401k Plan data: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN plan

W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 401k Plan overview

Plan Name	W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN
Plan identification number	002

W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Code section 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.

401k Sponsoring company profile

CALIFORNIA ASSOCIATION FOR RESEARCH IN ASTRONOMY has sponsored the creation of one or more 401k plans.

Company Name: CALIFORNIA ASSOCIATION FOR RESEARCH IN ASTRONOMY

Employer identification number (EIN): 953972799

NAIC Classification: 813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Additional information about CALIFORNIA ASSOCIATION FOR RESEARCH IN ASTRONOMY

Jurisdiction of Incorporation: California Department of State

Incorporation Date:

Company Identification Number: C1339692

More information about CALIFORNIA ASSOCIATION FOR RESEARCH IN ASTRONOMY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-10-01 WILLIAM BROWN
002 2013-10-01 WILLIAM BROWN
002 2012-10-01 DEB STEDNICK
002 2011-10-01 DEB STEDNICK

Plan id#	Filing Submission Date	Name of Administrator
002	2014-10-01	WILLIAM BROWN
002	2013-10-01	WILLIAM BROWN
002	2012-10-01	DEB STEDNICK
002	2011-10-01	DEB STEDNICK

Plan Statistics for W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN

401k plan membership statisitcs for W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN

Measure Date Value
2014: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2014 401k membership
Total participants, beginning-of-year 2014-10-01 128
Total number of active participants reported on line 7a of the Form 5500 2014-10-01 0
Number of retired or separated participants receiving benefits 2014-10-01 0
Number of other retired or separated participants entitled to future benefits 2014-10-01 0
Total of all active and inactive participants 2014-10-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-10-01 0
Total participants 2014-10-01 0
Number of participants with account balances 2014-10-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-10-01 0
2013: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2013 401k membership
Total participants, beginning-of-year 2013-10-01 124
Total number of active participants reported on line 7a of the Form 5500 2013-10-01 70
Number of retired or separated participants receiving benefits 2013-10-01 0
Number of other retired or separated participants entitled to future benefits 2013-10-01 57
Total of all active and inactive participants 2013-10-01 127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-10-01 1
Total participants 2013-10-01 128
Number of participants with account balances 2013-10-01 126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-10-01 0
2012: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year 2012-10-01 130
Total number of active participants reported on line 7a of the Form 5500 2012-10-01 91
Number of retired or separated participants receiving benefits 2012-10-01 0
Number of other retired or separated participants entitled to future benefits 2012-10-01 40
Total of all active and inactive participants 2012-10-01 131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-10-01 1
Total participants 2012-10-01 132
Number of participants with account balances 2012-10-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-10-01 0
2011: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year 2011-10-01 125
Total number of active participants reported on line 7a of the Form 5500 2011-10-01 86
Number of retired or separated participants receiving benefits 2011-10-01 0
Number of other retired or separated participants entitled to future benefits 2011-10-01 44
Total of all active and inactive participants 2011-10-01 130
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-01 0
Total participants 2011-10-01 130
Number of participants with account balances 2011-10-01 121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-10-01 0

Measure	Date	Value
2014: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2014 401k membership
Total participants, beginning-of-year	2014-10-01	128
Total number of active participants reported on line 7a of the Form 5500	2014-10-01	0
Number of retired or separated participants receiving benefits	2014-10-01	0
Number of other retired or separated participants entitled to future benefits	2014-10-01	0
Total of all active and inactive participants	2014-10-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-10-01	0
Total participants	2014-10-01	0
Number of participants with account balances	2014-10-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-10-01	0
2013: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2013 401k membership
Total participants, beginning-of-year	2013-10-01	124
Total number of active participants reported on line 7a of the Form 5500	2013-10-01	70
Number of retired or separated participants receiving benefits	2013-10-01	0
Number of other retired or separated participants entitled to future benefits	2013-10-01	57
Total of all active and inactive participants	2013-10-01	127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-10-01	1
Total participants	2013-10-01	128
Number of participants with account balances	2013-10-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-10-01	0
2012: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year	2012-10-01	130
Total number of active participants reported on line 7a of the Form 5500	2012-10-01	91
Number of retired or separated participants receiving benefits	2012-10-01	0
Number of other retired or separated participants entitled to future benefits	2012-10-01	40
Total of all active and inactive participants	2012-10-01	131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-10-01	1
Total participants	2012-10-01	132
Number of participants with account balances	2012-10-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-10-01	0
2011: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2011 401k membership
Total participants, beginning-of-year	2011-10-01	125
Total number of active participants reported on line 7a of the Form 5500	2011-10-01	86
Number of retired or separated participants receiving benefits	2011-10-01	0
Number of other retired or separated participants entitled to future benefits	2011-10-01	44
Total of all active and inactive participants	2011-10-01	130
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-01	0
Total participants	2011-10-01	130
Number of participants with account balances	2011-10-01	121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-10-01	0

Financial Data on W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN

Measure	Date	Value
2015 : W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-09-30	$0
Total transfer of assets from this plan	2015-09-30	$9,842,859
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-09-30	$634
Total income from all sources (including contributions)	2015-09-30	$620,431
Total loss/gain on sale of assets	2015-09-30	$0
Total of all expenses incurred	2015-09-30	$535,136
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-09-30	$535,136
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-09-30	$568,921
Value of total assets at end of year	2015-09-30	$0
Value of total assets at beginning of year	2015-09-30	$9,758,198
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-09-30	$0
Total interest from all sources	2015-09-30	$71,441
Total dividends received (eg from common stock, registered investment company shares)	2015-09-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-09-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-09-30	$0
Was this plan covered by a fidelity bond	2015-09-30	Yes
Value of fidelity bond cover	2015-09-30	$500,000
If this is an individual account plan, was there a blackout period	2015-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2015-09-30	No
Contributions received from participants	2015-09-30	$562,186
Income. Received or receivable in cash from other sources (including rollovers)	2015-09-30	$6,735
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-09-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-09-30	$8,173
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-09-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-09-30	$634
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-09-30	No
Value of net income/loss	2015-09-30	$85,295
Value of net assets at end of year (total assets less liabilities)	2015-09-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-09-30	$9,757,564
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-09-30	No
Were any leases to which the plan was party in default or uncollectible	2015-09-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-09-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-09-30	$7,013,743
Value of interest in pooled separate accounts at end of year	2015-09-30	$0
Value of interest in pooled separate accounts at beginning of year	2015-09-30	$639,388
Interest earned on other investments	2015-09-30	$71,441
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-09-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-09-30	$2,096,894
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-09-30	$-87,073
Net investment gain/loss from pooled separate accounts	2015-09-30	$67,142
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-09-30	No
Was there a failure to transmit to the plan any participant contributions	2015-09-30	No
Has the plan failed to provide any benefit when due under the plan	2015-09-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-09-30	$535,136
Did the plan have assets held for investment	2015-09-30	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	2015-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-09-30	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2015-09-30	Disclaimer
Accountancy firm name	2015-09-30	KKDLY, LLC
Accountancy firm EIN	2015-09-30	990292355
2014 : W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-30	$634
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-30	$0
Total income from all sources (including contributions)	2014-09-30	$1,477,709
Total loss/gain on sale of assets	2014-09-30	$0
Total of all expenses incurred	2014-09-30	$211,371
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-09-30	$211,371
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-09-30	$613,401
Value of total assets at end of year	2014-09-30	$9,758,198
Value of total assets at beginning of year	2014-09-30	$8,491,226
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-09-30	$0
Total interest from all sources	2014-09-30	$69,036
Total dividends received (eg from common stock, registered investment company shares)	2014-09-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-09-30	No
Was this plan covered by a fidelity bond	2014-09-30	Yes
Value of fidelity bond cover	2014-09-30	$500,000
If this is an individual account plan, was there a blackout period	2014-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2014-09-30	No
Contributions received from participants	2014-09-30	$567,967
Participant contributions at end of year	2014-09-30	$0
Participant contributions at beginning of year	2014-09-30	$22,303
Income. Received or receivable in cash from other sources (including rollovers)	2014-09-30	$45,434
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-09-30	$8,173
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-09-30	$6,405
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-09-30	$634
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-09-30	$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	2014-09-30	No
Value of net income/loss	2014-09-30	$1,266,338
Value of net assets at end of year (total assets less liabilities)	2014-09-30	$9,757,564
Value of net assets at beginning of year (total assets less liabilities)	2014-09-30	$8,491,226
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-09-30	No
Were any leases to which the plan was party in default or uncollectible	2014-09-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-09-30	$7,013,743
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-09-30	$5,818,892
Value of interest in pooled separate accounts at end of year	2014-09-30	$639,388
Value of interest in pooled separate accounts at beginning of year	2014-09-30	$670,548
Interest earned on other investments	2014-09-30	$69,036
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-09-30	$2,096,894
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-09-30	$1,973,078
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-09-30	$724,617
Net investment gain/loss from pooled separate accounts	2014-09-30	$70,655
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-09-30	No
Was there a failure to transmit to the plan any participant contributions	2014-09-30	No
Has the plan failed to provide any benefit when due under the plan	2014-09-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-09-30	$211,371
Did the plan have assets held for investment	2014-09-30	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	2014-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-09-30	Disclaimer
Accountancy firm name	2014-09-30	KKDLY, LLC
Accountancy firm EIN	2014-09-30	990292355
2013 : W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-09-30	$0
Total income from all sources (including contributions)	2013-09-30	$1,605,786
Total loss/gain on sale of assets	2013-09-30	$0
Total of all expenses incurred	2013-09-30	$334,556
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-09-30	$334,556
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-09-30	$682,759
Value of total assets at end of year	2013-09-30	$8,491,226
Value of total assets at beginning of year	2013-09-30	$7,219,996
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-09-30	$0
Total interest from all sources	2013-09-30	$64,748
Total dividends received (eg from common stock, registered investment company shares)	2013-09-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-09-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-09-30	$0
Was this plan covered by a fidelity bond	2013-09-30	Yes
Value of fidelity bond cover	2013-09-30	$500,000
If this is an individual account plan, was there a blackout period	2013-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2013-09-30	No
Contributions received from participants	2013-09-30	$607,902
Participant contributions at end of year	2013-09-30	$0
Participant contributions at beginning of year	2013-09-30	$0
Participant contributions at end of year	2013-09-30	$22,303
Participant contributions at beginning of year	2013-09-30	$20,281
Assets. Other investments not covered elsewhere at end of year	2013-09-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-09-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-09-30	$74,857
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-09-30	$6,405
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-09-30	$494
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-09-30	No
Value of net income/loss	2013-09-30	$1,271,230
Value of net assets at end of year (total assets less liabilities)	2013-09-30	$8,491,226
Value of net assets at beginning of year (total assets less liabilities)	2013-09-30	$7,219,996
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-09-30	No
Were any leases to which the plan was party in default or uncollectible	2013-09-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-09-30	$5,818,892
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-09-30	$4,743,072
Value of interest in pooled separate accounts at end of year	2013-09-30	$670,548
Value of interest in pooled separate accounts at beginning of year	2013-09-30	$606,163
Interest on participant loans	2013-09-30	$5
Interest earned on other investments	2013-09-30	$64,743
Value of interest in master investment trust accounts at end of year	2013-09-30	$0
Value of interest in master investment trust accounts at beginning of year	2013-09-30	$0
Value of interest in common/collective trusts at end of year	2013-09-30	$0
Value of interest in common/collective trusts at beginning of year	2013-09-30	$0
Assets. Value of investments in 103.12 investment entities at end of year	2013-09-30	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-09-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-09-30	$1,973,078
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-09-30	$1,849,986
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-09-30	$797,613
Net investment gain/loss from pooled separate accounts	2013-09-30	$60,666
Net investment gain or loss from common/collective trusts	2013-09-30	$0
Net gain/loss from 103.12 investment entities	2013-09-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-09-30	No
Was there a failure to transmit to the plan any participant contributions	2013-09-30	No
Has the plan failed to provide any benefit when due under the plan	2013-09-30	No
Contributions received in cash from employer	2013-09-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-09-30	$334,556
Did the plan have assets held for investment	2013-09-30	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	2013-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-09-30	Disclaimer
Accountancy firm name	2013-09-30	KOBAYASHI, KANETOKU, DOI,LUM&YASUDA
Accountancy firm EIN	2013-09-30	990292355
2012 : W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-09-30	$0
Total income from all sources (including contributions)	2012-09-30	$1,414,701
Total loss/gain on sale of assets	2012-09-30	$0
Total of all expenses incurred	2012-09-30	$176,093
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-09-30	$176,093
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-09-30	$494,104
Value of total assets at end of year	2012-09-30	$7,219,996
Value of total assets at beginning of year	2012-09-30	$5,981,388
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-09-30	$0
Total interest from all sources	2012-09-30	$58,932
Total dividends received (eg from common stock, registered investment company shares)	2012-09-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-09-30	No
Was this plan covered by a fidelity bond	2012-09-30	Yes
Value of fidelity bond cover	2012-09-30	$500,000
If this is an individual account plan, was there a blackout period	2012-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2012-09-30	No
Contributions received from participants	2012-09-30	$494,104
Participant contributions at end of year	2012-09-30	$20,281
Participant contributions at beginning of year	2012-09-30	$16,767
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-09-30	$494
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-09-30	$2,044
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-09-30	No
Value of net income/loss	2012-09-30	$1,238,608
Value of net assets at end of year (total assets less liabilities)	2012-09-30	$7,219,996
Value of net assets at beginning of year (total assets less liabilities)	2012-09-30	$5,981,388
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-09-30	No
Were any leases to which the plan was party in default or uncollectible	2012-09-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-09-30	$4,743,072
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-09-30	$3,788,919
Value of interest in pooled separate accounts at end of year	2012-09-30	$606,163
Value of interest in pooled separate accounts at beginning of year	2012-09-30	$499,674
Interest earned on other investments	2012-09-30	$58,932
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-09-30	$1,849,986
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-09-30	$1,673,984
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-09-30	$805,428
Net investment gain/loss from pooled separate accounts	2012-09-30	$56,237
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-09-30	No
Was there a failure to transmit to the plan any participant contributions	2012-09-30	No
Has the plan failed to provide any benefit when due under the plan	2012-09-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-09-30	$176,093
Did the plan have assets held for investment	2012-09-30	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	2012-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-09-30	Disclaimer
Accountancy firm name	2012-09-30	KOBAYASHI, KANETOKU, DOI,LUM&YASUDA
Accountancy firm EIN	2012-09-30	990292355
2011 : W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-09-30	$0
Total income from all sources (including contributions)	2011-09-30	$524,270
Total loss/gain on sale of assets	2011-09-30	$0
Total of all expenses incurred	2011-09-30	$159,939
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-09-30	$159,897
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-09-30	$449,397
Value of total assets at end of year	2011-09-30	$5,981,388
Value of total assets at beginning of year	2011-09-30	$5,617,057
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-09-30	$42
Total interest from all sources	2011-09-30	$51,447
Total dividends received (eg from common stock, registered investment company shares)	2011-09-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-09-30	No
Was this plan covered by a fidelity bond	2011-09-30	Yes
Value of fidelity bond cover	2011-09-30	$500,000
If this is an individual account plan, was there a blackout period	2011-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-09-30	No
Contributions received from participants	2011-09-30	$449,397
Participant contributions at end of year	2011-09-30	$16,767
Participant contributions at beginning of year	2011-09-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-09-30	$2,044
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-09-30	$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	2011-09-30	No
Value of net income/loss	2011-09-30	$364,331
Value of net assets at end of year (total assets less liabilities)	2011-09-30	$5,981,388
Value of net assets at beginning of year (total assets less liabilities)	2011-09-30	$5,617,057
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-09-30	No
Were any leases to which the plan was party in default or uncollectible	2011-09-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-09-30	$3,788,919
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-09-30	$3,713,111
Value of interest in pooled separate accounts at end of year	2011-09-30	$499,674
Value of interest in pooled separate accounts at beginning of year	2011-09-30	$403,098
Interest earned on other investments	2011-09-30	$51,447
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-09-30	$1,673,984
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-09-30	$1,500,848
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-09-30	$-45,257
Net investment gain/loss from pooled separate accounts	2011-09-30	$68,683
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-09-30	No
Was there a failure to transmit to the plan any participant contributions	2011-09-30	No
Has the plan failed to provide any benefit when due under the plan	2011-09-30	No
Contributions received in cash from employer	2011-09-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-09-30	$159,897
Contract administrator fees	2011-09-30	$42
Did the plan have assets held for investment	2011-09-30	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	2011-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-09-30	Disclaimer
Accountancy firm name	2011-09-30	KOBAYASHI, KANETOKU, DOI,LUM&YASUDA
Accountancy firm EIN	2011-09-30	990292355

Form 5500 Responses for W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN

2014: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2014 form 5500 responses
2014-10-01	Type of plan entity	Single employer plan
2014-10-01	Submission has been amended	No
2014-10-01	This submission is the final filing	Yes
2014-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-10-01	Plan is a collectively bargained plan	No
2014-10-01	Plan funding arrangement – Insurance	Yes
2014-10-01	Plan funding arrangement – Trust	Yes
2014-10-01	Plan benefit arrangement – Insurance	Yes
2014-10-01	Plan benefit arrangement - Trust	Yes
2013: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2013 form 5500 responses
2013-10-01	Type of plan entity	Single employer plan
2013-10-01	Submission has been amended	No
2013-10-01	This submission is the final filing	No
2013-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-10-01	Plan is a collectively bargained plan	No
2013-10-01	Plan funding arrangement – Insurance	Yes
2013-10-01	Plan funding arrangement – Trust	Yes
2013-10-01	Plan benefit arrangement – Insurance	Yes
2013-10-01	Plan benefit arrangement - Trust	Yes
2012: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2012 form 5500 responses
2012-10-01	Type of plan entity	Single employer plan
2012-10-01	Submission has been amended	No
2012-10-01	This submission is the final filing	No
2012-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-10-01	Plan is a collectively bargained plan	No
2012-10-01	Plan funding arrangement – Insurance	Yes
2012-10-01	Plan funding arrangement – Trust	Yes
2012-10-01	Plan benefit arrangement – Insurance	Yes
2012-10-01	Plan benefit arrangement - Trust	Yes
2011: W.M. KECK OBSERVATORY TAX DEFERRED ANNUITY PLAN 2011 form 5500 responses
2011-10-01	Type of plan entity	Single employer plan
2011-10-01	Submission has been amended	No
2011-10-01	This submission is the final filing	No
2011-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-10-01	Plan is a collectively bargained plan	No
2011-10-01	Plan funding arrangement – Insurance	Yes
2011-10-01	Plan funding arrangement – Trust	Yes
2011-10-01	Plan benefit arrangement – Insurance	Yes
2011-10-01	Plan benefit arrangement - Trust	Yes

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W.M. KECK FOUNDATION RETIREMENT PLAN [EIN = 956092354]

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Company Name:	CALIFORNIA ASSOCIATION FOR RESEARCH IN ASTRONOMY
Employer identification number (EIN):	953972799
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:
Company Identification Number:	C1339692