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

ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 401k Plan overview

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

ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY 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.

401k Sponsoring company profile

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

Company Name: THE ROCKEFELLER UNIVERSITY

Employer identification number (EIN): 131624158

NAIC Classification: 611000

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2012-01-01 VIRGINIA HUFFMAN VIRGINIA HUFFMAN 2012-03-15
003 2009-01-01 VIRGINIA HUFFMAN VIRGINIA HUFFMAN 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2012-01-01	VIRGINIA HUFFMAN		VIRGINIA HUFFMAN	2012-03-15
003	2009-01-01	VIRGINIA HUFFMAN		VIRGINIA HUFFMAN	2010-10-15

Plan Statistics for ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN

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

Measure Date Value
2012: ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,977
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2009: ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,947
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1,892
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 61
Total of all active and inactive participants 2009-01-01 1,953
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 2
Total participants 2009-01-01 1,955
Number of participants with account balances 2009-01-01 1,767
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,977
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2009: ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,947
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1,892
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	61
Total of all active and inactive participants	2009-01-01	1,953
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	2
Total participants	2009-01-01	1,955
Number of participants with account balances	2009-01-01	1,767
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN

Measure	Date	Value
2012 : ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2012 401k financial data
Total transfer of assets to this plan	2012-01-01	$0
Total transfer of assets from this plan	2012-01-01	$107,744,812
Total income from all sources (including contributions)	2012-01-01	$0
Total of all expenses incurred	2012-01-01	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-01-01	$0
Expenses. Certain deemed distributions of participant loans	2012-01-01	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-01-01	$0
Value of total assets at end of year	2012-01-01	$0
Value of total assets at beginning of year	2012-01-01	$107,744,812
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-01-01	$0
Total interest from all sources	2012-01-01	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-01-01	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-01-01	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-01-01	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-01-01	$0
Was this plan covered by a fidelity bond	2012-01-01	No
If this is an individual account plan, was there a blackout period	2012-01-01	No
Were there any nonexempt tranactions with any party-in-interest	2012-01-01	No
Contributions received from participants	2012-01-01	$0
Assets. Other investments not covered elsewhere at end of year	2012-01-01	$0
Assets. Other investments not covered elsewhere at beginning of year	2012-01-01	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-01-01	$0
Other income not declared elsewhere	2012-01-01	$0
Administrative expenses (other) incurred	2012-01-01	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-01-01	No
Value of net income/loss	2012-01-01	$0
Value of net assets at end of year (total assets less liabilities)	2012-01-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-01-01	$107,744,812
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-01-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-01-01	No
Were any leases to which the plan was party in default or uncollectible	2012-01-01	No
Investment advisory and management fees	2012-01-01	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-01-01	$60,053,705
Value of interest in pooled separate accounts at end of year	2012-01-01	$0
Value of interest in pooled separate accounts at beginning of year	2012-01-01	$4,006,509
Interest on participant loans	2012-01-01	$0
Interest earned on other investments	2012-01-01	$0
Value of interest in master investment trust accounts at end of year	2012-01-01	$0
Value of interest in master investment trust accounts at beginning of year	2012-01-01	$0
Assets. Value of investments in 103.12 investment entities at end of year	2012-01-01	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2012-01-01	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-01-01	$43,684,598
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-01-01	$0
Net investment gain/loss from pooled separate accounts	2012-01-01	$0
Net investment gain or loss from common/collective trusts	2012-01-01	$0
Net gain/loss from 103.12 investment entities	2012-01-01	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-01-01	No
Was there a failure to transmit to the plan any participant contributions	2012-01-01	No
Has the plan failed to provide any benefit when due under the plan	2012-01-01	No
Contributions received in cash from employer	2012-01-01	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-01-01	$0
Contract administrator fees	2012-01-01	$0
Did the plan have assets held for investment	2012-01-01	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	2012-01-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-01-01	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-01-01	No
Opinion of an independent qualified public accountant for this plan	2012-01-01	Disclaimer
Accountancy firm name	2012-01-01	KPMG LLP
Accountancy firm EIN	2012-01-01	135565207
2011 : ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2011 401k financial data
Total transfer of assets to this plan	2011-01-01	$0
Total transfer of assets from this plan	2011-01-01	$107,744,812
Total income from all sources (including contributions)	2011-01-01	$0
Total of all expenses incurred	2011-01-01	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-01-01	$0
Expenses. Certain deemed distributions of participant loans	2011-01-01	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-01-01	$0
Value of total assets at end of year	2011-01-01	$0
Value of total assets at beginning of year	2011-01-01	$107,744,812
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-01-01	$0
Total interest from all sources	2011-01-01	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-01-01	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-01-01	Yes
Total dividends received from registered investment company shares (eg mutual funds)	2011-01-01	$0
Was this plan covered by a fidelity bond	2011-01-01	No
If this is an individual account plan, was there a blackout period	2011-01-01	No
Were there any nonexempt tranactions with any party-in-interest	2011-01-01	No
Contributions received from participants	2011-01-01	$0
Participant contributions at beginning of year	2011-01-01	$0
Assets. Other investments not covered elsewhere at end of year	2011-01-01	$0
Assets. Other investments not covered elsewhere at beginning of year	2011-01-01	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-01-01	$0
Other income not declared elsewhere	2011-01-01	$0
Administrative expenses (other) incurred	2011-01-01	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-01-01	No
Value of net income/loss	2011-01-01	$0
Value of net assets at end of year (total assets less liabilities)	2011-01-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-01-01	$107,744,812
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-01-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-01-01	No
Were any leases to which the plan was party in default or uncollectible	2011-01-01	No
Investment advisory and management fees	2011-01-01	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-01-01	$60,053,705
Value of interest in pooled separate accounts at end of year	2011-01-01	$0
Value of interest in pooled separate accounts at beginning of year	2011-01-01	$4,006,509
Interest on participant loans	2011-01-01	$0
Interest earned on other investments	2011-01-01	$0
Value of interest in master investment trust accounts at end of year	2011-01-01	$0
Value of interest in master investment trust accounts at beginning of year	2011-01-01	$0
Assets. Value of investments in 103.12 investment entities at end of year	2011-01-01	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2011-01-01	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-01-01	$43,684,598
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-01-01	$0
Net investment gain/loss from pooled separate accounts	2011-01-01	$0
Net investment gain or loss from common/collective trusts	2011-01-01	$0
Net gain/loss from 103.12 investment entities	2011-01-01	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-01-01	No
Was there a failure to transmit to the plan any participant contributions	2011-01-01	No
Has the plan failed to provide any benefit when due under the plan	2011-01-01	No
Contributions received in cash from employer	2011-01-01	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-01-01	$0
Contract administrator fees	2011-01-01	$0
Did the plan have assets held for investment	2011-01-01	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-01-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-01-01	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-01-01	Yes
Opinion of an independent qualified public accountant for this plan	2011-01-01	Disclaimer
Accountancy firm name	2011-01-01	KPMG LLP
Accountancy firm EIN	2011-01-01	135565207
2010 : ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2010 401k financial data
Total transfer of assets to this plan	2010-12-31	$32,942
Total income from all sources (including contributions)	2010-12-31	$14,985,522
Total of all expenses incurred	2010-12-31	$4,914,789
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,914,789
Expenses. Certain deemed distributions of participant loans	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$5,920,562
Value of total assets at end of year	2010-12-31	$107,744,812
Value of total assets at beginning of year	2010-12-31	$97,674,079
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$1,404,917
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$57,689
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	$57,689
Was this plan covered by a fidelity bond	2010-12-31	No
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$5,151,548
Participant contributions at beginning of year	2010-12-31	$248,396
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$769,014
Other income not declared elsewhere	2010-12-31	$0
Administrative expenses (other) incurred	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$10,070,733
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$107,744,812
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$97,674,079
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
Investment advisory and management fees	2010-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$60,053,705
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$51,668,795
Value of interest in pooled separate accounts at end of year	2010-12-31	$4,006,509
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$2,834,145
Interest on participant loans	2010-12-31	$0
Interest earned on other investments	2010-12-31	$1,404,917
Value of interest in master investment trust accounts at end of year	2010-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2010-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$43,684,598
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$42,922,743
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$7,168,328
Net investment gain/loss from pooled separate accounts	2010-12-31	$434,026
Net investment gain or loss from common/collective trusts	2010-12-31	$0
Net gain/loss from 103.12 investment entities	2010-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,914,789
Contract administrator fees	2010-12-31	$0
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 LLP
Accountancy firm EIN	2010-12-31	135565207

Form 5500 Responses for ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN

2012: ROCKEFELLER UNIVERSITY TAX-DEFERRED ANNUITY PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2009: ROCKEFELLER 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 benefit arrangement – Insurance	Yes

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Company Name:	THE ROCKEFELLER UNIVERSITY
Employer identification number (EIN):	131624158
NAIC Classification:	611000