Back to top
FORM 5500 DATA

Aurora Health Care, Inc. Incentive Savings Plan

Overview

Plan Information

  • Plan Year01/01/2010 — 12/31/2010
  • Date of Plan06/20/1987
  • Net Assets as of 12/31/2010 $964,090,056
  • Plan Number2
  • 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 ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2010

  • Active (Eligible) Participants29,693
  • Retired or separated participants receiving benefits507
  • Other retired or separated participants entitled to future benefits1,782
  • Subtotal31,982
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits16
  • Total31,998
  • Total number of participants as of 01/01/201030,512
  • Number of participants with account balances21,115
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested350

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • AddressPost Office Box 343910
  • CityMilwaukee
  • StateWI
  • Zip53234-3910
  • Telephone(414) 647-3448
  • EIN39-1442285
  • Industry Code622000
  • Named AdministratorKatherine Klobuchar

Plan Administrator Information

  • Administrator NameAurora Health Care, Inc
  • Address3000 W Montana St
  • CityMilwaukee
  • StateWI
  • Zip53234-3910
  • Telephone(414) 647-3448
  • Administrator EIN39-1442285

Audit Information

  • Audit StatusAudited
  • AuditorDeloitte & Touche, LLP
  • Auditor EIN13-3891517
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
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.
2L Code section 403(b)(1) arrangement A 403(b) plan, also known as a tax-sheltered annuity (TSA) plan, is a retirement plan for certain employees of public schools, employees of certain tax-exempt organizations, and certain ministers.
2M Code section 403(b)(7) accounts A 403(b)(7) plan is a tax-deferred retirement plan often available to employees of public schools or non-profit organizations.
2R Brokerage Window Participant-directed brokerage accounts provided as an investment option under the plan.

Questions and Answers

Question Answer Amount
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
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
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $5,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
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
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
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
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? No

Financials

Income and Expense Statement

Income $203,888,558
Contributions $96,146,386
Cash Contributions $96,146,386
Cash from Employers $42,872
Cash from Participants $96,103,514
Others (including rollovers) $0
Noncash Contributions $0
Total Earnings on Investments $107,742,172
Total Interest $17,605,066
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $9,192,813
Interest from Other Investments $8,412,253
Total Dividends $0
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $0
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $90,137,106
Other Income $0
Expenses $47,112,219
Total Benefit Payments $45,803,547
Directly to participants or beneficiaries, including direct rollovers $45,803,547
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $1,308,672
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $0
Other Administrative Fees $1,308,672
Net Income $156,776,339
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2010 12/31/2009 Change YOY
Total Assets $964,385,818 $807,546,929 19.42%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $0 $0 0.0%
Employer Contributions $0 $0 0.0%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $0 $0 0.0%
Interest-bearing cash $0 $0 0.0%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $11,053,899 $9,343,472 18.31%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $0 $0 0.0%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $904,615,966 $750,125,809 20.60%
Value of funds held in insurance co. general account $23,006,624 $24,867,001 -7.48%
Other Investments $25,709,329 $23,210,647 10.77%
Employer-related Investments $0 $0 0.0%
Employer Securities $0 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $295,762 $233,212 26.82%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $295,762 $233,212 26.82%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $964,090,056 $807,313,717 19.42%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Jpmorgan Retirement Plan Services
  • Chase Investment Services Corp.
  • Axa Equitable

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Jpmorgan Institutional Invest Investment advisory (participants), Direct payment from the plan NONE $1,000,613 $0 $1,000,613
Jpmorgan Retirement Plan Services Recordkeeping and information management (computing, tabulating, data processing, etc.), Participant loan processing, Direct payment from the plan, Float revenue, Recordkeeping fees NONE $102,591 $0 $102,591
Citigroup Global Markets, Inc. Investment advisory (participants) NONE $81,250 $0 $81,250
Deloitte & Touche, LLP Accounting (including auditing) Auditor $21,000 $0 $21,000
Chase Investment Services Corp Securities brokerage, Direct payment from the plan, Shareholder servicing fees, Securities brokerage commissions and fees NONE $2,929 $0 $2,929
Axa Equitable Participant loan processing, Product termination fees (surrender charges, etc.), Investment management, Trustee (directed), Shareholder servicing fees, Sub-transfer agency fees, Float revenue, Distribution (12b-1) fees, Other insurance wrap fees Recordkeeper $2,913 $0 $2,913
Total $1,211,296 $0 $1,211,296

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Jpmorgan Retirement Plan Services Alliancebernstein Shareholder servicing fees Rate of .20% of Sales and .05% of Average Daily Balance of Asset(S); Fixed Rate $40,000 Annually $0
Jpmorgan Retirement Plan Services American Century Shareholder servicing fees Rate of .25% of Sales and .05% of Average Daily Balance of Assets Fixed Rate $40,000 Annually $0
Jpmorgan Retiremenet Plan Services Delaware Funds Shareholder servicing fees Rate of .25% of Sales and .05% of Average Daily Balance of Assets; Fixed Rate $40,000 Annually $0
Jpmorgan Retirement Plan Services Dreyfus Shareholder servicing fees Rate of .25% of Sales and .05% of Average Daily Balance of Assets $0
Jpmorgan Retirement Plan Services Eaton Vance Shareholder servicing fees Rate of .20% of Sales and .05% of Average Daily Balance of Assets; Fixed Rate $50,000 Annually $0
Jpmorgan Retirement Plan Services Federated Shareholder servicing fees Rate of .20% of Sales and .05% of Average Daily Balance of Assets Fixed Rate $40,000 Annually $0
Jpmorgan Retirement Plan Services Fidelity Shareholder servicing fees Rate of .20% of Sales Fixed Rate $40,000 Annually $0
Jpmorgan Retirement Plan Services Franklin Shareholder servicing fees Rate of .08 of Sales and .02%-.05% of Average Daily Balance of Assets. $0
Jpmorgan Retirement Plan Services Hartford Shareholder servicing fees Range of .15-.20% of Sales and .03-.05% of Average Daily Balance of Assets Fixed Rate $40,000 Annually $0
Jpmorgan Retirement Plan Services J.P. Morgan Funds Shareholder servicing fees Rate of .20% of Sales and .05% Average Daily Balance of Assets Fixed Rate $40,000 Annually $0
Jpmorgan Retirement Plan Services MFS Shareholder servicing fees Rate of .10% of Sales and .05% of Average Daily Balance of Assets $0
Jpmorgan Retirement Plan Services Oppenheimer Shareholder servicing fees Rate of .06% of Average Daily Balance of Assets $0
Jpmorgan Retirement Plan Services Pimco Shareholder servicing fees Rate of .10% of Sales and .03% - .06% of Average Daily Balance of Assets $0
Jpmorgan Retirement Plan Services Principal Shareholder servicing fees Rate of .25% of Sales and .05% of Average Daily Balance of Assets Fixed Rate $40,000 Annually $0
Jpmorgan Retirement Plan Services Allianz Shareholder servicing fees Rate of .10% of Sales and .06% of Average Daily Balance of Assets $0
Jpmorgan Retirement Plan Services Nuveen Shareholder servicing fees Rate of .10%-.20% of Sales and .05% of Average Daily Balance of Assets $0
Jpmorgan Retirement Plan Services Putnam Shareholder servicing fees Rate of .25% of Sales and .05% of Average Daily Balance of Assets; Fixed Rate $40,000 Annually $0
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

No investments information available for this plan.

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Axa Equitable Life Insurance Company 1,114
EIN 13-5570651
Industry Code 62944
Contract Number 074521
Contract Year 01/01/2010 — 12/31/2010
Value in General Account at Year End $0
Value in Separate Accounts at Year End $23,006,624
Insurance Fees and Commissions $0
Persons Receiving Commissions and Fees There are no brokers listed for this plan.
Allocated Funds
Type of Contract Unspecified
Basis of premium rates See Attachment
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Guaranteed Investment
Balance at the end of the previous year $24,867,001
Additions $593,784
Contributions Deposited during the year $13,791
Dividends and credits $0
Interest credited during the year $524,287
Transferred from separate account $0
Other $55,706
Total of Balance and Additions $25,460,785
Deductions $2,454,161
Disbursed from fund to pay benefits or purchase annuities during the year $2,372,477
Administration charge made by carrier $19,691
Transferred to Separate Account $0
Other $61,993
Balance at the end of the current year $23,006,624