401k Plan data: SEARS HOLDINGS 401(K) SAVINGS PLAN plan

SEARS HOLDINGS 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	SEARS HOLDINGS 401(K) SAVINGS PLAN
Plan identification number	001

SEARS HOLDINGS 401(K) SAVINGS 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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Participant-directed brokerage accounts provided as an investment option under the plan.
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

SEARS, ROEBUCK, AND CO. has sponsored the creation of one or more 401k plans.

Company Name: SEARS, ROEBUCK, AND CO.

Employer identification number (EIN): 361750680

NAIC Classification: 452300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SEARS HOLDINGS 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 ROBERT LYTER - MEMBER, ADMIN CMTE ROBERT LYTER - DIRECTOR, BENEFITS 2012-10-11
001 2010-01-01 ROBERT LYTER-DIRECTOR OF BENEFITS ROBERT LYTER-DIRECTOR OF BENEFITS 2011-10-16
001 2009-01-01 COLLEEN HELKER-MBR,ADMIN COMMITTEE MICHAEL S. PLECKI-VP, BENEFITS 2010-09-21

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2011-01-01	ROBERT LYTER - MEMBER, ADMIN CMTE	ROBERT LYTER - DIRECTOR, BENEFITS	2012-10-11
001	2010-01-01	ROBERT LYTER-DIRECTOR OF BENEFITS	ROBERT LYTER-DIRECTOR OF BENEFITS	2011-10-16
001	2009-01-01	COLLEEN HELKER-MBR,ADMIN COMMITTEE	MICHAEL S. PLECKI-VP, BENEFITS	2010-09-21

Plan Statistics for SEARS HOLDINGS 401(K) SAVINGS PLAN

401k plan membership statisitcs for SEARS HOLDINGS 401(K) SAVINGS PLAN

Measure Date Value
2011: SEARS HOLDINGS 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 278,823
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 228,733
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 18,597
Total of all active and inactive participants 2011-01-01 247,330
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 969
Total participants 2011-01-01 248,299
Number of participants with account balances 2011-01-01 76,813
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 2
2010: SEARS HOLDINGS 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 297,420
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 258,192
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 19,596
Total of all active and inactive participants 2010-01-01 277,788
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 1,035
Total participants 2010-01-01 278,823
Number of participants with account balances 2010-01-01 85,407
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 20
2009: SEARS HOLDINGS 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 374,526
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 275,925
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 20,566
Total of all active and inactive participants 2009-01-01 296,491
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 929
Total participants 2009-01-01 297,420
Number of participants with account balances 2009-01-01 92,870
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 62

Measure	Date	Value
2011: SEARS HOLDINGS 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	278,823
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	228,733
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	18,597
Total of all active and inactive participants	2011-01-01	247,330
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	969
Total participants	2011-01-01	248,299
Number of participants with account balances	2011-01-01	76,813
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	2
2010: SEARS HOLDINGS 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	297,420
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	258,192
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	19,596
Total of all active and inactive participants	2010-01-01	277,788
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	1,035
Total participants	2010-01-01	278,823
Number of participants with account balances	2010-01-01	85,407
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	20
2009: SEARS HOLDINGS 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	374,526
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	275,925
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	20,566
Total of all active and inactive participants	2009-01-01	296,491
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	929
Total participants	2009-01-01	297,420
Number of participants with account balances	2009-01-01	92,870
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	62

Financial Data on SEARS HOLDINGS 401(K) SAVINGS PLAN

Measure	Date	Value
2011 : SEARS HOLDINGS 401(K) SAVINGS 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	$51,246,083
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	$89,675,731
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$353,264,645
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$351,065,507
Expenses. Certain deemed distributions of participant loans	2011-12-31	$2,199,138
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$116,838,251
Value of total assets at end of year	2011-12-31	$2,973,484,096
Value of total assets at beginning of year	2011-12-31	$3,288,319,093
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$2,644,728
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$20,000,000
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	$114,517,122
Participant contributions at end of year	2011-12-31	$56,887,006
Participant contributions at beginning of year	2011-12-31	$61,536,385
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$2,321,129
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	$-263,588,914
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$2,973,484,096
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$3,288,319,093
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
Interest on participant loans	2011-12-31	$2,644,728
Value of interest in master investment trust accounts at end of year	2011-12-31	$2,916,597,090
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$3,226,782,708
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	$351,065,507
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	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	DELOITTE & TOUCHE LLP
Accountancy firm EIN	2011-12-31	133891517
2010 : SEARS HOLDINGS 401(K) SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$18
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	$431,190,187
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$332,883,061
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$330,090,877
Expenses. Certain deemed distributions of participant loans	2010-12-31	$2,792,184
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$125,439,129
Value of total assets at end of year	2010-12-31	$3,288,319,093
Value of total assets at beginning of year	2010-12-31	$3,190,011,949
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$3,298,232
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$20,000,000
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	$121,756,705
Participant contributions at end of year	2010-12-31	$61,536,385
Participant contributions at beginning of year	2010-12-31	$59,840,945
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$3,682,424
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	$98,307,126
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,288,319,093
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,190,011,949
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
Interest on participant loans	2010-12-31	$3,298,232
Value of interest in master investment trust accounts at end of year	2010-12-31	$3,226,782,708
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$3,130,171,004
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$330,090,877
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	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	DELOITTE & TOUCHE
Accountancy firm EIN	2010-12-31	133891517
2009 : SEARS HOLDINGS 401(K) SAVINGS 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 SEARS HOLDINGS 401(K) SAVINGS PLAN

2011: SEARS HOLDINGS 401(K) SAVINGS 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SEARS HOLDINGS 401(K) SAVINGS 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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SEARS HOLDINGS 401(K) SAVINGS 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SEARS, ROEBUCK, AND CO.
Employer identification number (EIN):	361750680
NAIC Classification:	452300