401k Plan data: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN plan

STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 401k Plan overview

Plan Name	STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN
Plan identification number	003

STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

THE BOARD OF TRUSTEES OF LELAND STANFORD JUNIOR UNIVERSITY has sponsored the creation of one or more 401k plans.

Company Name: THE BOARD OF TRUSTEES OF LELAND STANFORD JUNIOR UNIVERSITY

Employer identification number (EIN): 941156365

NAIC Classification: 611000

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2011-01-01 LESLIE SCHLAEGEL, AVP BENEFITS LESLIE SCHLAEGEL, AVP BENEFITS 2012-11-26
003 2010-01-01 LESLIE SCHLAEGEL, AVP OF BENEFITS LESLIE SCHLAEGEL, AVP OF BENEFITS 2011-10-14
003 2009-01-01 LESLIE SCHLAEGEL, AVP OF BENEFITS LESLIE SCHLAEGEL, AVP OF BENEFITS 2010-10-19

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2011-01-01	LESLIE SCHLAEGEL, AVP BENEFITS	LESLIE SCHLAEGEL, AVP BENEFITS	2012-11-26
003	2010-01-01	LESLIE SCHLAEGEL, AVP OF BENEFITS	LESLIE SCHLAEGEL, AVP OF BENEFITS	2011-10-14
003	2009-01-01	LESLIE SCHLAEGEL, AVP OF BENEFITS	LESLIE SCHLAEGEL, AVP OF BENEFITS	2010-10-19

Plan Statistics for STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN

401k plan membership statisitcs for STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN

Measure Date Value
2011: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 23,023
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
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 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 21,824
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 19,098
Number of retired or separated participants receiving benefits 2010-01-01 160
Number of other retired or separated participants entitled to future benefits 2010-01-01 3,745
Total of all active and inactive participants 2010-01-01 23,003
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 20
Total participants 2010-01-01 23,023
Number of participants with account balances 2010-01-01 9,683
2009: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 7,507
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 27,060
Number of retired or separated participants receiving benefits 2009-01-01 240
Number of other retired or separated participants entitled to future benefits 2009-01-01 8,244
Total of all active and inactive participants 2009-01-01 35,544
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 35,544
Number of participants with account balances 2009-01-01 21,824
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	23,023
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
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	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	21,824
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	19,098
Number of retired or separated participants receiving benefits	2010-01-01	160
Number of other retired or separated participants entitled to future benefits	2010-01-01	3,745
Total of all active and inactive participants	2010-01-01	23,003
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	20
Total participants	2010-01-01	23,023
Number of participants with account balances	2010-01-01	9,683
2009: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	7,507
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	27,060
Number of retired or separated participants receiving benefits	2009-01-01	240
Number of other retired or separated participants entitled to future benefits	2009-01-01	8,244
Total of all active and inactive participants	2009-01-01	35,544
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	35,544
Number of participants with account balances	2009-01-01	21,824
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN

Measure	Date	Value
2011 : STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$4,767,435
Total transfer of assets from this plan	2011-12-31	$504,460,524
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	$34,857,093
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$28,098,045
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$27,889,502
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$35,084,153
Value of total assets at end of year	2011-12-31	$0
Value of total assets at beginning of year	2011-12-31	$492,934,041
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$208,543
Total interest from all sources	2011-12-31	$147,451
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$8,530,704
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	$8,530,704
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$25,000,000
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	$24,016,767
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$2,843,283
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$96,245,506
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$11,067,386
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	$6,759,048
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$492,934,041
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	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$284,405,283
Value of interest in pooled separate accounts at end of year	2011-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$3,215,640
Income. Interest from loans (other than to participants)	2011-12-31	$147,451
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$7,915,618
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$7,915,618
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$98,308,711
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-6,612,537
Net investment gain/loss from pooled separate accounts	2011-12-31	$-175,802
Net investment gain or loss from common/collective trusts	2011-12-31	$-2,116,876
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	$27,889,502
Contract administrator fees	2011-12-31	$208,543
Did the plan have assets held for investment	2011-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	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	MOHLER, NIXON & WILLIAMS
Accountancy firm EIN	2011-12-31	770106234
2010 : STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$2,672,032
Total transfer of assets from this plan	2010-12-31	$2,786,190
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	$83,351,798
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$26,202,470
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$26,008,073
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$35,348,411
Value of total assets at end of year	2010-12-31	$492,934,041
Value of total assets at beginning of year	2010-12-31	$435,898,871
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$194,397
Total interest from all sources	2010-12-31	$159,909
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$4,634,508
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	$4,634,508
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$25,000,000
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	$22,839,995
Participant contributions at end of year	2010-12-31	$2,843,283
Participant contributions at beginning of year	2010-12-31	$2,359,716
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$96,245,506
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$12,508,416
Other income not declared elsewhere	2010-12-31	$13,064,875
Administrative expenses (other) incurred	2010-12-31	$194,397
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	$57,149,328
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$492,934,041
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$435,898,871
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	$284,405,283
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$322,689,759
Value of interest in pooled separate accounts at end of year	2010-12-31	$3,215,640
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$3,232,958
Income. Interest from loans (other than to participants)	2010-12-31	$144,056
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$7,915,618
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$8,776,478
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$8,776,478
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$15,853
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$98,308,711
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$98,839,960
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$29,831,695
Net investment gain/loss from pooled separate accounts	2010-12-31	$312,400
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	$26,008,073
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	MOHLER, NIXON AND WILLIAMS
Accountancy firm EIN	2010-12-31	770106234
2009 : STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN

2011: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	This submission is the final filing	Yes
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: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY 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: STANFORD UNIVERSITY TAX-DEFERRED ANNUITY 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:	THE BOARD OF TRUSTEES OF LELAND STANFORD JUNIOR UNIVERSITY
Employer identification number (EIN):	941156365
NAIC Classification:	611000