011-07-01 0
Number of participants with account balances 2011-07-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 0
2010: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2010 401k membership
Total participants, beginning-of-year 2010-07-01 8,773
Total number of active participants reported on line 7a of the Form 5500 2010-07-01 4,188
Number of retired or separated participants receiving benefits 2010-07-01 1
Number of other retired or separated participants entitled to future benefits 2010-07-01 4,086
Total of all active and inactive participants 2010-07-01 8,275
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-07-01 9
Total participants 2010-07-01 8,284
Number of participants with account balances 2010-07-01 8,274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-07-01 0
2009: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2009 401k membership
Total participants, beginning-of-year 2009-07-01 8,331
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 4,086
Number of retired or separated participants receiving benefits 2009-07-01 106
Number of other retired or separated participants entitled to future benefits 2009-07-01 4,545
Total of all active and inactive participants 2009-07-01 8,737
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 36
Total participants 2009-07-01 8,773
Number of participants with account balances 2009-07-01 8,667
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 0

Measure	Date	Value
2011: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2011 401k membership
Total participants, beginning-of-year	2011-07-01	8,274
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	0
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	0
Total of all active and inactive participants	2011-07-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	0
Total participants	2011-07-01	0
Number of participants with account balances	2011-07-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	0
2010: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2010 401k membership
Total participants, beginning-of-year	2010-07-01	8,773
Total number of active participants reported on line 7a of the Form 5500	2010-07-01	4,188
Number of retired or separated participants receiving benefits	2010-07-01	1
Number of other retired or separated participants entitled to future benefits	2010-07-01	4,086
Total of all active and inactive participants	2010-07-01	8,275
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-07-01	9
Total participants	2010-07-01	8,284
Number of participants with account balances	2010-07-01	8,274
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-07-01	0
2009: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2009 401k membership
Total participants, beginning-of-year	2009-07-01	8,331
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	4,086
Number of retired or separated participants receiving benefits	2009-07-01	106
Number of other retired or separated participants entitled to future benefits	2009-07-01	4,545
Total of all active and inactive participants	2009-07-01	8,737
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	36
Total participants	2009-07-01	8,773
Number of participants with account balances	2009-07-01	8,667
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	0

Financial Data on TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES

Measure	Date	Value
2011 : TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$477,724,723
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	$-74,897
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$31,577,592
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$31,577,592
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$19,741,289
Value of total assets at end of year	2011-12-31	$0
Value of total assets at beginning of year	2011-12-31	$509,377,212
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$2,927,450
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$3,315,890
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	$3,315,890
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$10,000,000
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	$13,641,661
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$160,591
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$6,099,628
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	$-31,652,489
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	$509,377,212
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	$349,458,929
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	$9,047,016
Interest earned on other investments	2011-12-31	$2,927,450
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	$150,710,676
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$87,989
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-26,505,612
Net investment gain/loss from pooled separate accounts	2011-12-31	$446,086
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	$31,489,603
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	BUTLER BURKE, LLP
Accountancy firm EIN	2011-12-31	561138530
Total unrealized appreciation/depreciation of assets	2011-06-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-06-30	$0
Total income from all sources (including contributions)	2011-06-30	$106,154,639
Total loss/gain on sale of assets	2011-06-30	$0
Total of all expenses incurred	2011-06-30	$33,999,053
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-06-30	$33,999,053
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-06-30	$26,626,933
Value of total assets at end of year	2011-06-30	$509,377,212
Value of total assets at beginning of year	2011-06-30	$437,221,626
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-06-30	$0
Total interest from all sources	2011-06-30	$5,453,232
Total dividends received (eg from common stock, registered investment company shares)	2011-06-30	$3,424,674
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-06-30	$3,424,674
Was this plan covered by a fidelity bond	2011-06-30	Yes
Value of fidelity bond cover	2011-06-30	$5,000,000
If this is an individual account plan, was there a blackout period	2011-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-06-30	No
Contributions received from participants	2011-06-30	$25,252,929
Participant contributions at end of year	2011-06-30	$160,591
Participant contributions at beginning of year	2011-06-30	$175,339
Income. Received or receivable in cash from other sources (including rollovers)	2011-06-30	$1,374,004
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Value of net income/loss	2011-06-30	$72,155,586
Value of net assets at end of year (total assets less liabilities)	2011-06-30	$509,377,212
Value of net assets at beginning of year (total assets less liabilities)	2011-06-30	$437,221,626
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-06-30	No
Were any leases to which the plan was party in default or uncollectible	2011-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-06-30	$349,458,929
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-06-30	$278,292,796
Value of interest in pooled separate accounts at end of year	2011-06-30	$9,047,016
Value of interest in pooled separate accounts at beginning of year	2011-06-30	$6,511,691
Interest earned on other investments	2011-06-30	$5,453,232
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-06-30	$150,710,676
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-06-30	$152,241,800
Expenses. Payments to insurance carriers foe the provision of benefits	2011-06-30	$2,624,380
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-06-30	$69,257,759
Net investment gain/loss from pooled separate accounts	2011-06-30	$1,392,041
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-06-30	No
Was there a failure to transmit to the plan any participant contributions	2011-06-30	No
Has the plan failed to provide any benefit when due under the plan	2011-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-06-30	$31,374,673
Did the plan have assets held for investment	2011-06-30	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	2011-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-06-30	Disclaimer
Accountancy firm name	2011-06-30	BUTLER & BURKE, LLP
Accountancy firm EIN	2011-06-30	561138530
2010 : TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-06-30	$0

Form 5500 Responses for TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES

2011: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Submission has been amended	No
2011-07-01	This submission is the final filing	Yes
2011-07-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2011-07-01	Plan is a collectively bargained plan	No
2011-07-01	Plan funding arrangement – Insurance	Yes
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement – Insurance	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2010: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2010 form 5500 responses
2010-07-01	Type of plan entity	Single employer plan
2010-07-01	Submission has been amended	No
2010-07-01	This submission is the final filing	No
2010-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-07-01	Plan is a collectively bargained plan	No
2010-07-01	Plan funding arrangement – Insurance	Yes
2010-07-01	Plan funding arrangement – Trust	Yes
2010-07-01	Plan benefit arrangement – Insurance	Yes
2010-07-01	Plan benefit arrangement - Trust	Yes
2009: TAX-DEFERRED ANNUITY PLAN OF WAKE FOREST UNIVERSITY HEALTH SCIENCES 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	No
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	No
2009-07-01	Plan funding arrangement – Insurance	Yes
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement – Insurance	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes

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Company Name:	WAKE FOREST UNIVERSITY HEALTH SCIENCES
Employer identification number (EIN):	223849199
NAIC Classification:	611000

Jurisdiction of Incorporation:	North Carolina Secretary of State
Incorporation Date:
Company Identification Number:	0610112