401k Plan data: SUMTOTAL SYSTEMS, INC. 401(K) PLAN plan

SUMTOTAL SYSTEMS, INC. 401(K) PLAN 401k Plan overview

Plan Name	SUMTOTAL SYSTEMS, INC. 401(K) PLAN
Plan identification number	001

SUMTOTAL SYSTEMS, INC. 401(K) 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.
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 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

SUMTOTAL SYSTEMS, INC. has sponsored the creation of one or more 401k plans.

Company Name: SUMTOTAL SYSTEMS, INC.

Employer identification number (EIN): 421607228

NAIC Classification: 541511
NAIC Description: Custom Computer Programming Services

Additional information about SUMTOTAL SYSTEMS, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3716692

More information about SUMTOTAL SYSTEMS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SUMTOTAL SYSTEMS, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 SHANNON TOOMEY
001 2014-01-01 SHANNON TOOMEY
001 2013-01-01 SHANNON TOOMEY
001 2012-01-01 SHANNON TOOMEY SHANNON TOOMEY 2013-09-24
001 2011-01-01 SHANNON TOOMEY
001 2010-01-01 SHANNON TOOMEY
001 2009-01-01 SHANNON TOOMEY

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	SHANNON TOOMEY
001	2014-01-01	SHANNON TOOMEY
001	2013-01-01	SHANNON TOOMEY
001	2012-01-01	SHANNON TOOMEY	SHANNON TOOMEY	2013-09-24
001	2011-01-01	SHANNON TOOMEY
001	2010-01-01	SHANNON TOOMEY
001	2009-01-01	SHANNON TOOMEY

Plan Statistics for SUMTOTAL SYSTEMS, INC. 401(K) PLAN

401k plan membership statisitcs for SUMTOTAL SYSTEMS, INC. 401(K) PLAN

Measure Date Value
2015: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 847
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 833
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 554
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 293
Total of all active and inactive participants 2014-01-01 847
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 847
Number of participants with account balances 2014-01-01 794
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 71
2013: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 836
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 542
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 291
Total of all active and inactive participants 2013-01-01 833
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 833
Number of participants with account balances 2013-01-01 673
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 57
2012: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 961
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 547
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 288
Total of all active and inactive participants 2012-01-01 835
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 836
Number of participants with account balances 2012-01-01 613
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 48
2011: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 627
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 661
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 299
Total of all active and inactive participants 2011-01-01 960
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 961
Number of participants with account balances 2011-01-01 609
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 38
2010: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 558
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 328
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 299
Total of all active and inactive participants 2010-01-01 627
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 627
Number of participants with account balances 2010-01-01 494
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 23
2009: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 693
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 228
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 330
Total of all active and inactive participants 2009-01-01 558
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 558
Number of participants with account balances 2009-01-01 512
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 11

Measure	Date	Value
2015: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	847
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	833
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	554
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	293
Total of all active and inactive participants	2014-01-01	847
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	847
Number of participants with account balances	2014-01-01	794
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	71
2013: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	836
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	542
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	291
Total of all active and inactive participants	2013-01-01	833
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	833
Number of participants with account balances	2013-01-01	673
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	57
2012: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	961
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	547
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	288
Total of all active and inactive participants	2012-01-01	835
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	836
Number of participants with account balances	2012-01-01	613
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	48
2011: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	627
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	661
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	299
Total of all active and inactive participants	2011-01-01	960
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	961
Number of participants with account balances	2011-01-01	609
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	38
2010: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	558
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	328
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	299
Total of all active and inactive participants	2010-01-01	627
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	627
Number of participants with account balances	2010-01-01	494
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	23
2009: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	693
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	228
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	330
Total of all active and inactive participants	2009-01-01	558
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	558
Number of participants with account balances	2009-01-01	512
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	11

Financial Data on SUMTOTAL SYSTEMS, INC. 401(K) PLAN

Measure	Date	Value
2015 : SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-07-01	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-07-01	$0
Total unrealized appreciation/depreciation of assets	2015-07-01	$0
Total transfer of assets to this plan	2015-07-01	$0
Total transfer of assets from this plan	2015-07-01	$33,709,988
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-07-01	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-07-01	$0
Expenses. Interest paid	2015-07-01	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-07-01	$0
Total income from all sources (including contributions)	2015-07-01	$4,831,923
Total loss/gain on sale of assets	2015-07-01	$1,121
Total of all expenses incurred	2015-07-01	$11,282,824
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-07-01	$11,277,126
Expenses. Certain deemed distributions of participant loans	2015-07-01	$0
Value of total corrective distributions	2015-07-01	$3,674
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-07-01	$3,261,956
Value of total assets at end of year	2015-07-01	$0
Value of total assets at beginning of year	2015-07-01	$40,160,889
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-07-01	$2,024
Total income from rents	2015-07-01	$0
Total interest from all sources	2015-07-01	$9,328
Total dividends received (eg from common stock, registered investment company shares)	2015-07-01	$518,179
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-07-01	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-07-01	$0
Total dividends received from registered investment company shares (eg mutual funds)	2015-07-01	$517,771
Assets. Real estate other than employer real property at end of year	2015-07-01	$0
Assets. Real estate other than employer real property at beginning of year	2015-07-01	$0
Administrative expenses professional fees incurred	2015-07-01	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-07-01	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-07-01	$0
Was this plan covered by a fidelity bond	2015-07-01	Yes
Value of fidelity bond cover	2015-07-01	$500,000
If this is an individual account plan, was there a blackout period	2015-07-01	No
Were there any nonexempt tranactions with any party-in-interest	2015-07-01	No
Contributions received from participants	2015-07-01	$2,390,727
Participant contributions at end of year	2015-07-01	$0
Participant contributions at beginning of year	2015-07-01	$405,803
Participant contributions at end of year	2015-07-01	$0
Participant contributions at beginning of year	2015-07-01	$0
Assets. Other investments not covered elsewhere at end of year	2015-07-01	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-07-01	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-07-01	$133,939
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-07-01	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-07-01	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-07-01	$0
Assets. Loans (other than to participants) at end of year	2015-07-01	$0
Assets. Loans (other than to participants) at beginning of year	2015-07-01	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-07-01	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-07-01	$0
Other income not declared elsewhere	2015-07-01	$0
Administrative expenses (other) incurred	2015-07-01	$1,750
Liabilities. Value of operating payables at end of year	2015-07-01	$0
Liabilities. Value of operating payables at beginning of year	2015-07-01	$0
Total non interest bearing cash at end of year	2015-07-01	$0
Total non interest bearing cash at beginning of year	2015-07-01	$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	2015-07-01	No
Income. Non cash contributions	2015-07-01	$0
Value of net income/loss	2015-07-01	$-6,450,901
Value of net assets at end of year (total assets less liabilities)	2015-07-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-07-01	$40,160,889
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-07-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-07-01	No
Were any leases to which the plan was party in default or uncollectible	2015-07-01	No
Assets. partnership/joint venture interests at end of year	2015-07-01	$0
Assets. partnership/joint venture interests at beginning of year	2015-07-01	$0
Investment advisory and management fees	2015-07-01	$274
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-07-01	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-07-01	$37,743,470
Value of interest in pooled separate accounts at end of year	2015-07-01	$0
Value of interest in pooled separate accounts at beginning of year	2015-07-01	$0
Interest on participant loans	2015-07-01	$9,328
Income. Interest from loans (other than to participants)	2015-07-01	$0
Interest earned on other investments	2015-07-01	$0
Income. Interest from US Government securities	2015-07-01	$0
Income. Interest from corporate debt instruments	2015-07-01	$0
Value of interest in master investment trust accounts at end of year	2015-07-01	$0
Value of interest in master investment trust accounts at beginning of year	2015-07-01	$0
Value of interest in common/collective trusts at end of year	2015-07-01	$0
Value of interest in common/collective trusts at beginning of year	2015-07-01	$1,951,926
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-07-01	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-07-01	$7,253
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-07-01	$7,253
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-07-01	$0
Assets. Value of investments in 103.12 investment entities at end of year	2015-07-01	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-07-01	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-07-01	$0
Asset value of US Government securities at end of year	2015-07-01	$0
Asset value of US Government securities at beginning of year	2015-07-01	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-07-01	$1,059,032
Net investment gain/loss from pooled separate accounts	2015-07-01	$0
Net investment gain or loss from common/collective trusts	2015-07-01	$-17,693
Net gain/loss from 103.12 investment entities	2015-07-01	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-07-01	No
Was there a failure to transmit to the plan any participant contributions	2015-07-01	No
Has the plan failed to provide any benefit when due under the plan	2015-07-01	No
Assets. Invements in employer securities at end of year	2015-07-01	$0
Assets. Invements in employer securities at beginning of year	2015-07-01	$0
Assets. Value of employer real property at end of year	2015-07-01	$0
Assets. Value of employer real property at beginning of year	2015-07-01	$0
Contributions received in cash from employer	2015-07-01	$737,290
Employer contributions (assets) at end of year	2015-07-01	$0
Employer contributions (assets) at beginning of year	2015-07-01	$0
Income. Dividends from preferred stock	2015-07-01	$0
Income. Dividends from common stock	2015-07-01	$408
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-07-01	$11,277,126
Asset. Corporate debt instrument preferred debt at end of year	2015-07-01	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-07-01	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-07-01	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-07-01	$0
Contract administrator fees	2015-07-01	$0
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	2015-07-01	No
Assets. Corporate common stocks other than exployer securities at end of year	2015-07-01	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-07-01	$52,437
Liabilities. Value of benefit claims payable at end of year	2015-07-01	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-07-01	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-07-01	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-07-01	$0
Did the plan have assets held for investment	2015-07-01	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	2015-07-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-07-01	Yes
Aggregate proceeds on sale of assets	2015-07-01	$72,769
Aggregate carrying amount (costs) on sale of assets	2015-07-01	$71,648
Liabilities. Value of acquisition indebtedness at end of year	2015-07-01	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-07-01	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-07-01	Yes
Opinion of an independent qualified public accountant for this plan	2015-07-01	Disclaimer
Accountancy firm name	2015-07-01	MCGLADREY LLP
Accountancy firm EIN	2015-07-01	420714325
2014 : SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$1,313
Total unrealized appreciation/depreciation of assets	2014-12-31	$1,313
Total transfer of assets to this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$7,543,195
Total loss/gain on sale of assets	2014-12-31	$-735
Total of all expenses incurred	2014-12-31	$4,312,876
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$4,141,653
Expenses. Certain deemed distributions of participant loans	2014-12-31	$36,415
Value of total corrective distributions	2014-12-31	$131,188
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$5,081,648
Value of total assets at end of year	2014-12-31	$40,160,889
Value of total assets at beginning of year	2014-12-31	$36,930,570
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$3,620
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$17,136
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$3,084,427
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$3,083,760
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$3,297,417
Participant contributions at end of year	2014-12-31	$405,803
Participant contributions at beginning of year	2014-12-31	$332,251
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$647,324
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$3,616
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$209
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$3,230,319
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$40,160,889
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$36,930,570
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$4
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$37,743,470
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$34,493,285
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$17,135
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$1,951,926
Value of interest in common/collective trusts at beginning of year	2014-12-31	$2,083,178
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$7,253
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$1,428
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$1,428
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$1
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-657,006
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$16,412
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$1,136,907
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$0
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$667
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$4,141,653
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$0
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	2014-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$52,437
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$20,219
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$56,191
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$56,926
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	RSM US LLP
Accountancy firm EIN	2014-12-31	420714325
2013 : SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$-326
Total unrealized appreciation/depreciation of assets	2013-12-31	$-326
Total transfer of assets to this plan	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$10,975,393
Total loss/gain on sale of assets	2013-12-31	$161
Total of all expenses incurred	2013-12-31	$3,706,676
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$3,657,606
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$46,112
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$4,322,624
Value of total assets at end of year	2013-12-31	$36,930,570
Value of total assets at beginning of year	2013-12-31	$29,661,853
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$2,958
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$13,857
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$1,335,827
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$1,335,760
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$3,010,738
Participant contributions at end of year	2013-12-31	$332,251
Participant contributions at beginning of year	2013-12-31	$289,598
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$444,787
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$2,958
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$209
Total non interest bearing cash at beginning of year	2013-12-31	$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	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$7,268,717
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$36,930,570
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$29,661,853
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$34,493,285
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$27,265,509
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$13,857
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$2,083,178
Value of interest in common/collective trusts at beginning of year	2013-12-31	$2,106,746
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$1,428
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,312,749
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$-9,499
Net gain/loss from 103.12 investment entities	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$867,099
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$0
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$67
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$3,657,606
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$0
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	2013-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$20,219
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$39,137
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$38,976
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MCGLADREY LLP
Accountancy firm EIN	2013-12-31	420714325
2012 : SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$8,166,722
Total of all expenses incurred	2012-12-31	$3,657,172
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,653,107
Value of total corrective distributions	2012-12-31	$1,742
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$4,674,165
Value of total assets at end of year	2012-12-31	$29,661,853
Value of total assets at beginning of year	2012-12-31	$25,152,303
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$2,323
Total interest from all sources	2012-12-31	$14,270
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$783,477
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$783,477
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$2,873,361
Participant contributions at end of year	2012-12-31	$289,598
Participant contributions at beginning of year	2012-12-31	$263,845
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$955,235
Administrative expenses (other) incurred	2012-12-31	$2,323
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$4,509,550
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$29,661,853
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$25,152,303
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$27,265,509
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$22,860,548
Interest on participant loans	2012-12-31	$14,270
Value of interest in common/collective trusts at end of year	2012-12-31	$2,106,746
Value of interest in common/collective trusts at beginning of year	2012-12-31	$2,027,910
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,658,621
Net investment gain or loss from common/collective trusts	2012-12-31	$36,189
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$845,569
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,653,107
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	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MCGLADREY LLP
Accountancy firm EIN	2012-12-31	420714325
2011 : SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2011 401k financial data
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	$4,123,958
Total of all expenses incurred	2011-12-31	$4,339,919
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$4,325,707
Value of total corrective distributions	2011-12-31	$3,091
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$4,933,262
Value of total assets at end of year	2011-12-31	$25,152,303
Value of total assets at beginning of year	2011-12-31	$25,368,264
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$11,121
Total interest from all sources	2011-12-31	$11,392
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$632,202
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	$632,202
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
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	$2,151,475
Participant contributions at end of year	2011-12-31	$263,845
Participant contributions at beginning of year	2011-12-31	$198,394
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$2,158,841
Administrative expenses (other) incurred	2011-12-31	$11,121
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	$-215,961
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$25,152,303
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$25,368,264
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	$22,860,548
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$23,173,406
Interest on participant loans	2011-12-31	$11,392
Value of interest in common/collective trusts at end of year	2011-12-31	$2,027,910
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,996,464
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,514,377
Net investment gain or loss from common/collective trusts	2011-12-31	$61,479
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
Contributions received in cash from employer	2011-12-31	$622,946
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$4,325,707
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	2011-12-31	No
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	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MCGLADREY
Accountancy firm EIN	2011-12-31	420714325
2010 : SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2010 401k financial data
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	$5,827,495
Total of all expenses incurred	2010-12-31	$5,253,962
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$5,216,769
Expenses. Certain deemed distributions of participant loans	2010-12-31	$25,789
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,551,723
Value of total assets at end of year	2010-12-31	$25,368,264
Value of total assets at beginning of year	2010-12-31	$24,794,731
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$11,404
Total interest from all sources	2010-12-31	$11,357
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$363,172
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$363,172
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
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	$1,459,788
Participant contributions at end of year	2010-12-31	$198,394
Participant contributions at beginning of year	2010-12-31	$249,499
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$680,810
Administrative expenses (other) incurred	2010-12-31	$11,404
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	$573,533
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$25,368,264
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$24,794,731
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$23,173,406
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$22,466,661
Interest on participant loans	2010-12-31	$11,357
Value of interest in common/collective trusts at end of year	2010-12-31	$1,996,464
Value of interest in common/collective trusts at beginning of year	2010-12-31	$2,078,571
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$2,815,214
Net investment gain or loss from common/collective trusts	2010-12-31	$86,029
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
Contributions received in cash from employer	2010-12-31	$411,125
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$5,216,769
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	2010-12-31	No
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	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MCGLADREY & PULLEN, LLP
Accountancy firm EIN	2010-12-31	420714325

Form 5500 Responses for SUMTOTAL SYSTEMS, INC. 401(K) PLAN

2015: SUMTOTAL SYSTEMS, INC. 401(K) 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	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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
2014: SUMTOTAL SYSTEMS, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SUMTOTAL SYSTEMS, INC. 401(K) 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	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SUMTOTAL SYSTEMS, INC. 401(K) 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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SUMTOTAL SYSTEMS, INC. 401(K) 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SUMTOTAL SYSTEMS, INC. 401(K) 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 funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SUMTOTAL SYSTEMS, INC. 401(K) 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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SUMTOTAL SYSTEMS, INC.
Employer identification number (EIN):	421607228
NAIC Classification:	541511
NAIC Description:	Custom Computer Programming Services

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3716692