401k Plan data: SAVINGS FOR RETIREMENT PLAN plan

SAVINGS FOR RETIREMENT PLAN 401k Plan overview

Plan Name	SAVINGS FOR RETIREMENT PLAN
Plan identification number	003

SAVINGS FOR RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

DUKE UNIVERSITY has sponsored the creation of one or more 401k plans.

Company Name: DUKE UNIVERSITY

Employer identification number (EIN): 560532129

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SAVINGS FOR RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2013-01-01 JOYCE T. WILLIAMS
003 2012-01-01 JOYCE WILLIAMS
003 2011-01-01 SYLVESTER C. HACKNEY SYLVESTER C. HACKNEY 2012-10-08
003 2010-01-01 LOIS A. GREEN LOIS A. GREEN 2011-10-07
003 2009-01-01
003 2009-01-01 L A GREEN
003 2009-01-01 L A GREEN

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2013-01-01	JOYCE T. WILLIAMS
003	2012-01-01	JOYCE WILLIAMS
003	2011-01-01	SYLVESTER C. HACKNEY	SYLVESTER C. HACKNEY	2012-10-08
003	2010-01-01	LOIS A. GREEN	LOIS A. GREEN	2011-10-07
003	2009-01-01
003	2009-01-01	L A GREEN
003	2009-01-01	L A GREEN

Plan Statistics for SAVINGS FOR RETIREMENT PLAN

401k plan membership statisitcs for SAVINGS FOR RETIREMENT PLAN

Measure Date Value
2013: SAVINGS FOR RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 22,388
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: SAVINGS FOR RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 21,481
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 18,984
Number of retired or separated participants receiving benefits 2012-01-01 203
Number of other retired or separated participants entitled to future benefits 2012-01-01 3,193
Total of all active and inactive participants 2012-01-01 22,380
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 8
Total participants 2012-01-01 22,388
Number of participants with account balances 2012-01-01 11,080
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SAVINGS FOR RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 24,693
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 18,223
Number of retired or separated participants receiving benefits 2011-01-01 75
Number of other retired or separated participants entitled to future benefits 2011-01-01 3,178
Total of all active and inactive participants 2011-01-01 21,476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 5
Total participants 2011-01-01 21,481
Number of participants with account balances 2011-01-01 10,468
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: SAVINGS FOR RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 24,349
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 21,549
Number of retired or separated participants receiving benefits 2010-01-01 62
Number of other retired or separated participants entitled to future benefits 2010-01-01 3,080
Total of all active and inactive participants 2010-01-01 24,691
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 2
Total participants 2010-01-01 24,693
Number of participants with account balances 2010-01-01 9,980
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: SAVINGS FOR RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 20,213
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 21,224
Number of retired or separated participants receiving benefits 2009-01-01 48
Number of other retired or separated participants entitled to future benefits 2009-01-01 3,075
Total of all active and inactive participants 2009-01-01 24,347
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 2
Total participants 2009-01-01 24,349
Number of participants with account balances 2009-01-01 9,748
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: SAVINGS FOR RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	22,388
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: SAVINGS FOR RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	21,481
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	18,984
Number of retired or separated participants receiving benefits	2012-01-01	203
Number of other retired or separated participants entitled to future benefits	2012-01-01	3,193
Total of all active and inactive participants	2012-01-01	22,380
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	8
Total participants	2012-01-01	22,388
Number of participants with account balances	2012-01-01	11,080
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SAVINGS FOR RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	24,693
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	18,223
Number of retired or separated participants receiving benefits	2011-01-01	75
Number of other retired or separated participants entitled to future benefits	2011-01-01	3,178
Total of all active and inactive participants	2011-01-01	21,476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	5
Total participants	2011-01-01	21,481
Number of participants with account balances	2011-01-01	10,468
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: SAVINGS FOR RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	24,349
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	21,549
Number of retired or separated participants receiving benefits	2010-01-01	62
Number of other retired or separated participants entitled to future benefits	2010-01-01	3,080
Total of all active and inactive participants	2010-01-01	24,691
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	2
Total participants	2010-01-01	24,693
Number of participants with account balances	2010-01-01	9,980
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: SAVINGS FOR RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	20,213
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	21,224
Number of retired or separated participants receiving benefits	2009-01-01	48
Number of other retired or separated participants entitled to future benefits	2009-01-01	3,075
Total of all active and inactive participants	2009-01-01	24,347
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	2
Total participants	2009-01-01	24,349
Number of participants with account balances	2009-01-01	9,748
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SAVINGS FOR RETIREMENT PLAN

Measure	Date	Value
2013 : SAVINGS FOR RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-04-01	$0
Total transfer of assets from this plan	2013-04-01	$285,352,963
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-04-01	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-04-01	$0
Total income from all sources (including contributions)	2013-04-01	$18,806,309
Total loss/gain on sale of assets	2013-04-01	$0
Total of all expenses incurred	2013-04-01	$3,041,320
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-04-01	$3,040,907
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-04-01	$4,950,302
Value of total assets at end of year	2013-04-01	$0
Value of total assets at beginning of year	2013-04-01	$269,587,974
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-04-01	$413
Total interest from all sources	2013-04-01	$584,911
Total dividends received (eg from common stock, registered investment company shares)	2013-04-01	$236,201
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-04-01	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-04-01	$0
Total dividends received from registered investment company shares (eg mutual funds)	2013-04-01	$236,201
Was this plan covered by a fidelity bond	2013-04-01	Yes
Value of fidelity bond cover	2013-04-01	$5,000,000
If this is an individual account plan, was there a blackout period	2013-04-01	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-04-01	$0
Were there any nonexempt tranactions with any party-in-interest	2013-04-01	No
Contributions received from participants	2013-04-01	$4,634,416
Participant contributions at end of year	2013-04-01	$0
Participant contributions at beginning of year	2013-04-01	$528,905
Income. Received or receivable in cash from other sources (including rollovers)	2013-04-01	$315,886
Administrative expenses (other) incurred	2013-04-01	$413
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-04-01	No
Value of net income/loss	2013-04-01	$15,764,989
Value of net assets at end of year (total assets less liabilities)	2013-04-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-04-01	$269,587,974
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-04-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-04-01	No
Were any leases to which the plan was party in default or uncollectible	2013-04-01	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-04-01	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-04-01	$181,156,449
Value of interest in pooled separate accounts at end of year	2013-04-01	$0
Value of interest in pooled separate accounts at beginning of year	2013-04-01	$1,118,354
Interest on participant loans	2013-04-01	$5,186
Interest earned on other investments	2013-04-01	$579,498
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-04-01	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-04-01	$8,354,912
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-04-01	$8,354,912
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-04-01	$227
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-04-01	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-04-01	$78,429,354
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-04-01	$13,012,727
Net investment gain/loss from pooled separate accounts	2013-04-01	$22,168
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-04-01	No
Was there a failure to transmit to the plan any participant contributions	2013-04-01	No
Has the plan failed to provide any benefit when due under the plan	2013-04-01	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-04-01	$3,040,907
Did the plan have assets held for investment	2013-04-01	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	2013-04-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-04-01	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-04-01	Yes
Opinion of an independent qualified public accountant for this plan	2013-04-01	Disclaimer
Accountancy firm name	2013-04-01	KPMG
Accountancy firm EIN	2013-04-01	135565207
2012 : SAVINGS FOR RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
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	$45,906,488
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$14,545,304
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$14,543,063
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$21,262,332
Value of total assets at end of year	2012-12-31	$269,587,974
Value of total assets at beginning of year	2012-12-31	$238,226,790
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$2,241
Total interest from all sources	2012-12-31	$2,415,296
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$3,161,073
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	$3,161,073
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	Yes
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	$18,790,954
Participant contributions at end of year	2012-12-31	$528,905
Participant contributions at beginning of year	2012-12-31	$145,517
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$2,471,378
Administrative expenses (other) incurred	2012-12-31	$2,241
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	$31,361,184
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$269,587,974
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$238,226,790
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	$181,156,449
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$153,420,491
Value of interest in pooled separate accounts at end of year	2012-12-31	$1,118,354
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$1,015,327
Interest on participant loans	2012-12-31	$10,322
Interest earned on other investments	2012-12-31	$2,404,974
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$8,354,912
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$6,281,163
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$6,281,163
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$78,429,354
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$77,364,292
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$240,732
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$18,964,795
Net investment gain/loss from pooled separate accounts	2012-12-31	$102,992
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$14,302,331
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	Yes
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	KPMG
Accountancy firm EIN	2012-12-31	135565207
2011 : SAVINGS FOR RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
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	$18,866,412
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$16,556,888
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$16,554,752
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$18,929,873
Value of total assets at end of year	2011-12-31	$238,226,790
Value of total assets at beginning of year	2011-12-31	$235,917,266
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,136
Total interest from all sources	2011-12-31	$2,850,454
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$2,069,548
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	$2,069,548
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$17,466,131
Participant contributions at end of year	2011-12-31	$145,517
Participant contributions at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,463,742
Administrative expenses (other) incurred	2011-12-31	$2,136
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	$2,309,524
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$238,226,790
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$235,917,266
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	$153,420,491
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$152,619,314
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,015,327
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$838,311
Interest on participant loans	2011-12-31	$700
Interest earned on other investments	2011-12-31	$2,849,754
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$6,281,163
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$5,017,735
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$5,017,735
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$77,364,292
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$77,441,906
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$25,853
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-5,109,046
Net investment gain/loss from pooled separate accounts	2011-12-31	$125,583
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$16,528,899
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	KPMG
Accountancy firm EIN	2011-12-31	135565207
2010 : SAVINGS FOR RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
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	$43,611,891
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$14,529,414
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$14,527,610
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$21,914,445
Value of total assets at end of year	2010-12-31	$235,917,266
Value of total assets at beginning of year	2010-12-31	$206,834,789
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,804
Total interest from all sources	2010-12-31	$2,772,671
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$1,185,043
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	$1,185,043
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$16,004,382
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$5,910,063
Administrative expenses (other) incurred	2010-12-31	$1,804
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	$29,082,477
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$235,917,266
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$206,834,789
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	$152,619,314
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$121,122,954
Value of interest in pooled separate accounts at end of year	2010-12-31	$838,311
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$603,915
Interest earned on other investments	2010-12-31	$2,771,054
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$5,017,735
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$4,003,739
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$4,003,739
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$1,617
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$77,441,906
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$81,104,181
Expenses. Payments to insurance carriers foe the provision of benefits	2010-12-31	$126,772
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$17,655,589
Net investment gain/loss from pooled separate accounts	2010-12-31	$84,143
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$14,400,838
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	KPMG
Accountancy firm EIN	2010-12-31	135565207

Form 5500 Responses for SAVINGS FOR RETIREMENT PLAN

2013: SAVINGS FOR RETIREMENT 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: SAVINGS FOR RETIREMENT 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: SAVINGS FOR RETIREMENT 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
2010: SAVINGS FOR RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SAVINGS FOR RETIREMENT 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:	DUKE UNIVERSITY
Employer identification number (EIN):	560532129
NAIC Classification:	611000