401k Plan data: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN plan

CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 401k Plan overview

Plan Name	CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN
Plan identification number	001

CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

CELLULAR DYNAMICS INTERNATIONAL, INC. has sponsored the creation of one or more 401k plans.

Company Name: CELLULAR DYNAMICS INTERNATIONAL, INC.

Employer identification number (EIN): 261737267

NAIC Classification: 541700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 ANNA GEYSO
001 2014-01-01 TIM DALEY
001 2013-01-01 JESSICA STOREY
001 2012-01-01 JESSICA STOREY 2013-07-15
001 2011-01-01 DAVID S. SNYDER 2012-07-13
001 2010-01-01 DAVID SNYDER 2011-06-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01	ANNA GEYSO
001	2014-01-01	TIM DALEY
001	2013-01-01	JESSICA STOREY
001	2012-01-01	JESSICA STOREY	2013-07-15
001	2011-01-01	DAVID S. SNYDER	2012-07-13
001	2010-01-01	DAVID SNYDER	2011-06-15

Plan Statistics for CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN

401k plan membership statisitcs for CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN

Measure Date Value
2015: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 189
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 147
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 48
Total of all active and inactive participants 2015-01-01 195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 195
Number of participants with account balances 2015-01-01 191
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 157
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 155
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 34
Total of all active and inactive participants 2014-01-01 189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 189
Number of participants with account balances 2014-01-01 181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 136
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 127
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 27
Total of all active and inactive participants 2013-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 154
Number of participants with account balances 2013-01-01 144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2015: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	189
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	147
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	48
Total of all active and inactive participants	2015-01-01	195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	195
Number of participants with account balances	2015-01-01	191
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	157
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	155
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	34
Total of all active and inactive participants	2014-01-01	189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	189
Number of participants with account balances	2014-01-01	181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	136
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	127
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	27
Total of all active and inactive participants	2013-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	154
Number of participants with account balances	2013-01-01	144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN

Measure	Date	Value
2015 : CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$908,578
Total of all expenses incurred	2015-12-31	$468,987
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$455,865
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,002,149
Value of total assets at end of year	2015-12-31	$5,985,832
Value of total assets at beginning of year	2015-12-31	$5,546,241
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$13,122
Total interest from all sources	2015-12-31	$24
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$599,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$996,087
Participant contributions at end of year	2015-12-31	$1,498
Participant contributions at beginning of year	2015-12-31	$580
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$6,062
Other income not declared elsewhere	2015-12-31	$1,421
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$439,591
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$5,985,832
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$5,546,241
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in pooled separate accounts at end of year	2015-12-31	$5,696,014
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$5,406,002
Interest on participant loans	2015-12-31	$24
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$288,320
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$139,659
Net investment gain/loss from pooled separate accounts	2015-12-31	$-95,016
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$455,865
Contract administrator fees	2015-12-31	$13,122
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2015-12-31	390859910
2014 : CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$1,265,999
Total of all expenses incurred	2014-12-31	$180,833
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$169,947
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,022,446
Value of total assets at end of year	2014-12-31	$5,546,241
Value of total assets at beginning of year	2014-12-31	$4,461,075
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$10,886
Total interest from all sources	2014-12-31	$49
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$572,443
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$948,194
Participant contributions at end of year	2014-12-31	$580
Participant contributions at beginning of year	2014-12-31	$1,670
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$10,948
Other income not declared elsewhere	2014-12-31	$1,068
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,085,166
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$5,546,241
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$4,461,075
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$5,406,002
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$4,336,016
Interest on participant loans	2014-12-31	$49
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$139,659
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$123,389
Net investment gain/loss from pooled separate accounts	2014-12-31	$242,436
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$63,304
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$169,947
Contract administrator fees	2014-12-31	$10,886
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN	2014-12-31	390859910
2013 : CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$1,670,778
Total of all expenses incurred	2013-12-31	$42,969
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$33,233
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,021,595
Value of total assets at end of year	2013-12-31	$4,461,075
Value of total assets at beginning of year	2013-12-31	$2,833,266
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$9,736
Total interest from all sources	2013-12-31	$67
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$807,715
Participant contributions at end of year	2013-12-31	$1,670
Participant contributions at beginning of year	2013-12-31	$939
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$161,161
Other income not declared elsewhere	2013-12-31	$936
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,627,809
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$4,461,075
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$2,833,266
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in pooled separate accounts at end of year	2013-12-31	$4,336,016
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$2,687,166
Interest on participant loans	2013-12-31	$67
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$123,389
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$145,161
Net investment gain/loss from pooled separate accounts	2013-12-31	$648,180
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$52,719
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$33,233
Contract administrator fees	2013-12-31	$9,736
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN	2013-12-31	390859910

Form 5500 Responses for CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN

2015: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: CELLULAR DYNAMICS INTERNATIONAL, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
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

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

801856

Policy instance

Insurance contract or identification number	801856
Number of Individuals Covered	191
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $20,871
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $20,871
Insurance broker organization code?	3
Insurance broker name	BAIRD INSURANCE SERVICES INC

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

801856

Policy instance

Insurance contract or identification number	801856
Number of Individuals Covered	181
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $17,522
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $17,522
Insurance broker organization code?	3
Insurance broker name	BAIRD INSURANCE SERVICES INC

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

801856

Policy instance

Insurance contract or identification number	801856
Number of Individuals Covered	245
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $12,627
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $12,627
Insurance broker organization code?	3
Insurance broker name	BAIRD INSURANCE SERVICES INC

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Company Name:	CELLULAR DYNAMICS INTERNATIONAL, INC.
Employer identification number (EIN):	261737267
NAIC Classification:	541700