401k Plan data: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN plan

CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 401k Plan overview

Plan Name	CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN
Plan identification number	004

CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Plan covered by PBGC that was terminated and closed out for PBGC purposes - Before the end of the plan year (or a prior plan year), (1) the plan terminated in a standard (or distress) termination and completed the distribution of plan assets in satisfaction of all benefit liabilities (or all ERISA Title IV benefits for distress termination); or (2) a trustee was appointed for a terminated plan pursuant to ERISA section 4042.
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).

401k Sponsoring company profile

CALIFORNIA INSTITUTE OF TECHNOLOGY has sponsored the creation of one or more 401k plans.

Company Name: CALIFORNIA INSTITUTE OF TECHNOLOGY

Employer identification number (EIN): 951643307

NAIC Classification: 611000

Additional information about CALIFORNIA INSTITUTE OF TECHNOLOGY

Jurisdiction of Incorporation: California Department of State

Incorporation Date:

Company Identification Number: C0020720

More information about CALIFORNIA INSTITUTE OF TECHNOLOGY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2013-01-01 MICHELLE JAROSS MICHELLE JAROSS 2014-04-25
004 2012-01-01 MICHELLE JAROSS MICHELLE JAROSS 2013-10-04
004 2011-01-01 JULIA M. MCCALLIN, AVP, HR SHARON E. PATTERSON 2012-10-05
004 2009-01-01 JULIA M. MCCALLIN, AVP, HR

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
004	2013-01-01	MICHELLE JAROSS	MICHELLE JAROSS	2014-04-25
004	2012-01-01	MICHELLE JAROSS	MICHELLE JAROSS	2013-10-04
004	2011-01-01	JULIA M. MCCALLIN, AVP, HR	SHARON E. PATTERSON	2012-10-05
004	2009-01-01	JULIA M. MCCALLIN, AVP, HR

Plan Statistics for CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN

401k plan membership statisitcs for CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN

Measure Date Value
2013: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 9
Number of retired or separated participants receiving benefits 2012-01-01 12
Number of other retired or separated participants entitled to future benefits 2012-01-01 4
Total of all active and inactive participants 2012-01-01 25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 2
Total participants 2012-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 43
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 14
Number of retired or separated participants receiving benefits 2011-01-01 9
Number of other retired or separated participants entitled to future benefits 2011-01-01 17
Total of all active and inactive participants 2011-01-01 40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 2
Total participants 2011-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 15
Number of retired or separated participants receiving benefits 2009-01-01 9
Number of other retired or separated participants entitled to future benefits 2009-01-01 20
Total of all active and inactive participants 2009-01-01 44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	9
Number of retired or separated participants receiving benefits	2012-01-01	12
Number of other retired or separated participants entitled to future benefits	2012-01-01	4
Total of all active and inactive participants	2012-01-01	25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	2
Total participants	2012-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	43
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	14
Number of retired or separated participants receiving benefits	2011-01-01	9
Number of other retired or separated participants entitled to future benefits	2011-01-01	17
Total of all active and inactive participants	2011-01-01	40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	2
Total participants	2011-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	15
Number of retired or separated participants receiving benefits	2009-01-01	9
Number of other retired or separated participants entitled to future benefits	2009-01-01	20
Total of all active and inactive participants	2009-01-01	44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN

Measure	Date	Value
2013 : CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2013 401k financial data
Total income from all sources	2013-08-16	$122,139
Expenses. Total of all expenses incurred	2013-08-16	$1,202,103
Benefits paid (including direct rollovers)	2013-08-16	$1,148,240
Total plan assets at end of year	2013-08-16	$0
Total plan assets at beginning of year	2013-08-16	$1,079,964
Value of fidelity bond covering the plan	2013-08-16	$10,000,000
Expenses. Other expenses not covered elsewhere	2013-08-16	$53,863
Other income received	2013-08-16	$11,728
Net income (gross income less expenses)	2013-08-16	$-1,079,964
Net plan assets at end of year (total assets less liabilities)	2013-08-16	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-08-16	$1,079,964
Total contributions received or receivable from employer(s)	2013-08-16	$110,411
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-08-16	$0
2012 : CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$500,479
Expenses. Total of all expenses incurred	2012-12-31	$3,683,119
Benefits paid (including direct rollovers)	2012-12-31	$3,668,053
Total plan assets at end of year	2012-12-31	$1,079,964
Total plan assets at beginning of year	2012-12-31	$4,262,604
Value of fidelity bond covering the plan	2012-12-31	$10,000,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$15,066
Other income received	2012-12-31	$200,479
Net income (gross income less expenses)	2012-12-31	$-3,182,640
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,079,964
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$4,262,604
Total contributions received or receivable from employer(s)	2012-12-31	$300,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$614,601
Expenses. Total of all expenses incurred	2011-12-31	$137,787
Benefits paid (including direct rollovers)	2011-12-31	$127,038
Total plan assets at end of year	2011-12-31	$4,262,604
Total plan assets at beginning of year	2011-12-31	$3,785,790
Value of fidelity bond covering the plan	2011-12-31	$10,000,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$10,749
Other income received	2011-12-31	$107,601
Net income (gross income less expenses)	2011-12-31	$476,814
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$4,262,604
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,785,790
Total contributions received or receivable from employer(s)	2011-12-31	$507,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2010 401k financial data
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$661,491
Expenses. Total of all expenses incurred	2010-12-31	$126,573
Benefits paid (including direct rollovers)	2010-12-31	$118,023
Total plan assets at end of year	2010-12-31	$3,785,790
Total plan assets at beginning of year	2010-12-31	$3,250,872
Value of fidelity bond covering the plan	2010-12-31	$10,000,000
Expenses. Other expenses not covered elsewhere	2010-12-31	$8,550
Other income received	2010-12-31	$215,491
Net income (gross income less expenses)	2010-12-31	$534,918
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,785,790
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,250,872
Total contributions received or receivable from employer(s)	2010-12-31	$446,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION 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 CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN

2013: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION 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	No
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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CALIFORNIA INSTITUTE OF TECHNOLOGY PENSION 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 – 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:	CALIFORNIA INSTITUTE OF TECHNOLOGY
Employer identification number (EIN):	951643307
NAIC Classification:	611000

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:
Company Identification Number:	C0020720