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Company:
Eli Lilly and Company

Plan:
The Lilly Employee 401k Plan
 
Form 5500 | Basic Information
Plan Information
Plan Year 01/01/2012 — 12/31/2012
Effective Date of Plan 07/01/1956
Net Assets as of 12/31/2012 $4,358,037,852
Plan Number 2
Plan Type Single Employer
Is the plan collectively bargained? No
Did the plan file for an extension of time or the DFVC Program? Yes
Plan Funding Arrangement Trust
Plan Benefit Arrangement Trust

Participant Information as of 12/31/2012
Active (Eligible) Participants 18,660
Retired or separated participants receiving benefits 86
Other retired or separated participants entitled to future benefits 6,915
Subtotal 25,661
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 252
Total 25,913
Total number of participants as of 01/01/2012 26,844
Number of participants with account balances 25,578
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 209

Plan Sponsor Information
Address Lilly Corporate Center
Indianapolis, IN 46285 -0002
Telephone (317) 276-2000
EIN 35-0470950
Industry Code 325410
Named Administrator Stacey Roberson
Named Plan Sponsor Susan Ridlen

Plan Administrator Information
Administrator Name Eli Lilly and Company
Administrator EIN 35-0470950

Audit Information
Audit Status Audited
Auditor Ernst & Young LLP
Auditor EIN 34-6565596
Audit Opinion Unqualified
Audit Type Full Audit

Benefits Provided Under the Plan
Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G 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.
2I Stock bonus A stock bonus plan is a type of profit-sharing by which a corporation uses its own stock to make contributions and distributions.
2J 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.
2K Code section 401(m) arrangement Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contributions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
2R Brokerage Window Participant-directed brokerage accounts provided as an investment option under the plan.
2S Automatic Enrollment Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
3F Leased Employees Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

  Question Answer Amount
1. During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No  
2. Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No  
3. Were any leases to which the plan was a party in default or classified during the year as uncollectible? No  
4. Were there any nonexempt transactions with any party-in-interest? No  
5. Was this plan covered by a fidelity bond? Yes $35,000,000
6. Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No  
7. Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No  
8. Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No  
9. Did the plan have assets held for investment? Yes  
10. Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No  
11. Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No  
12. Has the plan failed to provide any benefit when due under the plan? No  
13. If this is an individual account plan, was there a blackout period? No  
14. If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3?