401k Plan data: OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN plan

OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 401k Plan overview

Plan Name	OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN
Plan identification number	028

OMNICARE EMPLOYEES SAVINGS AND INVESTMENT 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.
Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an 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)).
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

CVS HEALTH CORP has sponsored the creation of one or more 401k plans.

Company Name: CVS HEALTH CORP

Employer identification number (EIN): 050494040

NAIC Classification: 446110
NAIC Description: Pharmacies and Drug Stores

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
028 2016-01-01 ROBERTA JOHNNENE
028 2015-01-01 CANDACE JODICE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
028	2016-01-01	ROBERTA JOHNNENE
028	2015-01-01	CANDACE JODICE

Plan Statistics for OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN

401k plan membership statisitcs for OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN

Measure Date Value
2016: OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 14,731
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 434
2015: OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 17,042
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 11,397
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 3,249
Total of all active and inactive participants 2015-01-01 14,646
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 85
Total participants 2015-01-01 14,731
Number of participants with account balances 2015-01-01 8,379
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 601

Measure	Date	Value
2016: OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	14,731
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	434
2015: OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	17,042
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	11,397
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	3,249
Total of all active and inactive participants	2015-01-01	14,646
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	85
Total participants	2015-01-01	14,731
Number of participants with account balances	2015-01-01	8,379
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	601

Financial Data on OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN

Measure	Date	Value
2016 : OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$502,494,403
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$2,111,576
Total income from all sources (including contributions)	2016-12-31	$85,332,795
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$104,017,398
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$103,339,761
Value of total corrective distributions	2016-12-31	$8,409
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$39,529,861
Value of total assets at end of year	2016-12-31	$0
Value of total assets at beginning of year	2016-12-31	$523,290,582
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$669,228
Total interest from all sources	2016-12-31	$204,967
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$15,414,163
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$15,414,163
Administrative expenses professional fees incurred	2016-12-31	$103,355
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$29,109,504
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$4,874,940
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$893,835
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$12,844,031
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,594,681
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$2,111,576
Other income not declared elsewhere	2016-12-31	$490,052
Administrative expenses (other) incurred	2016-12-31	$498,042
Total non interest bearing cash at end of year	2016-12-31	$0
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-18,684,603
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$521,179,006
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$67,831
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$397,335,604
Interest on participant loans	2016-12-31	$204,967
Value of interest in common/collective trusts at end of year	2016-12-31	$0
Value of interest in common/collective trusts at beginning of year	2016-12-31	$99,014,980
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$8,011,558
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$8,011,558
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$25,174,504
Net investment gain or loss from common/collective trusts	2016-12-31	$4,519,248
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$8,825,676
Employer contributions (assets) at end of year	2016-12-31	$0
Employer contributions (assets) at beginning of year	2016-12-31	$315,634
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$103,339,761
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	2016-12-31	Yes
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	PLANTE & MORAN, PLLC
Accountancy firm EIN	2016-12-31	381357951
2015 : OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-23,418,170
Total unrealized appreciation/depreciation of assets	2015-12-31	$-23,418,170
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$2,111,576
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$2,205,471
Total income from all sources (including contributions)	2015-12-31	$60,431,144
Total loss/gain on sale of assets	2015-12-31	$45,024,760
Total of all expenses incurred	2015-12-31	$73,322,632
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$70,751,162
Value of total corrective distributions	2015-12-31	$2,126,429
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$40,154,002
Value of total assets at end of year	2015-12-31	$523,290,582
Value of total assets at beginning of year	2015-12-31	$536,275,965
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$445,041
Total interest from all sources	2015-12-31	$764,710
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$21,983,585
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$21,983,585
Administrative expenses professional fees incurred	2015-12-31	$19,115
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$32,074,146
Participant contributions at end of year	2015-12-31	$4,874,940
Participant contributions at beginning of year	2015-12-31	$4,701,094
Participant contributions at end of year	2015-12-31	$893,835
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$12,844,031
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$11,825,461
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,654,156
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$12,429
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$2,111,576
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$2,205,471
Other income not declared elsewhere	2015-12-31	$-768,246
Administrative expenses (other) incurred	2015-12-31	$406,459
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-12,891,488
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$521,179,006
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$534,070,494
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$19,467
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$397,335,604
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$416,768,597
Interest on participant loans	2015-12-31	$184,222
Value of interest in common/collective trusts at end of year	2015-12-31	$99,014,980
Value of interest in common/collective trusts at beginning of year	2015-12-31	$29,177,566
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$8,011,558
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$7,824,028
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$7,824,028
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$580,488
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-20,940,202
Net investment gain or loss from common/collective trusts	2015-12-31	$-2,369,295
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$0
Assets. Invements in employer securities at beginning of year	2015-12-31	$65,966,790
Contributions received in cash from employer	2015-12-31	$6,425,700
Employer contributions (assets) at end of year	2015-12-31	$315,634
Employer contributions (assets) at beginning of year	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$70,751,162
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$91,935,557
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$46,910,797
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	PLANTE & MORAN, PLLC
Accountancy firm EIN	2015-12-31	381357951

Form 5500 Responses for OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN

2016: OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

OMNICARE EMPLOYEES SAVINGS AND INVESTMENT PLAN [EIN = 311001351]

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Company Name:	CVS HEALTH CORP
Employer identification number (EIN):	050494040
NAIC Classification:	446110
NAIC Description:	Pharmacies and Drug Stores