401k Plan data: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN plan

OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 401k Plan overview

Plan Name	OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN
Plan identification number	003

OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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

OXFORD UNIVERSITY PRESS, INC. has sponsored the creation of one or more 401k plans.

Company Name: OXFORD UNIVERSITY PRESS, INC.

Employer identification number (EIN): 237398718

NAIC Classification: 511130
NAIC Description: Book Publishers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2011-04-01 SCOT KUEHM
003 2010-04-01 SCOT KUEHM
003 2009-04-01 MARILYN OKRENT

Plan id#	Filing Submission Date	Name of Administrator
003	2011-04-01	SCOT KUEHM
003	2010-04-01	SCOT KUEHM
003	2009-04-01	MARILYN OKRENT

Plan Statistics for OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN

401k plan membership statisitcs for OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN

Measure Date Value
2011: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-04-01 1,340
Total number of active participants reported on line 7a of the Form 5500 2011-04-01 647
Number of retired or separated participants receiving benefits 2011-04-01 0
Number of other retired or separated participants entitled to future benefits 2011-04-01 697
Total of all active and inactive participants 2011-04-01 1,344
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-04-01 1
Total participants 2011-04-01 1,345
Number of participants with account balances 2011-04-01 1,345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-04-01 85
2010: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-04-01 1,399
Total number of active participants reported on line 7a of the Form 5500 2010-04-01 715
Number of retired or separated participants receiving benefits 2010-04-01 0
Number of other retired or separated participants entitled to future benefits 2010-04-01 625
Total of all active and inactive participants 2010-04-01 1,340
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-04-01 0
Total participants 2010-04-01 1,340
Number of participants with account balances 2010-04-01 1,340
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-04-01 58
2009: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-04-01 1,200
Total number of active participants reported on line 7a of the Form 5500 2009-04-01 785
Number of other retired or separated participants entitled to future benefits 2009-04-01 612
Total of all active and inactive participants 2009-04-01 1,397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-04-01 2
Total participants 2009-04-01 1,399
Number of participants with account balances 2009-04-01 1,225
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-04-01 92

Measure	Date	Value
2011: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-04-01	1,340
Total number of active participants reported on line 7a of the Form 5500	2011-04-01	647
Number of retired or separated participants receiving benefits	2011-04-01	0
Number of other retired or separated participants entitled to future benefits	2011-04-01	697
Total of all active and inactive participants	2011-04-01	1,344
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-04-01	1
Total participants	2011-04-01	1,345
Number of participants with account balances	2011-04-01	1,345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-04-01	85
2010: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-04-01	1,399
Total number of active participants reported on line 7a of the Form 5500	2010-04-01	715
Number of retired or separated participants receiving benefits	2010-04-01	0
Number of other retired or separated participants entitled to future benefits	2010-04-01	625
Total of all active and inactive participants	2010-04-01	1,340
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-04-01	0
Total participants	2010-04-01	1,340
Number of participants with account balances	2010-04-01	1,340
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-04-01	58
2009: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-04-01	1,200
Total number of active participants reported on line 7a of the Form 5500	2009-04-01	785
Number of other retired or separated participants entitled to future benefits	2009-04-01	612
Total of all active and inactive participants	2009-04-01	1,397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-04-01	2
Total participants	2009-04-01	1,399
Number of participants with account balances	2009-04-01	1,225
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-04-01	92

Financial Data on OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN

Measure	Date	Value
2012 : OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-03-31	$3,881,210
Total of all expenses incurred	2012-03-31	$2,201,813
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-03-31	$2,175,843
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-03-31	$2,317,467
Value of total assets at end of year	2012-03-31	$40,192,442
Value of total assets at beginning of year	2012-03-31	$38,513,045
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-03-31	$25,970
Total interest from all sources	2012-03-31	$457,518
Total dividends received (eg from common stock, registered investment company shares)	2012-03-31	$166,520
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-03-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-03-31	$166,520
Administrative expenses professional fees incurred	2012-03-31	$10,800
Was this plan covered by a fidelity bond	2012-03-31	Yes
Value of fidelity bond cover	2012-03-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-03-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-03-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-03-31	$0
Minimum employer required contribution for this plan year	2012-03-31	$2,235,448
Amount contributed by the employer to the plan for this plan year	2012-03-31	$2,235,448
Were there any nonexempt tranactions with any party-in-interest	2012-03-31	No
Income. Received or receivable in cash from other sources (including rollovers)	2012-03-31	$12,661
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-03-31	$2,896
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-03-31	$0
Administrative expenses (other) incurred	2012-03-31	$3,319
Total non interest bearing cash at end of year	2012-03-31	$13,206
Total non interest bearing cash at beginning of year	2012-03-31	$11,072
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-03-31	No
Value of net income/loss	2012-03-31	$1,679,397
Value of net assets at end of year (total assets less liabilities)	2012-03-31	$40,192,442
Value of net assets at beginning of year (total assets less liabilities)	2012-03-31	$38,513,045
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-03-31	No
Were any leases to which the plan was party in default or uncollectible	2012-03-31	No
Investment advisory and management fees	2012-03-31	$11,851
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-03-31	$27,799,236
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-03-31	$26,228,129
Value of interest in pooled separate accounts at end of year	2012-03-31	$1,319,613
Value of interest in pooled separate accounts at beginning of year	2012-03-31	$1,117,644
Interest earned on other investments	2012-03-31	$457,518
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-03-31	$11,038,218
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-03-31	$11,129,740
Expenses. Payments to insurance carriers foe the provision of benefits	2012-03-31	$110,688
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-03-31	$834,656
Net investment gain/loss from pooled separate accounts	2012-03-31	$105,049
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-03-31	No
Was there a failure to transmit to the plan any participant contributions	2012-03-31	No
Has the plan failed to provide any benefit when due under the plan	2012-03-31	No
Contributions received in cash from employer	2012-03-31	$2,304,806
Employer contributions (assets) at end of year	2012-03-31	$19,273
Employer contributions (assets) at beginning of year	2012-03-31	$26,460
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-03-31	$2,065,155
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	2012-03-31	No
Did the plan have assets held for investment	2012-03-31	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	2012-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-03-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-03-31	Disclaimer
Accountancy firm name	2012-03-31	MCMILLAN, PATE & COMPANY, L.L.P.
Accountancy firm EIN	2012-03-31	561945391
2011 : OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-03-31	$6,016,178
Total of all expenses incurred	2011-03-31	$1,877,737
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-03-31	$1,871,464
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-03-31	$2,307,434
Value of total assets at end of year	2011-03-31	$38,513,045
Value of total assets at beginning of year	2011-03-31	$34,374,604
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-03-31	$6,273
Total interest from all sources	2011-03-31	$431,835
Total dividends received (eg from common stock, registered investment company shares)	2011-03-31	$133,700
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-03-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-03-31	$133,700
Was this plan covered by a fidelity bond	2011-03-31	Yes
Value of fidelity bond cover	2011-03-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-03-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-03-31	$0
Funding deficiency by the employer to the plan for this plan year	2011-03-31	$0
Minimum employer required contribution for this plan year	2011-03-31	$1,874,089
Amount contributed by the employer to the plan for this plan year	2011-03-31	$1,874,089
Were there any nonexempt tranactions with any party-in-interest	2011-03-31	No
Administrative expenses (other) incurred	2011-03-31	$379
Total non interest bearing cash at end of year	2011-03-31	$11,072
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-03-31	No
Value of net income/loss	2011-03-31	$4,138,441
Value of net assets at end of year (total assets less liabilities)	2011-03-31	$38,513,045
Value of net assets at beginning of year (total assets less liabilities)	2011-03-31	$34,374,604
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-03-31	No
Were any leases to which the plan was party in default or uncollectible	2011-03-31	No
Investment advisory and management fees	2011-03-31	$5,894
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-03-31	$26,228,129
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-03-31	$22,044,099
Value of interest in pooled separate accounts at end of year	2011-03-31	$1,117,644
Value of interest in pooled separate accounts at beginning of year	2011-03-31	$987,587
Interest earned on other investments	2011-03-31	$431,835
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-03-31	$11,129,740
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-03-31	$11,326,418
Expenses. Payments to insurance carriers foe the provision of benefits	2011-03-31	$330,118
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-03-31	$2,997,555
Net investment gain/loss from pooled separate accounts	2011-03-31	$145,654
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-03-31	No
Was there a failure to transmit to the plan any participant contributions	2011-03-31	No
Has the plan failed to provide any benefit when due under the plan	2011-03-31	No
Contributions received in cash from employer	2011-03-31	$2,307,434
Employer contributions (assets) at end of year	2011-03-31	$26,460
Employer contributions (assets) at beginning of year	2011-03-31	$16,500
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-03-31	$1,541,346
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	2011-03-31	No
Did the plan have assets held for investment	2011-03-31	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	2011-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-03-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-03-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-03-31	Disclaimer
Accountancy firm name	2011-03-31	MCMILLAN, PATE & COMPANY, L.L.P.
Accountancy firm EIN	2011-03-31	561945391
2010 : OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2010 401k financial data
Funding deficiency by the employer to the plan for this plan year	2010-03-31	$0
Minimum employer required contribution for this plan year	2010-03-31	$1,945,831
Amount contributed by the employer to the plan for this plan year	2010-03-31	$1,945,831

Form 5500 Responses for OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN

2011: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2011 form 5500 responses
2011-04-01	Type of plan entity	Single employer plan
2011-04-01	Plan funding arrangement – Insurance	Yes
2011-04-01	Plan funding arrangement – Trust	Yes
2011-04-01	Plan benefit arrangement – Insurance	Yes
2011-04-01	Plan benefit arrangement - Trust	Yes
2010: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2010 form 5500 responses
2010-04-01	Type of plan entity	Single employer plan
2010-04-01	Submission has been amended	Yes
2010-04-01	Plan funding arrangement – Insurance	Yes
2010-04-01	Plan funding arrangement – Trust	Yes
2010-04-01	Plan benefit arrangement – Insurance	Yes
2010-04-01	Plan benefit arrangement - Trust	Yes
2009: OXFORD UNIVERSITY PRESS, INC. DEFINED CONTRIBUTION RETIREMENT PLAN 2009 form 5500 responses
2009-04-01	Type of plan entity	Single employer plan
2009-04-01	This submission is the final filing	No
2009-04-01	Plan funding arrangement – Insurance	Yes
2009-04-01	Plan funding arrangement – Trust	Yes
2009-04-01	Plan benefit arrangement – Insurance	Yes
2009-04-01	Plan benefit arrangement - Trust	Yes

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Company Name:	OXFORD UNIVERSITY PRESS, INC.
Employer identification number (EIN):	237398718
NAIC Classification:	511130
NAIC Description:	Book Publishers