UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 11-K
(Mark One)
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þ
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ANNUAL REPORT PURSUANT TO SECTION 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the fiscal year ended December 31, 2010
OR
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o
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TRANSITION REPORT PURSUANT TO SECTION 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from to .
Commission file number: 000-17017
A.
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Full title of the plan and the address of the plan, if different from that of the issuer named below:
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DELL INC. 401(k) PLAN
B.
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Name of issuer of the securities held pursuant to the plan and the address of its principal
executive office:
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DELL INC.
ONE DELL WAY
ROUND ROCK, TEXAS 78682
DELL INC. 401(k) PLAN
TABLE OF CONTENTS
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Page
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1
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FINANCIAL STATEMENTS:
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2
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3
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4
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16
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NOTE:
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Other schedules required by Section 2520.103-10 of the Department of
Labors Rules and Regulations for Reporting and Disclosure under the
Employee Retirement Income Security Act of 1974 have been omitted because
they are not applicable.
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Report of Independent Registered Public Accounting Firm
To the Participants and Benefits Administration Committee of the Dell Inc. 401(k) Plan:
In our opinion, the accompanying statements of net assets available for benefits and the related
statement of changes in net assets available for benefits present fairly, in all material respects,
the net assets available for benefits of the Dell Inc. 401(k) Plan (the Plan) as of December 31,
2010 and 2009, and the changes in net assets available for benefits for the year ended December 31,
2010 in conformity with accounting principles generally accepted in the United States of America.
These financial statements are the responsibility of the Plans management. Our responsibility is
to express an opinion on these financial statements based on our audits. We conducted our audits
of these statements in accordance with the standards of the Public Company Accounting Oversight
Board (United States). Those standards require that we plan and perform the audit to obtain
reasonable assurance about whether the financial statements are free of material misstatement. An
audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the
financial statements, assessing the accounting principles used and significant estimates made by
management, and evaluating the overall financial statement presentation. We believe that our
audits provide a reasonable basis for our opinion.
Our audits were conducted for the purpose of forming an opinion on the basic financial statements
taken as a whole. The supplemental Schedule H, Part IV, Line 4i Schedule of Assets (Held at End
of Year) as of December 31, 2010 is presented for the purpose of additional analysis and is not a
required part of the basic financial statements but is supplementary information required by the
Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee
Retirement Income Security Act of 1974. This supplemental schedule is the responsibility of the
Plans management. The supplemental schedule has been subjected to the auditing procedures applied
in the audits of the basic financial statements and, in our opinion, is fairly stated in all
material respects in relation to the basic financial statements taken as a whole.
PricewaterhouseCoopers LLP
Austin, Texas
June 21, 2011
- 1 -
DELL INC. 401(k) PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2010 AND 2009
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(in thousands)
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2010
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2009
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ASSETS:
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Investments:
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Mutual funds
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$
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1,366,100
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$
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838,804
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Separately managed funds
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730,514
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462,413
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Stable value fund
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328,857
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219,013
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Dell Stock Fund
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122,859
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147,020
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Common collective trust
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284,819
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116,516
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Short-term investment funds
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13,081
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2,001
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Total investments
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2,846,230
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1,785,767
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Receivables:
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Participant loans
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69,862
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56,076
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Employer contributions
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9,785
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6,576
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Interest income
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669
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498
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Due from broker unsettled trades
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343
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1,029
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Total receivables
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80,659
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64,179
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Total assets
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2,926,889
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1,849,946
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LIABILITIES:
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Administrative expenses payable
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1,959
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963
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Due to broker
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205
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54
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Total liabilities
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2,164
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1,017
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NET ASSETS AVAILABLE FOR BENEFITS AT FAIR VALUE
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2,924,725
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1,848,929
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ADJUSTMENT FROM FAIR VALUE TO CONTRACT VALUE
FOR FULLY BENEFIT-RESPONSIVE STABLE VALUE FUND
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(400
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4,493
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NET ASSETS AVAILABLE FOR BENEFITS
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$
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2,924,325
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$
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1,853,422
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The accompanying notes are an integral part of these financial statements.
- 2 -
DELL INC. 401(k) PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2010
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(in thousands)
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ADDITIONS:
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Contributions:
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Employee
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$
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208,834
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Employer
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130,854
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Employee rollovers
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12,530
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Total contributions
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352,218
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Investment income:
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Interest and dividends
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43,338
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Net appreciation in fair value of investments
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167,012
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Total investment income
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210,350
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Interest on participant loans
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2,928
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Total additions
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565,496
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DEDUCTIONS:
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Benefits paid to participants
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150,993
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Administrative expenses
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3,515
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Total deductions
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154,508
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INCREASE IN NET ASSETS
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410,988
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TRANSFER FROM PEROT SYSTEMS CORPORATION
RETIREMENT SAVINGS PLAN
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659,915
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NET ASSETS AVAILABLE FOR BENEFITS:
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Beginning of year
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1,853,422
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End of year
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$
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2,924,325
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The accompanying notes are an integral part of these financial statements.
- 3 -
DELL INC. 401(k) PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2010 AND 2009, AND FOR THE YEAR ENDED DECEMBER 31, 2010
1. DESCRIPTION OF THE PLAN
The following brief description of the Dell Inc. 401(k) Plan (the Plan) is provided for
general information purposes only. Participants should refer to the Plan document for a more
complete description of the Plans provisions.
General
Dell Inc. (the Company or Employer) originally adopted the Plan on June 1, 1989,
and subsequently amended and restated the Plan effective January 1, 2007, and January 1, 2009.
The Benefits Administration Committee of the Company (BAC) controls and manages the operation
and administration of the Plan. Effective January 1, 2010, The Bank of New York Mellon (the
Plan Trustee) replaced JP Morgan Chase Bank, N.A. (the Prior Trustee) as the Plans
Trustee.
The Plan is a defined contribution plan covering all U.S. resident employees of the Company who
are not covered by a collective bargaining agreement. Participation in the Plan is at the
election of the employee. The Plan is subject to the provisions of the Employee Retirement
Income Security Act of 1974, as amended (ERISA).
In 2006, the Company acquired Alienware Corporation (Alienware), and the Alienware employees
became eligible to participate in the Plan on August 3, 2009. The BAC approved the assets of
the Alienware Corporation Profit Sharing Plan & Trust to be merged into the Plan, with the
transfer of participant accounts expected to occur by the end of 2011.
Dell acquired Perot Systems on November 3, 2009. As of January 1, 2010, the Perot Systems
employees are eligible to participate in the Plan. The BAC approved the assets of the Perot
Systems Corporation Retirement Savings Plan to be merged into the Plan. Participant account
balances of $659,915,000 were transferred into the Plan on December 10, 2010.
Participant Contributions
Contributions are made to the Plan by the Company on behalf of
each eligible participant based upon the participants elected compensation deferral through
payroll deductions. The deferrals are funded by the Company at the end of each payroll period.
The amount eligible participants may elect to contribute to the Plan ranges from 1% to 50% of
their eligible compensation, in whole percentages, up to the annual statutory limit of $16,500
as permitted by the Internal Revenue Code of 1986, as amended (IRC). Highly compensated
employees, as defined by the IRC, may be subject to more restrictive maximum annual
contribution limits if the Plan fails to satisfy certain testing criteria set forth in the IRC.
The Plan relies on the safe harbor rules of Section 401(k)(12) of the IRC in order to satisfy
the nondiscrimination testing requirements. Participants age 50 or over may elect to contribute
an additional $5,500 (catch-up contributions) over the base statutory limit in accordance
with the Economic Growth and Tax Relief Reconciliation Act of 2001.
Effective April 1, 2010, the Company elected to impose a 20% cap on the percentage of future
contributions a participant can invest in the Dell Stock Fund investment option. In conjunction
with the contribution restriction, participants are no longer permitted to make an elective
transfer or balance that will increase their position in the Dell Stock Fund above 20% of their
total account balance. In addition, there is a 14 day trading restriction that prevents
participants from reallocating or transferring money back into the Dell Stock Fund for 14 days
from the date of the last transfer out of the Dell Stock Fund.
- 4 -
The Plan also permits employees to contribute balances from other qualified plans (rollover
contributions).
Employer Contributions
For 2010, the Company matched 100% of the first 5% of eligible
compensation that each participant contributed to the Plan. The Companys matching
contributions were made at the end of each payroll period. Additional discretionary Employer
contributions may be made upon the approval of the Companys Board of Directors. The Company
made no additional discretionary contributions for the year ended December 31, 2010. All of the
Companys contributions are invested at the participants discretion among the fund elections.
Neither participant, Company matching, nor discretionary contributions, if any, are required to
be invested in the Dell Stock Fund.
Participant Accounts
Each participants account is credited with the participants
contributions, allocations of Company matching and discretionary contributions, and Plan
earnings or losses offset by withdrawals and Plan administrative expenses. The benefit to which
a participant is entitled is the benefit that can be provided from the participants vested
account.
Vesting
Participants are immediately vested in their contributions and earnings thereon. All
participants are also immediately vested in all Employer contributions and earnings thereon.
Participants employed with the Company as of January 1, 2005, who were not re-hired in the
subsequent 5 year period ended December 31, 2009, became fully vested in all Employer
contributions and earnings thereon. Participants that terminated employment with the Company
prior to January 1, 2005, forfeited unvested amounts to the Plan.
Forfeitures
Company contributions forfeited by unvested terminated participants may be used
by the Company to satisfy Plan administrative expenses or to reduce future Company
contributions. During 2010, $431,871 in forfeitures were used to reduce Company contributions.
There were no unallocated forfeited non-vested accounts at December 31, 2010 and 2009.
Benefit Payments
Participants are entitled to receive a distribution of the vested portion
of their account upon reaching age 59
1
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2
, termination of employment, disability, death, or in the
event of financial hardship. A participant who has separated from service may defer benefit
payments until reaching age 65, provided his or her vested account balance is greater than
$5,000; otherwise, in the event of a distribution greater than $1,000 but less than $5,000, the
participant may elect either a direct rollover to an individual retirement account (IRA) or
another qualified plan or a lump-sum amount equal to the value of the vested portion of his or
her account upon termination of service. If an employee fails to make an election of one of
these options within 90 days of the termination date, his or her vested account balance will
automatically be directed to a rollover IRA. Similarly, participants with a vested account
balance of less than $1,000 may elect either of the options noted above. If an election is not
made within 90 days of the termination date, the balance will be distributed to the participant
in a lump sum. Payment of benefits prior to termination of service may be made under certain
circumstances as defined by the Plan.
Administration and Plan Expenses
Plan assets are held in trust by the Plan Trustee. The
Plans third-party recordkeeper is Aon Hewitt. Administrative expenses are primarily paid by
the participants of the Plan and are allocated to participant accounts ratably based on their
respective balances.
Investments
All investments are participant directed. The Plan is invested in mutual funds,
a common collective trust, separately managed funds, the Dwight Stable Value Fund (the Dwight
Fund), and the Dell Stock Fund. The following investments represent separately managed funds
which are comprised of investments in common stocks, mutual funds and cash equivalents: Dell
Inc. 401(k) Dodge & Cox Large Cap Fund, Dell Inc. 401(k) Dodge & Cox Balanced Fund, and Dell
Inc. 401(k)
- 5 -
Times Square Small/Mid Cap Growth Fund. These separately managed funds and the Dwight Fund
collectively are the Plans core funds (the Core Funds). The Plan invests in all investments
on a unitized basis.
In addition to the Core Funds, participants may elect to contribute to funds that invest in a
mix of the Core Funds based on target retirement dates (Pre-Mixed Portfolios). The Pre-Mixed
Portfolios provide for diversification of investments based on the participants expected
retirement dates.
The American Growth Fund and American Euro Pacific Growth Fund contain a trading restriction
that requires shareholders who sell more than $5,000 from either fund to wait at least 30 days
before repurchasing into the fund. The restriction applies to transfers and reallocations of
current account balances. The restriction does not apply to sales/purchases of $5,000 or less,
rollovers, and retirement plan contributions and distributions. The restriction also excludes
activity in any of the Pre-Mixed Portfolios that contain either the American Growth Fund or the
American Euro Pacific Growth Fund.
Participant Loans
Participants may take out a maximum loan amount equal to the lesser of (i)
$50,000 less the highest outstanding loan balance during the past 12 months or (ii) 50% of the
available vested portion of their account balance less any current outstanding loan balance
(minimum loan amount of $500). Each participants loan is collateralized by the participants
vested account balance and is charged an interest rate equal to the prime rate on the date of
loan origination plus 1.0% and a one-time fee of $75. Loan repayment period cannot exceed four
and a half years except when the proceeds of the loan are used to acquire the participants
primary residence, when the repayment period cannot exceed 20 years. At December 31, 2010,
loans bore interest at rates ranging between 4.25% and 10.50% and are due at various dates
through August 25, 2031.
Plan Termination
Although it has not expressed any intent to do so, the Company has the
right under the Plan to discontinue its contributions at any time and to terminate the Plan
subject to the provisions of ERISA. In the event of Plan termination, Plan assets will be
distributed in accordance with the Plan document.
2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Basis of Accounting
The accompanying financial statements have been prepared in accordance
with accounting principles generally accepted in the United States of America (GAAP).
Use of Estimates
The preparation of financial statements in conformity with GAAP requires
the use of management estimates. These estimates are subjective in nature and involve
assumptions that affect the reported amounts of assets and liabilities, the disclosure of
contingent assets and liabilities, and the reported amounts of investment income and deductions
during the fiscal year. Actual results could differ from those estimates.
Changes in the Valuation Technique Used to Measure Similar Assets in Prior Periods
In
accordance with recent Financial Accounting Standards Board (FASB) guidance, the valuation of
participant loans as of December 31, 2010, consists of outstanding principal and related
accrued interest. The prior year balance is valued using a discounted cash flow model. The
impact of the change in valuation technique is insignificant to the participant loan balance.
See Note 1 for additional information regarding participant loans.
Risks and Uncertainties
The Plan provides for various investments in common stock,
short-term investments, mutual funds, a common collective trust, separately managed funds, and
the Dwight Fund. Investment securities are exposed to various risks, such as interest rate,
market, and credit risks. Due to
- 6 -
the level of risk associated with certain investment securities, and the recent volatility in
the financial markets, it is at least reasonably possible that changes will continue to occur
in the near term that could materially affect participants account balances and the amounts
reported in the statements of net assets available for benefits.
Contributions
Participant and Employer contributions are recorded in the period the Employer
makes the payroll deduction or upon approval by the Company for discretionary Employer
contributions, if any.
Investment Valuation and Income Recognition
The Plans investments are stated at fair value.
Fair value is the price that would be received to sell an asset or paid to transfer a liability
in an orderly transaction between market participants at the
measurement date. Investments in shares of mutual funds are valued at quoted market prices, which represent the net asset value
of shares held by the Plan at year end. The investment in the common collective trust and
separately managed funds are stated at estimated fair value based on the fair value of the
underlying investments and is allocated to participant accounts based on the unit value of the
fund.
The Dwight Fund is a stable value fund that is considered to be a separate account consisting
of cash and fixed income investment funds wrapped with insurance contracts. The fair value of
the Dwight Fund is based on the fair value of its underlying investments then adjusted by the
issuer to contract value (see Note 3). Participants may ordinarily direct the withdrawal or
transfer of all or a portion of their investment at contract value. Contract value represents
contributions made to the fund, plus earnings, less participant withdrawals.
The Plan presents, in the Statement of Changes in Net Assets Available for Benefits, the net
appreciation (depreciation) in the fair value of investments, which consists of realized gains
and losses and the unrealized appreciation (depreciation) on those investments.
Purchases and sales of securities are recorded on a trade-date basis. Interest income is
recorded on the accrual basis. Dividends are recorded on the ex-dividend date.
Unit Values
Individual participant accounts invested in the common collective trust,
separately managed funds, and mutual funds are maintained on a unit value basis. Participants
do not have beneficial ownership in specific underlying securities or other assets in the
mutual funds, common collective trust, or the separately managed funds, but have an interest
therein represented by units valued as of the last business day of the period. The mutual
funds, common collective trust, and the separately managed funds earn dividends and interest,
which are automatically reinvested in additional units. Generally, contributions to and
withdrawal payments from the mutual funds, common collective trust, and the separately managed
funds are converted to units by dividing the amounts of such transactions by the unit values as
last determined, and the participants accounts are charged or credited with the number of
units properly attributable to each participant.
Contract Value
The Dwight Fund is considered to be a stable value fund and is therefore
required to be reported at fair value. However, contract value is the relevant measurement
attribute for that portion of the net assets available for benefits of a defined-contribution
plan attributable to direct or indirect investment in fully benefit-responsive investment
contracts because contract value is the amount participants would receive if they were to
initiate permitted transactions under the terms of the Plan. As required by the applicable
accounting guidance on the Reporting of Fully Benefit-Responsive Investment Contracts, the
statement of net assets available for benefits presents the Dwight Fund at fair value, and an
additional line item is presented representing the adjustment from fair value to contract
value. The statement of changes in net assets available for benefits is prepared on a contract
value basis.
- 7 -
Payment of Benefits
Benefits are recorded when paid.
Accounting Pronouncements
The FASB is the authoritative body for financial accounting and
reporting in the United States. The following is a list of recent pronouncements issued by the
FASB:
In January 2010, the FASB issued guidance adding new disclosure requirements for Levels 1 and 2
fair value measures, separate disclosures of purchases, sales, issuances, and settlements
relating to Level 3 measurements and clarification of existing fair value disclosures. The
guidance is effective for periods beginning after December 15, 2009, except for the requirement
to provide Level 3 activity of purchases, sales, issuances, and settlements on a gross basis,
which is effective for fiscal years beginning after December 15, 2010. As this new guidance
provides only disclosure requirements, its adoption did not have any effect on the Plans
reported net assets or changes in net assets.
In September 2010, the FASB issued guidance that requires participant loans be classified as
receivables from participants, which are segregated from plan investments and measured at their
unpaid principal balance plus any accrued but unpaid interest. Participant loans are exempt
from the disclosure requirements surrounding fair value and credit quality. The Plan adopted
these requirements as of December 31, 2010 and, as required, reclassified loans on the
statement of net assets as of December 31, 2009, and excluded the loans from investments as of
December 31, 2009, in Note 3.
- 8 -
3. FAIR VALUE MEASUREMENTS
The following tables set forth by level within the fair value hierarchy a summary of the Plans
investments measured at fair value on a recurring basis at December 31, 2010 and 2009:
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December 31, 2010
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Level 1
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Level 2
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Level 3
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Quoted
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Prices in
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Active
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Significant
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Markets for
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Other
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Significant
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Identical
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Observable
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Unobservable
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Assets
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Inputs
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Inputs
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Total
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(in thousands)
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Mutual funds:
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Fixed income funds
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$
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$
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345,558
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$
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$
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345,558
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Domestic equity funds
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517,658
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517,658
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International equity funds
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502,884
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502,884
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Total mutual funds
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1,366,100
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|
|
|
|
|
|
1,366,100
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Separately managed funds:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Mutual funds fixed income
|
|
|
|
|
|
|
84,844
|
|
|
|
|
|
|
|
84,844
|
|
Short-term investment funds
|
|
|
36,938
|
|
|
|
|
|
|
|
|
|
|
|
36,938
|
|
Common stock:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Consumer discretionary
|
|
|
99,387
|
|
|
|
|
|
|
|
|
|
|
|
99,387
|
|
Energy
|
|
|
61,576
|
|
|
|
|
|
|
|
|
|
|
|
61,576
|
|
Financial services
|
|
|
101,758
|
|
|
|
|
|
|
|
|
|
|
|
101,758
|
|
Health care
|
|
|
110,203
|
|
|
|
|
|
|
|
|
|
|
|
110,203
|
|
Materials & processing
|
|
|
46,200
|
|
|
|
|
|
|
|
|
|
|
|
46,200
|
|
Producer durables
|
|
|
30,885
|
|
|
|
|
|
|
|
|
|
|
|
30,885
|
|
Technology
|
|
|
130,345
|
|
|
|
|
|
|
|
|
|
|
|
130,345
|
|
Other
|
|
|
28,378
|
|
|
|
|
|
|
|
|
|
|
|
28,378
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total common stock
|
|
|
608,732
|
|
|
|
|
|
|
|
|
|
|
|
608,732
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total separately managed funds
|
|
|
645,670
|
|
|
|
84,844
|
|
|
|
|
|
|
|
730,514
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Stable value fund:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Fixed income funds
|
|
|
|
|
|
|
291,192
|
|
|
|
|
|
|
|
291,192
|
|
Short-term investment funds
|
|
|
37,178
|
|
|
|
|
|
|
|
|
|
|
|
37,178
|
|
Synthetic contract wrappers
|
|
|
|
|
|
|
487
|
|
|
|
|
|
|
|
487
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total stable value fund
|
|
|
37,178
|
|
|
|
291,679
|
|
|
|
|
|
|
|
328,857
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dell Stock Fund
|
|
|
122,859
|
|
|
|
|
|
|
|
|
|
|
|
122,859
|
|
Domestic equity common collective trust
|
|
|
|
|
|
|
284,819
|
|
|
|
|
|
|
|
284,819
|
|
Short-term investment funds
|
|
|
13,081
|
|
|
|
|
|
|
|
|
|
|
|
13,081
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total assets measured at fair value
|
|
$
|
818,788
|
|
|
$
|
2,027,442
|
|
|
$
|
|
|
|
$
|
2,846,230
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
- 9 -
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
December 31, 2009
|
|
|
|
Level 1
|
|
|
Level 2
|
|
|
Level 3
|
|
|
|
|
|
|
Quoted
|
|
|
|
|
|
|
|
|
|
|
|
|
Prices in
|
|
|
|
|
|
|
|
|
|
|
|
|
Active
|
|
|
Significant
|
|
|
|
|
|
|
|
|
|
Markets for
|
|
|
Other
|
|
|
Significant
|
|
|
|
|
|
|
Identical
|
|
|
Observable
|
|
|
Unobservable
|
|
|
|
|
|
|
Assets
|
|
|
Inputs
|
|
|
Inputs
|
|
|
Total
|
|
|
|
|
|
|
|
(in thousands)
|
|
|
|
|
|
Mutual funds:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Fixed income funds
|
|
$
|
|
|
|
$
|
216,840
|
|
|
$
|
|
|
|
$
|
216,840
|
|
Domestic equity funds
|
|
|
|
|
|
|
290,859
|
|
|
|
|
|
|
|
290,859
|
|
International equity funds
|
|
|
|
|
|
|
331,105
|
|
|
|
|
|
|
|
331,105
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total mutual funds
|
|
|
|
|
|
|
838,804
|
|
|
|
|
|
|
|
838,804
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Separately managed funds:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Mutual funds fixed income
|
|
|
|
|
|
|
62,897
|
|
|
|
|
|
|
|
62,897
|
|
Short-term investment funds
|
|
|
18,710
|
|
|
|
|
|
|
|
|
|
|
|
18,710
|
|
Common stock:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Consumer discretionary
|
|
|
61,445
|
|
|
|
|
|
|
|
|
|
|
|
61,445
|
|
Energy
|
|
|
36,611
|
|
|
|
|
|
|
|
|
|
|
|
36,611
|
|
Financial services
|
|
|
52,112
|
|
|
|
|
|
|
|
|
|
|
|
52,112
|
|
Health care
|
|
|
82,033
|
|
|
|
|
|
|
|
|
|
|
|
82,033
|
|
Materials & processing
|
|
|
36,145
|
|
|
|
|
|
|
|
|
|
|
|
36,145
|
|
Producer durables
|
|
|
15,620
|
|
|
|
|
|
|
|
|
|
|
|
15,620
|
|
Technology
|
|
|
82,776
|
|
|
|
|
|
|
|
|
|
|
|
82,776
|
|
Other
|
|
|
14,064
|
|
|
|
|
|
|
|
|
|
|
|
14,064
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total common stock
|
|
|
380,806
|
|
|
|
|
|
|
|
|
|
|
|
380,806
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total separately managed funds
|
|
|
399,516
|
|
|
|
62,897
|
|
|
|
|
|
|
|
462,413
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Stable value fund:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Fixed income funds
|
|
|
|
|
|
|
204,880
|
|
|
|
|
|
|
|
204,880
|
|
Short-term investment funds
|
|
|
13,756
|
|
|
|
|
|
|
|
|
|
|
|
13,756
|
|
Synthetic contract wrappers
|
|
|
|
|
|
|
377
|
|
|
|
|
|
|
|
377
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total stable value fund
|
|
|
13,756
|
|
|
|
205,257
|
|
|
|
|
|
|
|
219,013
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dell Stock Fund
|
|
|
147,020
|
|
|
|
|
|
|
|
|
|
|
|
147,020
|
|
Domestic equity common collective trust
|
|
|
|
|
|
|
116,516
|
|
|
|
|
|
|
|
116,516
|
|
Short-term investment funds
|
|
|
2,001
|
|
|
|
|
|
|
|
|
|
|
|
2,001
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total assets measured at fair value
|
|
$
|
562,293
|
|
|
$
|
1,223,474
|
|
|
$
|
|
|
|
$
|
1,785,767
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
The valuation methods described in Note 2 may produce a fair value calculation that may
not be indicative of net realizable value or reflective of future values. Furthermore, although
the Plan believes its valuation methods are appropriate and consistent with other market
participants, the use of different methodologies or assumptions to determine the fair value of
certain financial instruments could result in a different fair value measurement at the
reporting date.
- 10 -
The following is a description of valuation methodologies used for the fair value measurements
of investments:
|
|
|
Mutual funds
|
|
Consists of registered investment companies investments valued
at their net asset value, which can be market corroborated.
|
|
|
|
Separately managed funds
|
|
Consists of various common stocks and mutual funds. The values
of the separately managed funds may be market corroborated
as their underlying investments are the following: stocks, Level
1, are valued at the closing price reported on the active market on
which the security is traded; and mutual funds, Level 2, are
valued at their net asset value, which can be market corroborated.
|
|
|
|
Stable value fund
|
|
Consists of cash and fixed income investment funds wrapped with
insurance contracts. The fixed income investment funds are valued
at their net asset value, and the fair value of the wrapped
insurance contracts is determined using a discounted cash flow
model with inputs derived from observable market data. The
valuation of the wrapped insurance contracts is not significant to
the overall valuation of the Fund. There are no
redemption restrictions on the Plans investment in the Stable
Value Fund.
|
|
|
|
Dell Stock Fund
|
|
Dell stock is valued at the closing price reported on the active
market.
|
|
|
|
Common collective trust
|
|
The Plans investment in common collective trusts primarily
consists of the BlackRock Equity Index Fund which is valued by the
issuer of the fund and can be market corroborated. The BlackRock
Equity Index Fund seeks to match the performance of the S&P 500
Index and there are no redemption restrictions on
the Plans investment in this fund.
|
|
|
|
Short-term investment funds
|
|
Consists of money market funds that are valued at fair value,
which approximates cost. The valuations of these securities are
based on quoted prices in active markets for identical assets.
|
- 11 -
4. INVESTMENTS
The following table presents investments that represent 5% or more of the Plans net assets as
of December 31, 2010 and/or 2009:
|
|
|
|
|
|
|
|
|
|
|
2010
|
|
2009
|
|
|
(in thousands)
|
Mutual funds:
|
|
|
|
|
|
|
|
|
American Euro Pacific Growth Fund
|
|
$
|
397,760
|
|
|
$
|
256,038
|
|
PIMCO Total Return Fund
|
|
|
345,558
|
|
|
|
216,840
|
|
American Growth Fund
|
|
|
283,096
|
|
|
|
143,882
|
|
Neuberger Berman Genesis Fund
|
|
|
234,562
|
|
|
|
146,977
|
|
|
|
|
|
|
|
|
|
|
Separately managed funds:
|
|
|
|
|
|
|
|
|
Dell Inc. 401(k) Dodge & Cox Large Cap Value Fund
|
|
|
270,250
|
|
|
|
175,151
|
|
Dell Inc. 401(k) Dodge & Cox Balanced Fund
|
|
|
262,407
|
|
|
|
194,836
|
|
Dell Inc. 401(k) Times Square Small/Mid Cap Growth Fund
|
|
|
197,857
|
|
|
|
92,427
|
*
|
|
|
|
|
|
|
|
|
|
Dwight Stable Value Fund
|
|
|
328,857
|
|
|
|
219,013
|
|
|
|
|
|
|
|
|
|
|
** Dell Stock Fund
|
|
|
122,859
|
*
|
|
|
147,020
|
|
|
|
|
|
|
|
|
|
|
Common collective trust:
|
|
|
|
|
|
|
|
|
BlackRock Equity Index Fund
|
|
|
284,819
|
|
|
|
116,516
|
|
|
|
|
*
|
|
Amount is less than 5% as of December 31 but is presented for comparitive purposes
|
|
**
|
|
Party-in-interest
|
At December 31, 2010 and 2009, the Plan owned 9,067,076 and 10,238,164 shares, respectively, of the
Dell Stock Fund valued at $122,858,880 and $147,020,035 respectively. This represents approximately
4% and 8% of the Plans investments at December 31, 2010 and 2009, respectively. During 2010,
1,128,530 shares were purchased and 2,299,618 shares were sold.
The changes in fair value during 2010 for the Plans investments (including investments
purchased, sold, as well as held during the year) are as follows:
|
|
|
|
|
|
|
2010
|
|
|
|
(in thousands)
|
|
|
|
|
|
|
Mutual funds
|
|
$
|
84,728
|
|
Separately managed funds common stock
|
|
|
66,008
|
|
Stable value fund
|
|
|
148
|
|
Dell Stock Fund
|
|
|
(6,602
|
)
|
Common collective trust
|
|
|
22,730
|
|
|
|
|
|
|
|
|
|
|
Total net change in fair value of investments
|
|
$
|
167,012
|
|
|
|
|
|
- 12 -
5. STABLE VALUE FUND
The Dwight Fund is a self-managed stable value investment option. The Dwight Fund may invest in
a variety of stable value products including guaranteed investment contracts (GICs) issued by
insurance companies and other financial institutions, and other investment products (separate
account contracts and synthetic GICs) with similar characteristics. The Dwight Fund did not
hold any GIC contracts or any separate account contracts during the years ended December 31,
2010 and 2009.
A synthetic GIC (SIC), also known as a wrap contract, is an investment contract issued by an
insurance company or other financial institution, backed by a portfolio of bonds or other fixed
income assets that are owned by the Plan. These assets underlying the wrap contract are
maintained by a third party custodian, separate from the contract issuers general assets. The
contracts are obligated to provide an interest rate not less than zero. SICs utilize the
benefit responsive wrap contracts to provide market and cash flow risk protection to the Plan
thus guaranteeing the value of the underlying investment for the life of the contract. This
enables the Plan to realize a specific known value for the assets if it needs to liquidate them
to make benefit payments. These contracts provide that realized and unrealized gains and losses
on the underlying assets are not reflected immediately in the net assets of the Dwight Fund,
but rather are amortized over the duration of the underlying assets or other agreed upon period
through adjustments to the future interest crediting rates. The issuer guarantees that all
qualified participant withdrawals will occur at contract value, which, subject to certain
disclosures below, represents contributions made under the contract, plus earnings, less
withdrawals made under the contract and administrative expenses.
The assets underlying the SICs in the Dwight Fund are comprised of cash equivalents, fixed
income funds, and a wrap contract. There were no valuation reserves against the SICs at
December 31, 2010 and 2009.
Crediting interest rates on the SICs are reset monthly based on yield to maturity and expected
cash flow over the life of the related supporting assets. All contracts have a minimum
guarantee on all rate resets of an interest rate of not less than zero percent.
The crediting interest rates for the SICs in the Dwight Fund as of December 31, 2010 and 2009,
ranged from 0.79% to 2.36% and 1.24% to 2.98%, respectively. The aggregate average annual yield
for the SICs in the Dwight Fund for the year ended December 31, 2010 was 1.91%. There are no
restrictions on participant withdrawals from the Dwight Fund. Certain withdrawals which are not
deemed to be participant initiated and not in compliance with the investment contracts
provisions, are subject to certain penalties.
Limitations on the Ability of the Dwight Fund to Transact at Contract Value:
Restrictions on the Plan
Participant-initiated transactions are those transactions allowed
by the Plan, including withdrawals for benefits, loans, or transfers to noncompeting funds
within a plan, but excluding withdrawals that are deemed to be caused by the actions of the
Company. The following employer-initiated events may limit the ability of the Dwight Fund to
transact at contract value:
|
|
|
A failure of the Plan or its trust to qualify for exemption from federal income taxes
or any required prohibited transaction exemption under ERISA
|
|
|
|
|
Any communication given to Plan participants designed to influence a participant not to
invest in the Dwight Fund or to transfer assets out of the Dwight Fund
|
- 13 -
|
|
|
Any transfer of assets from the Dwight Fund directly into a competing investment option
|
|
|
|
|
The establishment of a defined contribution plan that competes with the Plan for
employee contributions
|
|
|
|
|
Complete or partial termination of the Plan or its merger with another plan
|
In the event the wrap contracts fail to perform as intended, the Dwight Funds net asset value
may decline if the market value of its assets declines. The Dwight Funds ability to receive
amounts due pursuant to these wrap contracts is dependent on the third-party issuers ability
to meet their financial obligations. The wrap issuers ability to meet its contractual
obligations under the wrap contracts may be affected by future economic and regulatory
developments.
6. TAX STATUS
The Plan obtained its latest determination letter dated August 18, 2003, from the Internal
Revenue Service (IRS) informing the Company that the Plan and related trust are designed in
compliance with Section 401(a) of the IRC. The Plan has been amended since receiving the
determination letter. However, the Plan administrator believes that the Plan is currently
designed and being operated in compliance with the applicable requirements of the IRC. The
Company believes that the related trust is exempt from federal income tax under Section 501(a)
of the IRC. Therefore, the financial statements contain no provision for income taxes. The Plan
filed for a new determination letter in December 2009, which is pending from the IRS.
Accounting principles generally accepted in the United States of America require Plan
management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset)
if the Plan has taken an uncertain position that more likely than not would not be sustained
upon examination by the IRS. The Plan administrator has analyzed the tax positions taken by the
Plan, and has concluded that as of December 31, 2010, there are no uncertain positions taken or
expected to be taken that would require recognition of a liability (or asset) or disclosure in
the financial statements. The Plan is subject to routine audits by taxing jurisdictions;
however, there are currently no audits for any tax periods in progress. The Plan administrator
believes it is no longer subject to income tax examinations for years prior to 2007.
7. EXEMPT PARTY-IN-INTEREST TRANSACTIONS
Prior to January 1, 2010, the Plan invested in a short-term investment fund offered by the
Prior Trustee. These transactions qualified as exempt party-in-interest transactions.
Administrative expenses on the statement of changes in net assets available for benefits
include amounts paid to the Plan Trustee as well as to other exempt parties-in-interest.
The Plan is a claimant in a class action matter with the Company that was settled during 2010.
The Plan has hired an independent fiduciary to approve the calculations that were performed to
determine how many shares of stock were held by the Plan at the
measurement date. The number of shares will determine the settlement amount that the Plan will receive, which is not expected
to be material to the Plan.
- 14 -
8. RECONCILIATION OF FINANCIAL STATEMENTS TO FORM 5500
The following table reconciles the net assets available for benefits at December 31 from the
Plans financial statements to Form 5500. The stable value fund is adjusted to contract value
in the Plans financial statements, but is shown on Form 5500 at fair value.
|
|
|
|
|
|
|
|
|
|
|
2010
|
|
|
2009
|
|
|
|
(in thousands)
|
|
Net assets available for benefits per the financial statements
|
|
$
|
2,924,325
|
|
|
$
|
1,853,422
|
|
Adjustment from contract value to fair value for fully
benefit-responsive stable value fund
|
|
|
400
|
|
|
|
(4,493
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net assets available for benefits per Form 5500
|
|
$
|
2,924,725
|
|
|
$
|
1,848,929
|
|
|
|
|
|
|
|
|
The following is a reconciliation of the Plans increase in net assets available for benefits
reported in the Plan financial statements for the year ended December 31, 2010, to the Plans
increase in net assets available for benefits reported in the Plans Form 5500:
|
|
|
|
|
|
|
2010
|
|
|
|
(in thousands)
|
|
Increase in net assets available for benefits per financial statements
|
|
$
|
410,988
|
|
Add: Reversal of prior year adjustment from contract value to fair
value for fully benefit-responsive stable value fund
|
|
|
4,493
|
|
Add: Current year adjustment from contract value to fair value for fully
benefit-responsive stable value fund
|
|
|
400
|
|
|
|
|
|
|
|
|
|
|
Net income per Form 5500
|
|
$
|
415,881
|
|
|
|
|
|
9. SUBSEQUENT EVENTS
Effective January 1, 2011 the Plan will allow participants to make Roth contributions.
Additionally, effective January 1, 2011, the Plan added a common collective trust and four new
mutual fund investment options which participants may elect to invest in. For the year ended
December 31, 2010, subsequent events were evaluated through
June 21, 2011, the date the
financial statements were available to be issued.
* * * * * *
- 15 -
DELL INC. 401(k) PLAN
EIN 74-2487834, PLAN 001
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2010
(In thousands)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number
|
|
|
|
|
|
|
(e) Current
|
|
(a)
|
|
(b) Identity of Issue
|
|
(c) Description
|
|
of shares
|
|
|
(d) Cost**
|
|
|
Value
|
|
|
|
Dell Inc. Common Stock
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
*
|
|
Dell Stock Fund
|
|
Company Stock, $0.01 par value
|
|
|
9,067
|
|
|
|
|
|
|
$
|
122,859
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Short-Term Investment Fund:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dreyfus Govt Cash Mgmt Fund
|
|
Short-Term Investment
|
|
|
|
|
|
|
|
|
|
$
|
13,081
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Mutual Funds:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Neuberger Berman Genesis Fund
|
|
Registered Investment Fund
|
|
|
5,104
|
|
|
|
|
|
|
$
|
234,562
|
|
|
|
American Euro Pacific Growth Fund
|
|
Registered Investment Fund
|
|
|
9,629
|
|
|
|
|
|
|
|
397,760
|
|
|
|
Dodge & Cox International Stock Fund
|
|
Registered Investment Fund
|
|
|
2,944
|
|
|
|
|
|
|
|
105,124
|
|
|
|
PIMCO Total Return Fund
|
|
Registered Investment Fund
|
|
|
31,759
|
|
|
|
|
|
|
|
345,558
|
|
|
|
American Growth Fund
|
|
Registered Investment Fund
|
|
|
9,315
|
|
|
|
|
|
|
|
283,096
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Mutual Funds
|
|
|
|
|
|
|
|
|
|
|
|
$
|
1,366,100
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Separately Managed Funds:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dell Inc. 401(k) Dodge & Cox Balanced Fund
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
DREYFUS GOVT CASH MGMT FUND
|
|
Short-Term Investment
|
|
|
|
|
|
|
|
|
|
$
|
10,811
|
|
|
|
AEGON NV
|
|
Common Stock
|
|
|
145
|
|
|
|
|
|
|
|
889
|
|
|
|
AMGEN INC
|
|
Common Stock
|
|
|
77
|
|
|
|
|
|
|
|
4,211
|
|
|
|
AOL INC
|
|
Common Stock
|
|
|
33
|
|
|
|
|
|
|
|
779
|
|
|
|
BAKER HUGHES INC
|
|
Common Stock
|
|
|
54
|
|
|
|
|
|
|
|
3,099
|
|
|
|
BANK OF NEW YORK MELLON CORP
|
|
Common Stock
|
|
|
124
|
|
|
|
|
|
|
|
3,745
|
|
|
|
BB&T CORP
|
|
Common Stock
|
|
|
50
|
|
|
|
|
|
|
|
1,315
|
|
|
|
BMC SOFTWARE INC
|
|
Common Stock
|
|
|
31
|
|
|
|
|
|
|
|
1,461
|
|
|
|
BOSTON SCIENTIFIC CORP
|
|
Common Stock
|
|
|
262
|
|
|
|
|
|
|
|
1,983
|
|
|
|
CADENCE DESIGN SYSTEMS INC
|
|
Common Stock
|
|
|
64
|
|
|
|
|
|
|
|
526
|
|
|
|
CAPITAL ONE FINANCIAL CORP
|
|
Common Stock
|
|
|
119
|
|
|
|
|
|
|
|
5,065
|
|
|
|
CAREFUSION CORP
|
|
Common Stock
|
|
|
50
|
|
|
|
|
|
|
|
1,279
|
|
|
|
CARMAX INC
|
|
Common Stock
|
|
|
30
|
|
|
|
|
|
|
|
966
|
|
|
|
CEMEX S.A.B. DE C.V. ADR
|
|
Common Stock
|
|
|
55
|
|
|
|
|
|
|
|
591
|
|
|
|
CHARLES SCHWAB CORP/THE
|
|
Common Stock
|
|
|
109
|
|
|
|
|
|
|
|
1,865
|
|
|
|
CHEVRON CORP
|
|
Common Stock
|
|
|
38
|
|
|
|
|
|
|
|
3,503
|
|
|
|
COMCAST CORP
|
|
Common Stock
|
|
|
286
|
|
|
|
|
|
|
|
6,288
|
|
|
|
COMPUTER SCIENCES CORP
|
|
Common Stock
|
|
|
33
|
|
|
|
|
|
|
|
1,652
|
|
|
|
COMPUWARE CORP COM
|
|
Common Stock
|
|
|
76
|
|
|
|
|
|
|
|
887
|
|
|
|
COVIDIEN PLC SHS
|
|
Common Stock
|
|
|
22
|
|
|
|
|
|
|
|
985
|
|
|
|
CREDIT SUISSE GROUP ADR
|
|
Common Stock
|
|
|
9
|
|
|
|
|
|
|
|
348
|
|
|
|
DIAGEO PLC ADR
|
|
Common Stock
|
|
|
11
|
|
|
|
|
|
|
|
780
|
|
|
|
DIRECTV
|
|
Common Stock
|
|
|
7
|
|
|
|
|
|
|
|
272
|
|
|
|
DISH NETWORK CORP
|
|
Common Stock
|
|
|
30
|
|
|
|
|
|
|
|
580
|
|
|
|
DODGE & COX INCOME FUND COM NPV
|
|
Mutual Fund
|
|
|
6,413
|
|
|
|
|
|
|
|
84,844
|
|
|
|
DOMTAR CORP
|
|
Common Stock
|
|
|
1
|
|
|
|
|
|
|
|
95
|
|
|
|
DOW CHEMICAL CO
|
|
Common Stock
|
|
|
98
|
|
|
|
|
|
|
|
3,346
|
|
|
|
DUN & BRADSTREET CORP
|
|
Common Stock
|
|
|
6
|
|
|
|
|
|
|
|
476
|
|
|
|
EATON CORP
|
|
Common Stock
|
|
|
2
|
|
|
|
|
|
|
|
193
|
|
|
|
EBAY INC
|
|
Common Stock
|
|
|
110
|
|
|
|
|
|
|
|
3,061
|
|
|
|
ELECTRONIC ARTS INC
|
|
Common Stock
|
|
|
117
|
|
|
|
|
|
|
|
1,916
|
|
|
|
FEDEX CORP
|
|
Common Stock
|
|
|
47
|
|
|
|
|
|
|
|
4,371
|
|
|
|
GENERAL ELECTRIC CO.
|
|
Common Stock
|
|
|
303
|
|
|
|
|
|
|
|
5,542
|
|
|
|
GENWORTH FINANCIAL INC
|
|
Common Stock
|
|
|
48
|
|
|
|
|
|
|
|
627
|
|
|
|
GILEAD SCIENCES INC
|
|
Common Stock
|
|
|
12
|
|
|
|
|
|
|
|
417
|
|
|
|
GLAXOSMITHKLINE PLC ADR
|
|
Common Stock
|
|
|
84
|
|
|
|
|
|
|
|
3,275
|
|
|
|
GOLDMAN SACHS GROUP INC/THE
|
|
Common Stock
|
|
|
6
|
|
|
|
|
|
|
|
925
|
|
(Continued)
- 16 -
DELL INC. 401(k) PLAN
EIN 74-2487834, PLAN 001
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2010
(In thousands)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number
|
|
|
|
|
|
|
(e) Current
|
|
(a)
|
|
(b) Identity of Issue
|
|
(c) Description
|
|
of shares
|
|
|
(d) Cost**
|
|
|
Value
|
|
|
|
HEWLETT-PACKARD CO
|
|
Common Stock
|
|
|
175
|
|
|
|
|
|
|
$
|
7,368
|
|
|
|
HOME DEPOT INC
|
|
Common Stock
|
|
|
76
|
|
|
|
|
|
|
|
2,665
|
|
|
|
HSBC HLDGS ADR
|
|
Common Stock
|
|
|
16
|
|
|
|
|
|
|
|
837
|
|
|
|
INTERPUBLIC GROUP COMPANIES INC
|
|
Common Stock
|
|
|
90
|
|
|
|
|
|
|
|
956
|
|
|
|
LEGG MASON INC
|
|
Common Stock
|
|
|
20
|
|
|
|
|
|
|
|
725
|
|
|
|
LIBERTY GLOBAL INC COM STK SERIES C
|
|
Common Stock
|
|
|
7
|
|
|
|
|
|
|
|
241
|
|
|
|
LIBERTY GLOBAL INC COM STK SERA
|
|
Common Stock
|
|
|
7
|
|
|
|
|
|
|
|
237
|
|
|
|
LIBERTY MEDIA CORP
|
|
Common Stock
|
|
|
103
|
|
|
|
|
|
|
|
1,624
|
|
|
|
LOEWS CORP COM
|
|
Common Stock
|
|
|
17
|
|
|
|
|
|
|
|
665
|
|
|
|
MACYS INC
|
|
Common Stock
|
|
|
8
|
|
|
|
|
|
|
|
196
|
|
|
|
MAXIM INTEGRATED PRODUCTS
|
|
Common Stock
|
|
|
90
|
|
|
|
|
|
|
|
2,126
|
|
|
|
MCGRAW-HILL COS INC/THE
|
|
Common Stock
|
|
|
14
|
|
|
|
|
|
|
|
499
|
|
|
|
MEDTRONIC INC
|
|
Common Stock
|
|
|
26
|
|
|
|
|
|
|
|
964
|
|
|
|
MERCK & CO INC
|
|
Common Stock
|
|
|
147
|
|
|
|
|
|
|
|
5,297
|
|
|
|
MOLEX INC CLASSAN.VTG
|
|
Common Stock
|
|
|
7
|
|
|
|
|
|
|
|
168
|
|
|
|
MOLEX INC
|
|
Common Stock
|
|
|
52
|
|
|
|
|
|
|
|
974
|
|
|
|
MOTOROLA INC
|
|
Common Stock
|
|
|
482
|
|
|
|
|
|
|
|
4,375
|
|
|
|
NEWS CORP
|
|
Common Stock
|
|
|
300
|
|
|
|
|
|
|
|
4,365
|
|
|
|
NOKIA CORP ADR
|
|
Common Stock
|
|
|
105
|
|
|
|
|
|
|
|
1,085
|
|
|
|
NOVARTIS AG ADR
|
|
Common Stock
|
|
|
67
|
|
|
|
|
|
|
|
3,920
|
|
|
|
OCCIDENTAL PETROLEUM CORP
|
|
Common Stock
|
|
|
46
|
|
|
|
|
|
|
|
4,513
|
|
|
|
PANASONIC CORP ADR
|
|
Common Stock
|
|
|
105
|
|
|
|
|
|
|
|
1,478
|
|
|
|
PFIZER INC
|
|
Common Stock
|
|
|
250
|
|
|
|
|
|
|
|
4,378
|
|
|
|
PITNEY BOWES INC
|
|
Common Stock
|
|
|
45
|
|
|
|
|
|
|
|
1,088
|
|
|
|
ROYAL DUTCH SRELL ADR
|
|
Common Stock
|
|
|
12
|
|
|
|
|
|
|
|
801
|
|
|
|
SANOFI-AVENTIS ADR
|
|
Common Stock
|
|
|
92
|
|
|
|
|
|
|
|
2,964
|
|
|
|
SCHLUMBERGER LTD
|
|
Common Stock
|
|
|
68
|
|
|
|
|
|
|
|
5,678
|
|
|
|
SLM CORP
|
|
Common Stock
|
|
|
50
|
|
|
|
|
|
|
|
627
|
|
|
|
SONY CORP ADR
|
|
Common Stock
|
|
|
68
|
|
|
|
|
|
|
|
2,439
|
|
|
|
SPRINT NEXTEL CORP
|
|
Common Stock
|
|
|
477
|
|
|
|
|
|
|
|
2,019
|
|
|
|
SUNTRUST BANKS INC
|
|
Common Stock
|
|
|
28
|
|
|
|
|
|
|
|
832
|
|
|
|
SYMANTEC CORP
|
|
Common Stock
|
|
|
155
|
|
|
|
|
|
|
|
2,595
|
|
|
|
SYNOPSYS INC
|
|
Common Stock
|
|
|
47
|
|
|
|
|
|
|
|
1,251
|
|
|
|
TELEFONAKTIEBOLAGET LM ERICSSO
|
|
Common Stock
|
|
|
100
|
|
|
|
|
|
|
|
1,153
|
|
|
|
TIME WARNER CABLE INC
|
|
Common Stock
|
|
|
44
|
|
|
|
|
|
|
|
2,914
|
|
|
|
TIME WARNER INC
|
|
Common Stock
|
|
|
131
|
|
|
|
|
|
|
|
4,219
|
|
|
|
TRAVELERS COS INC/THE
|
|
Common Stock
|
|
|
26
|
|
|
|
|
|
|
|
1,432
|
|
|
|
TYCO ELECTRONICS LTD
|
|
Common Stock
|
|
|
48
|
|
|
|
|
|
|
|
1,716
|
|
|
|
TYCO INTERNATIONAL LTD.
|
|
Common Stock
|
|
|
29
|
|
|
|
|
|
|
|
1,201
|
|
|
|
US BANCORP
|
|
Common Stock
|
|
|
35
|
|
|
|
|
|
|
|
944
|
|
|
|
VODAFONE GROUP SPON ADR
|
|
Common Stock
|
|
|
106
|
|
|
|
|
|
|
|
2,788
|
|
|
|
VULCAN MATERIALS CO
|
|
Common Stock
|
|
|
18
|
|
|
|
|
|
|
|
776
|
|
|
|
WALGREEN CO
|
|
Common Stock
|
|
|
51
|
|
|
|
|
|
|
|
1,987
|
|
|
|
WAL-MART STORES INC
|
|
Common Stock
|
|
|
33
|
|
|
|
|
|
|
|
1,753
|
|
|
|
WELLS FARGO & CO
|
|
Common Stock
|
|
|
185
|
|
|
|
|
|
|
|
5,738
|
|
|
|
XEROX CORP
|
|
Common Stock
|
|
|
249
|
|
|
|
|
|
|
|
2,868
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Dodge & Cox Balanced Fund
|
|
|
|
|
|
|
|
|
|
|
|
$
|
262,407
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dodge & Cox Large Cap Value
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dreyfus Govt Cash Mgmt Fund
|
|
Short-Term Investment
|
|
|
|
|
|
|
|
|
|
$
|
14,750
|
|
|
|
AEGON NV
|
|
Common Stock
|
|
|
186
|
|
|
|
|
|
|
|
1,140
|
|
|
|
AMGEN INC
|
|
Common Stock
|
|
|
120
|
|
|
|
|
|
|
|
6,588
|
|
|
|
AOL INC
|
|
Common Stock
|
|
|
51
|
|
|
|
|
|
|
|
1,216
|
|
|
|
BAKER HUGHES INC
|
|
Common Stock
|
|
|
76
|
|
|
|
|
|
|
|
4,322
|
|
(Continued)
- 17 -
DELL INC. 401(k) PLAN
EIN 74-2487834, PLAN 001
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2010
(In thousands)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number
|
|
|
|
|
|
|
(e) Current
|
|
(a)
|
|
(b) Identity of Issue
|
|
(c) Description
|
|
of shares
|
|
|
(d) Cost**
|
|
|
Value
|
|
|
|
Dell Inc. 401(k) Dodge & Cox Large Cap Value
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
BANK OF NEW YORK MELLON CORP
|
|
Common Stock
|
|
|
189
|
|
|
|
|
|
|
$
|
5,711
|
|
|
|
BB&T CORP COM
|
|
Common Stock
|
|
|
60
|
|
|
|
|
|
|
|
1,577
|
|
|
|
BMC SOFTWARE INC
|
|
Common Stock
|
|
|
48
|
|
|
|
|
|
|
|
2,263
|
|
|
|
BOSTON SCIENTIFIC CORP
|
|
Common Stock
|
|
|
401
|
|
|
|
|
|
|
|
3,032
|
|
|
|
CADENCE DESIGN SYSTEM S INC
|
|
Common Stock
|
|
|
99
|
|
|
|
|
|
|
|
814
|
|
|
|
CAPITAL ONE FINANCIAL CORP
|
|
Common Stock
|
|
|
187
|
|
|
|
|
|
|
|
7,954
|
|
|
|
CAREFUSION CORP
|
|
Common Stock
|
|
|
66
|
|
|
|
|
|
|
|
1,696
|
|
|
|
CARMAX INC COM
|
|
Common Stock
|
|
|
38
|
|
|
|
|
|
|
|
1,202
|
|
|
|
CEMEX S.A.B. DE C.V. ADR
|
|
Common Stock
|
|
|
78
|
|
|
|
|
|
|
|
840
|
|
|
|
CHARLES SCHWAB CORP/THE
|
|
Common Stock
|
|
|
168
|
|
|
|
|
|
|
|
2,866
|
|
|
|
CHEVRON CORP
|
|
Common Stock
|
|
|
62
|
|
|
|
|
|
|
|
5,619
|
|
|
|
COMCAST CORP
|
|
Common Stock
|
|
|
447
|
|
|
|
|
|
|
|
9,821
|
|
|
|
COMPUTER SCIENCES CORP
|
|
Common Stock
|
|
|
46
|
|
|
|
|
|
|
|
2,267
|
|
|
|
COMPUWARE CORP
|
|
Common Stock
|
|
|
110
|
|
|
|
|
|
|
|
1,284
|
|
|
|
COVIDIEN PLC SHS
|
|
Common Stock
|
|
|
34
|
|
|
|
|
|
|
|
1,543
|
|
|
|
CREDIT SUISSE GROUP ADR
|
|
Common Stock
|
|
|
14
|
|
|
|
|
|
|
|
562
|
|
|
|
DIAGEO ADR
|
|
Common Stock
|
|
|
14
|
|
|
|
|
|
|
|
1,041
|
|
|
|
DIRECTV COM
|
|
Common Stock
|
|
|
8
|
|
|
|
|
|
|
|
331
|
|
|
|
DISH NETWORK CORP
|
|
Common Stock
|
|
|
47
|
|
|
|
|
|
|
|
914
|
|
|
|
DOMTAR CORP
|
|
Common Stock
|
|
|
4
|
|
|
|
|
|
|
|
304
|
|
|
|
DOW CHEMICAL CO
|
|
Common Stock
|
|
|
152
|
|
|
|
|
|
|
|
5,179
|
|
|
|
DUN & BRADSTREET CORP
|
|
Common Stock
|
|
|
10
|
|
|
|
|
|
|
|
796
|
|
|
|
EATON CORP
|
|
Common Stock
|
|
|
2
|
|
|
|
|
|
|
|
193
|
|
|
|
EBAY INC
|
|
Common Stock
|
|
|
171
|
|
|
|
|
|
|
|
4,745
|
|
|
|
ELECTRONIC ARTS STK
|
|
Common Stock
|
|
|
166
|
|
|
|
|
|
|
|
2,719
|
|
|
|
FEDEX CORP
|
|
Common Stock
|
|
|
71
|
|
|
|
|
|
|
|
6,604
|
|
|
|
GENERAL ELECTRIC CO.
|
|
Common Stock
|
|
|
475
|
|
|
|
|
|
|
|
8,688
|
|
|
|
GENWORTH FINANCIAL INC
|
|
Common Stock
|
|
|
66
|
|
|
|
|
|
|
|
863
|
|
|
|
GILEAD SCIENCES INC
|
|
Common Stock
|
|
|
20
|
|
|
|
|
|
|
|
725
|
|
|
|
GLAXOSMITHKLINE ADR
|
|
Common Stock
|
|
|
136
|
|
|
|
|
|
|
|
5,334
|
|
|
|
GOLDMAN SACHS GROUP INC/THE
|
|
Common Stock
|
|
|
9
|
|
|
|
|
|
|
|
1,429
|
|
|
|
HEWLETT-PACKARD CO
|
|
Common Stock
|
|
|
268
|
|
|
|
|
|
|
|
11,283
|
|
|
|
HOME DEPOT INC
|
|
Common Stock
|
|
|
116
|
|
|
|
|
|
|
|
4,060
|
|
|
|
HSBC HLDGS ADR
|
|
Common Stock
|
|
|
30
|
|
|
|
|
|
|
|
1,528
|
|
|
|
INTERPUBLIC GROUP COMPANIES INC
|
|
Common Stock
|
|
|
125
|
|
|
|
|
|
|
|
1,332
|
|
|
|
LEGG MASON INC
|
|
Common Stock
|
|
|
35
|
|
|
|
|
|
|
|
1,251
|
|
|
|
LIBERTY GLOBAL INC SERIES C
|
|
Common Stock
|
|
|
9
|
|
|
|
|
|
|
|
301
|
|
|
|
LIBERTY GLOBAL INC SERIES A
|
|
Common Stock
|
|
|
9
|
|
|
|
|
|
|
|
319
|
|
|
|
LIBERTY MEDIA CORP
|
|
Common Stock
|
|
|
161
|
|
|
|
|
|
|
|
2,544
|
|
|
|
LOEWS CORP
|
|
Common Stock
|
|
|
27
|
|
|
|
|
|
|
|
1,035
|
|
|
|
MACYS INC
|
|
Common Stock
|
|
|
7
|
|
|
|
|
|
|
|
188
|
|
|
|
MAXIM INTEGRATED PRODUCTS
|
|
Common Stock
|
|
|
141
|
|
|
|
|
|
|
|
3,330
|
|
|
|
MCGRAW-HILL COS INC/THE
|
|
Common Stock
|
|
|
17
|
|
|
|
|
|
|
|
612
|
|
|
|
MEDTRONIC INC
|
|
Common Stock
|
|
|
37
|
|
|
|
|
|
|
|
1,361
|
|
|
|
MERCK & CO INC
|
|
Common Stock
|
|
|
233
|
|
|
|
|
|
|
|
8,397
|
|
|
|
MOLEX INC
|
|
Common Stock
|
|
|
82
|
|
|
|
|
|
|
|
1,549
|
|
|
|
MOTOROLA INC
|
|
Common Stock
|
|
|
734
|
|
|
|
|
|
|
|
6,659
|
|
|
|
NEWS CORP
|
|
Common Stock
|
|
|
474
|
|
|
|
|
|
|
|
6,896
|
|
|
|
NOKIA CORP ADR
|
|
Common Stock
|
|
|
162
|
|
|
|
|
|
|
|
1,671
|
|
|
|
NOVARTIS AG ADR
|
|
Common Stock
|
|
|
106
|
|
|
|
|
|
|
|
6,249
|
|
|
|
OCCIDENTAL PETROLEUM CORP
|
|
Common Stock
|
|
|
72
|
|
|
|
|
|
|
|
7,014
|
|
|
|
PANASONIC CORP ADR
|
|
Common Stock
|
|
|
174
|
|
|
|
|
|
|
|
2,446
|
|
|
|
PFIZER INC
|
|
Common Stock
|
|
|
384
|
|
|
|
|
|
|
|
6,717
|
|
|
|
PITNEY BOWES INC
|
|
Common Stock
|
|
|
70
|
|
|
|
|
|
|
|
1,693
|
|
(Continued)
- 18 -
DELL INC. 401(k) PLAN
EIN 74-2487834, PLAN 001
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2010
(In thousands)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number
|
|
|
|
|
|
|
(e) Current
|
|
(a)
|
|
(b) Identity of Issue
|
|
(c) Description
|
|
of shares
|
|
|
(d) Cost**
|
|
|
Value
|
|
|
|
ROYAL DUTCH SHELL ADR
|
|
Common Stock
|
|
|
18
|
|
|
|
|
|
|
$
|
1,202
|
|
|
|
SANOFI-AVENTIS ADR
|
|
Common Stock
|
|
|
145
|
|
|
|
|
|
|
|
4,677
|
|
|
|
SCHLUMBERGER
|
|
Common Stock
|
|
|
103
|
|
|
|
|
|
|
|
8,600
|
|
|
|
SLM CORP
|
|
Common Stock
|
|
|
109
|
|
|
|
|
|
|
|
1,373
|
|
|
|
SONY CORP ADR
|
|
Common Stock
|
|
|
95
|
|
|
|
|
|
|
|
3,392
|
|
|
|
SPRINT NEXTEL CORP
|
|
Common Stock
|
|
|
761
|
|
|
|
|
|
|
|
3,217
|
|
|
|
SUNTRUST BANKS INC
|
|
Common Stock
|
|
|
45
|
|
|
|
|
|
|
|
1,325
|
|
|
|
SYMANTEC CORP
|
|
Common Stock
|
|
|
255
|
|
|
|
|
|
|
|
4,269
|
|
|
|
SYNOPSYS INC
|
|
Common Stock
|
|
|
84
|
|
|
|
|
|
|
|
2,268
|
|
|
|
TELEFONAKTIEBOLAGET LM ERICSSO ADR
|
|
Common Stock
|
|
|
156
|
|
|
|
|
|
|
|
1,798
|
|
|
|
TIME WARNER CABLE INC
|
|
Common Stock
|
|
|
67
|
|
|
|
|
|
|
|
4,422
|
|
|
|
TIME WARNER INC
|
|
Common Stock
|
|
|
202
|
|
|
|
|
|
|
|
6,499
|
|
|
|
TRAVELERS COS INC/THE
|
|
Common Stock
|
|
|
41
|
|
|
|
|
|
|
|
2,256
|
|
|
|
TYCO ELECTRONICS LTD
|
|
Common Stock
|
|
|
77
|
|
|
|
|
|
|
|
2,726
|
|
|
|
TYCO INTERNATIONAL LTD.
|
|
Common Stock
|
|
|
46
|
|
|
|
|
|
|
|
1,885
|
|
|
|
US BANCORP DELAWARE
|
|
Common Stock
|
|
|
56
|
|
|
|
|
|
|
|
1,510
|
|
|
|
VODAFONE GROUP SPON ADR
|
|
Common Stock
|
|
|
158
|
|
|
|
|
|
|
|
4,176
|
|
|
|
VULCAN MATERIALS CO
|
|
Common Stock
|
|
|
28
|
|
|
|
|
|
|
|
1,222
|
|
|
|
WALGREEN CO COM STK
|
|
Common Stock
|
|
|
79
|
|
|
|
|
|
|
|
3,070
|
|
|
|
WAL-MART STORES INC
|
|
Common Stock
|
|
|
48
|
|
|
|
|
|
|
|
2,589
|
|
|
|
WELLS FARGO & CO
|
|
Common Stock
|
|
|
254
|
|
|
|
|
|
|
|
7,856
|
|
|
|
XEROX CORP
|
|
Common Stock
|
|
|
395
|
|
|
|
|
|
|
|
4,551
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Dell Inc. 401(k) Dodge & Cox Large Cap Value
|
|
|
|
|
|
|
|
|
|
|
|
$
|
270,250
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dell Inc. 401(k) Times Square/Mid Cap Growth Fund
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dreyfus Govt Cash Mgmt. Fund
|
|
Short-Term Investment
|
|
|
|
|
|
|
|
|
|
$
|
11,377
|
|
|
|
ADVISORY BOARD INC
|
|
Common Stock
|
|
|
29
|
|
|
|
|
|
|
|
1,381
|
|
|
|
AERCAP HOLDINGS N.V.
|
|
Common Stock
|
|
|
157
|
|
|
|
|
|
|
|
2,210
|
|
|
|
ALLEGIANT TRAVEL CO
|
|
Common Stock
|
|
|
36
|
|
|
|
|
|
|
|
1,792
|
|
|
|
ALLIANCE DATA SYSTEM
|
|
Common Stock
|
|
|
53
|
|
|
|
|
|
|
|
3,765
|
|
|
|
ALTERA CORP
|
|
Common Stock
|
|
|
26
|
|
|
|
|
|
|
|
918
|
|
|
|
AMDOCS ORD
|
|
Common Stock
|
|
|
71
|
|
|
|
|
|
|
|
1,950
|
|
|
|
AMPHENOL CORP
|
|
Common Stock
|
|
|
36
|
|
|
|
|
|
|
|
1,884
|
|
|
|
ANALOG DEVICES INC
|
|
Common Stock
|
|
|
56
|
|
|
|
|
|
|
|
2,113
|
|
|
|
ARCH CAPITAL GROUP LTD
|
|
Common Stock
|
|
|
11
|
|
|
|
|
|
|
|
925
|
|
|
|
ARCHIPELAGO LEARNING INC
|
|
Common Stock
|
|
|
48
|
|
|
|
|
|
|
|
467
|
|
|
|
ATHEROS COMMUNICATIONS INC
|
|
Common Stock
|
|
|
57
|
|
|
|
|
|
|
|
2,058
|
|
|
|
BALLY TECHNOLOGIES INC
|
|
Common Stock
|
|
|
43
|
|
|
|
|
|
|
|
1,818
|
|
|
|
BIO RAD LABORATORIES INC
|
|
Common Stock
|
|
|
30
|
|
|
|
|
|
|
|
3,064
|
|
|
|
BLACKBOARD INC
|
|
Common Stock
|
|
|
54
|
|
|
|
|
|
|
|
2,234
|
|
|
|
BROOKDALE SENIOR LIVING INC
|
|
Common Stock
|
|
|
78
|
|
|
|
|
|
|
|
1,679
|
|
|
|
BRUKER CORP
|
|
Common Stock
|
|
|
88
|
|
|
|
|
|
|
|
1,461
|
|
|
|
CARLISLE COS INC
|
|
Common Stock
|
|
|
43
|
|
|
|
|
|
|
|
1,709
|
|
|
|
CATALYST HEALTH SOLUTIONS INC.
|
|
Common Stock
|
|
|
44
|
|
|
|
|
|
|
|
2,036
|
|
|
|
CEPHALON INC
|
|
Common Stock
|
|
|
31
|
|
|
|
|
|
|
|
1,913
|
|
|
|
CLARCOR INC
|
|
Common Stock
|
|
|
27
|
|
|
|
|
|
|
|
1,158
|
|
|
|
CLEAN HARBORS INC
|
|
Common Stock
|
|
|
26
|
|
|
|
|
|
|
|
2,144
|
|
|
|
CLINICAL DATA INC
|
|
Common Stock
|
|
|
27
|
|
|
|
|
|
|
|
434
|
|
|
|
CONCHO RESOURCES INC/MIDLAND TX
|
|
Common Stock
|
|
|
28
|
|
|
|
|
|
|
|
2,420
|
|
|
|
CORE LABORATORIES NV
|
|
Common Stock
|
|
|
18
|
|
|
|
|
|
|
|
1,603
|
|
|
|
COSTAR GROUP INC
|
|
Common Stock
|
|
|
40
|
|
|
|
|
|
|
|
2,314
|
|
|
|
DAVITA INC
|
|
Common Stock
|
|
|
100
|
|
|
|
|
|
|
|
6,949
|
|
|
|
DENBURY RESOURCES INC
|
|
Common Stock
|
|
|
98
|
|
|
|
|
|
|
|
1,871
|
|
|
|
DISCOVERY COMMUNICATIONS INC
|
|
Common Stock
|
|
|
3
|
|
|
|
|
|
|
|
123
|
|
|
|
DOLBY LABORATORIES INC
|
|
Common Stock
|
|
|
28
|
|
|
|
|
|
|
|
1,841
|
|
(Continued)
- 19 -
DELL INC. 401(k) PLAN
EIN 74-2487834, PLAN 001
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2010
(In thousands)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number
|
|
|
|
|
|
|
(e) Current
|
|
(a)
|
|
(b) Identity of Issue
|
|
(c) Description
|
|
of Shares
|
|
|
(d) Cost**
|
|
|
Value
|
|
|
|
DRIL QUIP INC
|
|
Common Stock
|
|
|
23
|
|
|
|
|
|
|
$
|
1,756
|
|
|
|
DUPONT FABROS TECHNOLOGY INC
|
|
Common Stock
|
|
|
55
|
|
|
|
|
|
|
|
1,170
|
|
|
|
EMERGENCY MEDICAL SERVICES L.P.
|
|
Common Stock
|
|
|
36
|
|
|
|
|
|
|
|
2,319
|
|
|
|
FLETOR TECHNOLOGIES INC
|
|
Common Stock
|
|
|
24
|
|
|
|
|
|
|
|
727
|
|
|
|
FLOWERS FOODS INC
|
|
Common Stock
|
|
|
40
|
|
|
|
|
|
|
|
1,076
|
|
|
|
FULTON FINANCIAL CORP
|
|
Common Stock
|
|
|
21
|
|
|
|
|
|
|
|
215
|
|
|
|
GARDNER DENVER INC
|
|
Common Stock
|
|
|
20
|
|
|
|
|
|
|
|
1,404
|
|
|
|
GEN-PROBE INC
|
|
Common Stock
|
|
|
23
|
|
|
|
|
|
|
|
1,348
|
|
|
|
GENTEX CORP
|
|
Common Stock
|
|
|
61
|
|
|
|
|
|
|
|
1,812
|
|
|
|
GLACIER BANCORP COM STK
|
|
Common Stock
|
|
|
81
|
|
|
|
|
|
|
|
1,225
|
|
|
|
GLOBAL PAYMENTS INC COM STK
|
|
Common Stock
|
|
|
87
|
|
|
|
|
|
|
|
4,030
|
|
|
|
GRACO INC
|
|
Common Stock
|
|
|
45
|
|
|
|
|
|
|
|
1,756
|
|
|
|
GRAND CANYON EDUCATION INC
|
|
Common Stock
|
|
|
72
|
|
|
|
|
|
|
|
1,410
|
|
|
|
GEEN DOT CORP
|
|
Common Stock
|
|
|
29
|
|
|
|
|
|
|
|
1,651
|
|
|
|
HAEMONETICS CORP
|
|
Common Stock
|
|
|
25
|
|
|
|
|
|
|
|
1,580
|
|
|
|
HENRY JACK & ASSOCIATES INC COM STK
|
|
Common Stock
|
|
|
74
|
|
|
|
|
|
|
|
2,160
|
|
|
|
HERBALIFE LTD
|
|
Common Stock
|
|
|
27
|
|
|
|
|
|
|
|
1,812
|
|
|
|
HOLOGIC INC
|
|
Common Stock
|
|
|
79
|
|
|
|
|
|
|
|
1,487
|
|
|
|
IHS INC
|
|
Common Stock
|
|
|
30
|
|
|
|
|
|
|
|
2,412
|
|
|
|
INFORMATICA CORP
|
|
Common Stock
|
|
|
35
|
|
|
|
|
|
|
|
1,519
|
|
|
|
JARDEN CORP
|
|
Common Stock
|
|
|
79
|
|
|
|
|
|
|
|
2,423
|
|
|
|
KANSAS CITY SOUTHERN COM
|
|
Common Stock
|
|
|
56
|
|
|
|
|
|
|
|
2,680
|
|
|
|
LAZARD LTD
|
|
Common Stock
|
|
|
78
|
|
|
|
|
|
|
|
3,080
|
|
|
|
LAMAR ADVERTISING OC
|
|
Common Stock
|
|
|
50
|
|
|
|
|
|
|
|
1,992
|
|
|
|
LINEAR TECHNOLOGY CORP
|
|
Common Stock
|
|
|
71
|
|
|
|
|
|
|
|
2,452
|
|
|
|
MAGELLAN HEALTH SERVICES INC
|
|
Common Stock
|
|
|
32
|
|
|
|
|
|
|
|
1,513
|
|
|
|
MANTECH INTERNATIONAL CORP
|
|
Common Stock
|
|
|
27
|
|
|
|
|
|
|
|
1,116
|
|
|
|
MANITOWOC CO INC/THE
|
|
Common Stock
|
|
|
130
|
|
|
|
|
|
|
|
1,710
|
|
|
|
MICROS SYSTEMS INC
|
|
Common Stock
|
|
|
15
|
|
|
|
|
|
|
|
662
|
|
|
|
MOHAWK INDUSTRIES
|
|
Common Stock
|
|
|
32
|
|
|
|
|
|
|
|
1,788
|
|
|
|
MONSTER WORLDWIDE INC
|
|
Common Stock
|
|
|
34
|
|
|
|
|
|
|
|
811
|
|
|
|
MYRIAD GENETICS INC
|
|
Common Stock
|
|
|
63
|
|
|
|
|
|
|
|
1,439
|
|
|
|
NASDAQ OMX GROUP INC/THE
|
|
Common Stock
|
|
|
80
|
|
|
|
|
|
|
|
1,906
|
|
|
|
NATIONAL INSTRUMENTS CORP
|
|
Common Stock
|
|
|
39
|
|
|
|
|
|
|
|
1,483
|
|
|
|
NETLOGIC MICROSYSTEMS INC
|
|
Common Stock
|
|
|
73
|
|
|
|
|
|
|
|
2,293
|
|
|
|
NEUSTAR INC-CLASS
|
|
Common Stock
|
|
|
78
|
|
|
|
|
|
|
|
2,040
|
|
|
|
NICE SYSTEMS ADR
|
|
Common Stock
|
|
|
59
|
|
|
|
|
|
|
|
2,042
|
|
|
|
NORTHERN OIL AND GAS INC
|
|
Common Stock
|
|
|
22
|
|
|
|
|
|
|
|
596
|
|
|
|
OCEANEERING INTERNATIONAL INC
|
|
Common Stock
|
|
|
26
|
|
|
|
|
|
|
|
1,914
|
|
|
|
OIL STATES INTERNATIONAL INC
|
|
Common Stock
|
|
|
35
|
|
|
|
|
|
|
|
2,243
|
|
|
|
ONYX PHARMACEUTICALS
|
|
Common Stock
|
|
|
52
|
|
|
|
|
|
|
|
1,917
|
|
|
|
ORBITAL SCIENCES
|
|
Common Stock
|
|
|
105
|
|
|
|
|
|
|
|
1,799
|
|
|
|
PROASSURANCE CORP
|
|
Common Stock
|
|
|
35
|
|
|
|
|
|
|
|
2,121
|
|
|
|
QUICKSILVER RESOURCES INC
|
|
Common Stock
|
|
|
35
|
|
|
|
|
|
|
|
510
|
|
|
|
RANGE RESOURCES CORP
|
|
Common Stock
|
|
|
28
|
|
|
|
|
|
|
|
1,264
|
|
|
|
RED HAT
|
|
Common Stock
|
|
|
42
|
|
|
|
|
|
|
|
1,894
|
|
|
|
REGAL-BELOIT CORP
|
|
Common Stock
|
|
|
10
|
|
|
|
|
|
|
|
688
|
|
|
|
RENAISSANCE RE HLDGS
|
|
Common Stock
|
|
|
47
|
|
|
|
|
|
|
|
2,962
|
|
|
|
RESMED INC
|
|
Common Stock
|
|
|
56
|
|
|
|
|
|
|
|
1,940
|
|
|
|
RESOURCES CONNECTION INC
|
|
Common Stock
|
|
|
97
|
|
|
|
|
|
|
|
1,811
|
|
|
|
SBA COMMUNICATIONS
|
|
Common Stock
|
|
|
116
|
|
|
|
|
|
|
|
4,753
|
|
|
|
SPX CORP
|
|
Common Stock
|
|
|
20
|
|
|
|
|
|
|
|
1,401
|
|
|
|
SIRONA DENTAL SYSTEMS INC
|
|
Common Stock
|
|
|
47
|
|
|
|
|
|
|
|
1,943
|
|
|
|
SOLERA HOLDINGS INC
|
|
Common Stock
|
|
|
37
|
|
|
|
|
|
|
|
1,894
|
|
|
|
SRA INTERNATIONAL INC
|
|
Common Stock
|
|
|
65
|
|
|
|
|
|
|
|
1,329
|
|
(Continued)
- 20 -
DELL INC. 401(k) PLAN
EIN 74-2487834, PLAN 001
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2010
(In thousands)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Number
|
|
|
|
|
|
|
(e) Current
|
|
(a)
|
|
(b) Identity of Issue
|
|
(c) Description
|
|
of shares
|
|
|
(d) Cost**
|
|
|
Value
|
|
|
|
STERICYCLE INC
|
|
Common Stock
|
|
|
4
|
|
|
|
|
|
|
$
|
324
|
|
|
|
STRAYER EDUCATION INC
|
|
Common Stock
|
|
|
5
|
|
|
|
|
|
|
|
761
|
|
|
|
TALECRIS BIOTHERAPEUTICS HLDGS CORP
|
|
Common Stock
|
|
|
51
|
|
|
|
|
|
|
|
1,188
|
|
|
|
TCF FINANCIAL CORP
|
|
Common Stock
|
|
|
93
|
|
|
|
|
|
|
|
1,379
|
|
|
|
TERADYNE INC
|
|
Common Stock
|
|
|
119
|
|
|
|
|
|
|
|
1,671
|
|
|
|
THOR INDUSTRIES INC
|
|
Common Stock
|
|
|
49
|
|
|
|
|
|
|
|
1,647
|
|
|
|
TIFFANY & CO
|
|
Common Stock
|
|
|
23
|
|
|
|
|
|
|
|
1,432
|
|
|
|
TRANSDIGM INC
|
|
Common Stock
|
|
|
36
|
|
|
|
|
|
|
|
2,556
|
|
|
|
UNITED NATURAL FOODS INC
|
|
Common Stock
|
|
|
56
|
|
|
|
|
|
|
|
2,036
|
|
|
|
UTI WORLDWIDE INC ORD
|
|
Common Stock
|
|
|
75
|
|
|
|
|
|
|
|
1,590
|
|
|
|
VARIAN SEMICONDUCT EQUIP ASSOC INC COM
|
|
Common Stock
|
|
|
62
|
|
|
|
|
|
|
|
2,307
|
|
|
|
WABCO HOLDINGS INC
|
|
Common Stock
|
|
|
48
|
|
|
|
|
|
|
|
2,894
|
|
|
|
WABTEC CORPORATIONCOM
|
|
Common Stock
|
|
|
29
|
|
|
|
|
|
|
|
1,534
|
|
|
|
WESCO INTERNATIONAL INC
|
|
Common Stock
|
|
|
41
|
|
|
|
|
|
|
|
2,175
|
|
|
|
WMS INDUSTRIES INC
|
|
Common Stock
|
|
|
40
|
|
|
|
|
|
|
|
1,809
|
|
|
|
WHITING PETROLEUM CORP
|
|
Common Stock
|
|
|
26
|
|
|
|
|
|
|
|
3,047
|
|
|
|
WILEY(JOHN)& SONS INC
|
|
Common Stock
|
|
|
37
|
|
|
|
|
|
|
|
1,674
|
|
|
|
WRIGHT EXPRESS CORP
|
|
Common Stock
|
|
|
64
|
|
|
|
|
|
|
|
2,944
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Dell Inc. 401(k) Times Square/Mid Cap Growth Fund
|
|
|
|
|
|
|
|
|
|
|
|
$
|
197,857
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Separately Managed Funds
|
|
|
|
|
|
|
|
|
|
|
|
$
|
730,514
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Collective Trust:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
BlackRock Equity Index Fund
|
|
Common Collective Trust
|
|
|
6,672
|
|
|
|
|
|
|
$
|
284,819
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dwight Stable Value Fund
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Bank of America 03-068
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
$
|
22,915
|
|
|
|
|
|
Dwight Target 5 Fund
|
|
|
|
|
|
|
|
|
|
|
7,933
|
|
|
|
|
|
Dwight Intermediate Core Plus Fund
|
|
|
|
|
|
|
|
|
|
|
11,548
|
|
|
|
|
|
Synthetic Contract Wrapper,#03-068, 2.32%
|
|
|
|
|
|
|
|
|
|
|
122
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
42,518
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
ING Life & Annuity 60074
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
|
22,922
|
|
|
|
|
|
Dwight Target 5 Fund
|
|
|
|
|
|
|
|
|
|
|
7,936
|
|
|
|
|
|
Dwight Intermediate Core Plus Fund
|
|
|
|
|
|
|
|
|
|
|
11,552
|
|
|
|
|
|
Synthetic Contract Wrapper, #60074, 2.36%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
42,410
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
JP Morgan Chase ADELL-BC
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
|
22,942
|
|
|
|
|
|
Dwight Target 5 Fund
|
|
|
|
|
|
|
|
|
|
|
7,943
|
|
|
|
|
|
Dwight Intermediate Core Plus Fund
|
|
|
|
|
|
|
|
|
|
|
11,562
|
|
|
|
|
|
Synthetic Contract Wrapper, #ADELL-S, 2.34%
|
|
|
|
|
243
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
42,690
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Monumental MDA01034TR
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
|
22,949
|
|
|
|
|
|
Dwight Target 5 Fund
|
|
|
|
|
|
|
|
|
|
|
7,945
|
|
|
|
|
|
Dwight Intermediate Core Plus Fund
|
|
|
|
|
|
|
|
|
|
|
11,565
|
|
|
|
|
|
Synthetic Contract Wrapper, #MDA-01034TR, 2.34%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
42,459
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(Continued)
- 21 -
DELL INC. 401(k) PLAN
EIN 74-2487834, PLAN 001
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
DECEMBER 31, 2010
(In thousands)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(e) Current
|
|
(a)
|
|
(b) Identity of Issue
|
|
(c) Description
|
|
|
|
|
|
(d) Cost**
|
|
|
Value
|
|
|
|
Dwight Stable Value Fund
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Monumental MDA01075TR
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
$
|
20,834
|
|
|
|
|
|
JPM Mortgage Private Placement
|
|
|
|
|
|
|
|
|
|
|
4,145
|
|
|
|
|
|
Synthetic Contract Wrapper, #MDA-01075TR, 1.68%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
24,979
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
NATIXIS Financial Products 1882
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
|
20,833
|
|
|
|
|
|
JPM Mortgage Private Placement
|
|
|
|
|
|
|
|
|
|
|
4,145
|
|
|
|
|
|
Synthetic Contract Wrapper,#1882, 1.80%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
24,978
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Pacific Life Insurance G-26953.01
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
|
22,905
|
|
|
|
|
|
Dwight Target 5 Fund
|
|
|
|
|
|
|
|
|
|
|
7,930
|
|
|
|
|
|
Dwight Intermediate Core Plus Fund
|
|
|
|
|
|
|
|
|
|
|
11,543
|
|
|
|
|
|
Synthetic Contract Wrapper, #G-26953.01.0001, 2.34%
|
|
|
|
|
|
|
|
|
|
|
122
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
42,500
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
State Street Bank 110002
|
|
Dwight Target 2 Fund
|
|
|
|
|
|
|
|
|
|
|
20,837
|
|
|
|
|
|
JPM Mortgage Private Placement
|
|
|
|
|
|
|
|
|
|
|
4,145
|
|
|
|
|
|
Synthetic Contract Wrapper,#110002, 1.60%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
24,982
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Dreyfus Govt Cash Mgmt Fund
|
|
Short-term Investment Fund
|
|
|
|
|
|
|
|
|
|
|
37,178
|
|
|
|
SEI Stable Asset Value
|
|
Common Collective Trust
|
|
|
|
|
|
|
|
|
|
|
4,163
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Dwight Stable Value Fund
|
|
|
|
|
|
|
|
|
|
|
|
$
|
328,857
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
*
|
|
Participant Loans
|
|
Loans bearing interest rates ranging from 4.25% to 10.5%, due at various dates through August 25, 2031
|
|
|
|
|
|
|
|
|
|
$
|
69,862
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
2,916,092
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
*
|
|
Party-in-Interest
|
|
**
|
|
Cost information is not required for participant-directed investments
|
(Concluded)
- 22 -
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other
persons who administer the Plan) have duly caused this annual report to be signed on its behalf by
the undersigned hereunto duly authorized.
|
|
|
|
|
|
|
|
|
|
|
DELL INC. 401(k) PLAN
|
|
|
|
|
|
|
|
|
|
|
|
|
|
By:
|
|
Benefits Administration Committee of the Dell Inc. 401(k) Plan
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Date: June 21, 2011
|
|
|
|
By:
|
|
/s/ Janet B. Wright
|
|
|
|
|
|
|
|
|
Janet B. Wright
|
|
|
|
|
|
|
|
|
On Behalf of the Benefits Administration Committee
|
|
|
- 23 -
INDEX TO EXHIBITS
|
|
|
|
|
Exhibit
|
|
|
Number
|
|
Description
|
|
|
|
|
|
|
23.1
|
|
|
Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm
|
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