Costco

Form 5500
Department of the Treasury Internal Revenue Service Department of Labor Employee Benefits Security Administration Pension Benefit Guaranty Corporation
Annual Return/Report of Employee Benefit Plan

This form is required to be filed for employee benefit plans under sections 104 and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and sections 6047(e), 6057(b), and 6058(a) of the Internal Revenue Code (the Code). Complete all entries in accordance with the instructions to the Form 5500.
OMB Nos. 1210-0110 1210-0089
2012
This Form is Open to Public Inspection
Part I A
Annual Report Identification Information X X X X

01/01/2012 a multiemployer plan;
a single-employer plan; the first return/report; an amended return/report; and ending
For calendar plan year 2012 or fiscal plan year beginning This return/report is for:
12/31/2012
X X X X X
a multiple-employer plan; or a DFE (specify)
_C_
B C D
This return/report is:
the final return/report; a short plan year return/report (less than 12 months).
If the plan is a collectively-bargained plan, check here. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Check box if filing under:
X X Form 5558;
automatic extension;
special extension (enter description) ABCDEFGHI
X the DFVC program; ABCDEFGHI ABCDEFGHI ABCDE 1b 1c 2b 2c 2d

Three-digit plan 002 001 number (PN) Effective date of plan 01/01/1995 YYYY-MM-DD Employer Identification Number (EIN) 91-1223280 012345678 Sponsors telephone number 0123456789 425-313-8100 Business code (see instructions) 452900 012345
Part II Basic Plan Informationenter all requested information 1a Name of plan ABCDEFGHI ABCDEFGHIPLAN ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI COSTCO 401K RETIREMENT ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 2a
Plan sponsors name and address; include room or suite number (employer, if for a single-employer plan)
COSTCO WHOLESALE CORPORATION
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI D/B/A ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 999 LAKE DRIVE c/o ABCDEFGHI ISSAQUAH, WA 98027 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 ABCDEFGHI ABCDEFGHI ABCDE 123456789 ABCDEFGHI ABCDEFGHI ABCDE CITYEFGHI ABCDEFGHI AB, ST 012345678901 UK
Caution: A penalty for the late or incomplete filing of this return/report will be assessed unless reasonable cause is established. Under penalties of perjury and other penalties set forth in the instructions, I declare that I have examined this return/report, including accompanying schedules, statements and attachments, as well as the electronic version of this return/report, and to the best of my knowledge and belief, it is true, correct, and complete. SIGN HERE
Filed with authorized/valid electronic signature.

Signature of plan administrator
07/17/2013 YYYY-MM-DD
Date
MONICA D. SMITH ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

Enter name of individual signing as plan administrator
SIGN HERE
Filed with authorized/valid electronic signature.

Signature of employer/plan sponsor
07/17/2013 YYYY-MM-DD
Date
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE MONICA D. SMITH

Enter name of individual signing as employer or plan sponsor
SIGN HERE
YYYY-MM-DD
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE
Signature of DFE Date Enter name of individual signing as DFE Preparers name (including firm name, if applicable) and address; include room or suite number. (optional) Preparers telephone number ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI (optional) RONALD ARCULEO 215-246-2300 ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI DELOITTE TAX LLP
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1700 MARKET ST., ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI PHILADELPHIA, PA 19103 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500.
Form 5500 (2012) v. 120126
Form 5500 (2012)
Page 2
3a
Plan administrators name and address X Same as Plan Sponsor Name
X Same as Plan Sponsor Address
3b 3c
Administrators EIN
012345678 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c/o ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 ABCDEFGHI ABCDEFGHI ABCDE 123456789 ABCDEFGHI ABCDEFGHI ABCDE CITYEFGHI ABCDEFGHI AB, ST 012345678901 UK 4 If the name and/or EIN of the plan sponsor has changed since the last return/report filed for this plan, enter the name,
EIN and the plan number from the last return/report: Administrators telephone number
0123456789
4b 4c 5
EIN
012345678
PN
a 5 6 a b c d e f g h 7 8a b
Sponsors name
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

Total number of participants at the beginning of the plan year Number of participants as of the end of the plan year (welfare plans complete only lines 6a, 6b, 6c, and 6d). Active participants ..................................................................................................................................................................... Retired or separated participants receiving benefits................................................................................................................. Other retired or separated participants entitled to future benefits............................................................................................. Subtotal. Add lines 6a, 6b, and 6c........................................................................................................................................... Deceased participants whose beneficiaries are receiving or are entitled to receive benefits. .................................................. Total. Add lines 6d and 6e. ...................................................................................................................................................... Number of participants with account balances as of the end of the plan year (only defined contribution plans complete this item) .................................................................................................................................................................... Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested .............................................................................................................................................................. Enter the total number of employers obligated to contribute to the plan (only multiemployer plans complete this item) .........
012 123456789012 121208
6a 6b 6c 6d 6e 6f 6g 6h 7
123456789012 113186 1234567890120 123456789012 8358 123456789012 121544 123456789012 221 123456789012 121765
118731 123456789012
6149 123456789012
If the plan provides pension benefits, enter the applicable pension feature codes from the List of Plan Characteristics Codes in the instructions: 2E 2F 2G 2J 2K 2O 3H If the plan provides welfare benefits, enter the applicable welfare feature codes from the List of Plan Characteristics Codes in the instructions:
9a
Plan funding arrangement (check all that apply) (1) X Insurance (2) (3) (4)
9b
Plan benefit arrangement (check all that apply) (1) X Insurance (2) (3) (4)
X X X
Code section 412(e)(3) insurance contracts Trust General assets of the sponsor
X X X
Code section 412(e)(3) insurance contracts Trust General assets of the sponsor
10 a
Check all applicable boxes in 10a and 10b to indicate which schedules are attached, and, where indicated, enter the number attached. (See instructions) Pension Schedules X R (Retirement Plan Information) (1) (2)
General Schedules (1) (2) (3) (4) (5) (6)
X X X X X X
H (Financial Information) I (Financial Information Small Plan) ___ A (Insurance Information) C (Service Provider Information) D (DFE/Participating Plan Information) G (Financial Transaction Schedules)
MB (Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information) - signed by the plan actuary SB (Single-Employer Defined Benefit Plan Actuarial Information) - signed by the plan actuary
(3)
Schedule C (Form 5500) 2011
Page 1
SCHEDULE C
(Form 5500)
Service Provider Information

This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA).
OMB No. 1210-0110
2012
This Form is Open to Public Inspection.
File as an attachment to Form 5500.

01/01/2012
and ending
For calendar plan year 2012 or fiscal plan year beginning
12/31/2012
A Name of plan COSTCO 401K RETIREMENT PLAN ABCDEFGHI
Three-digit plan number (PN)
001
002
C Plan sponsors name as shown on line 2a of Form 5500 ABCDEFGHI COSTCO WHOLESALE CORPORATION
D Employer Identification Number (EIN) 012345678 91-1223280
Part I
Service Provider Information (see instructions)
You must complete this Part, in accordance with the instructions, to report the information required for each person who received, directly or indirectly, $5,000 or more in total compensation (i.e., money or anything else of monetary value) in connection with services rendered to the plan or the person's position with the plan during the plan year. If a person received only eligible indirect compensation for which the plan received the required disclosures, you are required to answer line 1 but are not required to include that person when completing the remainder of this Part.
1 Information on Persons Receiving Only Eligible Indirect Compensation a Check "Yes" or "No" to indicate whether you are excluding a person from the remainder of this Part because they received only eligible
indirect compensation for which the plan received the required disclosures (see instructions for definitions and conditions).. . . . . . . . . . . . . . .
X Yes X No
If you answered line 1a Yes, enter the name and EIN or address of each person providing the required disclosures for the service providers who received only eligible indirect compensation. Complete as many entries as needed (see instructions).
(b)
ARTIO GLOBAL INVESTORS
Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation
330 MADISON AVE NEW YORK, NY 10017
(b) Enter name and EIN or address of person who provided you disclosure on eligible indirect compensation
COLUMBIA MGMT INV SERVICES CORP PO BOX 8081 BOSTON, MA 02266
(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation
VANGUARD PO BOX 1110 VALLEY FORGE, PA 19482
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500
Schedule C (Form 5500) 2012 v.120126
Page 2- 1
Page 3
-1 1 x
2. Information on Other Service Providers Receiving Direct or Indirect Compensation.
Except for those persons for whom you answered Yes to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation (i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).
(a) Enter name and EIN or address (see instructions)

T ROWE PRICE RPS, INC. 100 EAST PRATT STREET BALTIMORE, MD 21202
(b)
Service Code(s)
(c)
(d)
(e)
(f)
Did indirect compensation include eligible indirect compensation, for which the plan received the required disclosures?
(g)
(h)
Relationship to Enter direct Did service provider employer, employee compensation paid receive indirect organization, or by the plan. If none, compensation? (sources person known to be enter -0-. other than plan or plan a party-in-interest sponsor)
Did the service Enter total indirect compensation received by provider give you a service provider excluding formula instead of an amount or eligible indirect compensation for which you estimated amount? answered Yes to element (f). If none, enter -0-.
NONE 15 21 25 28 ABCDEFGHI 37 38 49 50 ABCDEFGHI 52 57 59 62 ABCD 64 65
123456789012 1000209 345
1234567890123450
Yes X No
Yes X
No
Yes X
No

SONG MONDRESS 720 THIRD AVE SUITE 1500 SEATTLE, WA 98104
(b)
Service Code(s)
(c)
(d)
(e)
(f)
(g)
(h)
Did service provider Relationship to Enter direct receive indirect employer, employee compensation paid organization, or by the plan. If none, compensation? (sources other than plan or plan person known to be enter -0-. sponsor) a party-in-interest
Enter total indirect Did the service compensation received by provider give you a service provider excluding formula instead of eligible indirect an amount or compensation for which you estimated amount? answered Yes to element (f). If none, enter -0-.
16 17 50
NONE ABCDEFGHI ABCDEFGHI ABCD
123456789012 14474 345
123456789012345
Yes
No X
Yes
No
Yes
No

DAVIS STATE STREET BANK AND TRUST C/O THE PO BOX 8406 BOSTON, MA 02266
(b)
Service Code(s)
(c)
(d)
(e)
(f)
(g)
(h)
28 59
ABCDEFGHI NONE ABCDEFGHI ABCD
123456789012 0 345
0
Yes X No
Yes X
No
Yes X
No
Page 3
-1 2 x
2. Information on Other Service Providers Receiving Direct or Indirect Compensation.
Except for those persons for whom you answered Yes to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation (i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

AMERICAN FUNDS PO BOX 6007 INDIANAPOLIS, IN 46206
(b)
Service Code(s)
(c)
(d)
(e)
(f)
(g)
(h)
28 59
NONE ABCDEFGHI ABCDEFGHI ABCD
123456789012 0 345
1234567890123450
Yes X No
Yes X
No
Yes X
No
(b)
Service Code(s)
(c)
(d)
(e)
(f)
(g)
(h)
Did service provider Relationship to Enter direct receive indirect employer, employee compensation paid organization, or by the plan. If none, compensation? (sources other than plan or plan person known to be enter -0-. sponsor) a party-in-interest
Enter total indirect Did the service compensation received by provider give you a service provider excluding formula instead of eligible indirect an amount or compensation for which you estimated amount? answered Yes to element (f). If none, enter -0-.
ABCDEFGHI ABCDEFGHI ABCD
123456789012 345
123456789012345
Yes
No
Yes
No
Yes
No
(b)
Service Code(s)
(c)
(d)
(e)
(f)
(g)
(h)
ABCDEFGHI ABCDEFGHI ABCD
123456789012 345
Yes
No
Yes
No
Yes
No
Page 4- 1
Part I Service Provider Information (continued) 3 If you reported on line 2 receipt of indirect compensation, other than eligible indirect compensation, by a service provider, and the service provider is a fiduciary
or provides contract administrator, consulting, custodial, investment advisory, investment management, broker, or recordkeeping services, answer the following questions for (a) each source from whom the service provider received $1,000 or more in indirect compensation and (b) each source for whom the service provider gave you a formula used to determine the indirect compensation instead of an amount or estimated amount of the indirect compensation. Complete as many entries as needed to report the required information for each source.
(a) Enter service provider name as it appears on line 2

T ROWE PRICE RPS, INC.
(b) Service Codes

(see instructions)
(c) Enter amount of indirect

compensation
15 21 25 28 37 38 49 50 52 57 59 62 64 65
(d) Enter name and EIN (address) of source of indirect compensation

AF GROWTH FUND OF AMERICA R5 PO BOX 6007 INDIANAPOLIS, IN 46206
(e) Describe the indirect compensation, including any formula used to determine the service providers eligibility for or the amount of the indirect compensation.
FEE FOR SHAREHOLDER SERVICING BASED UPON 0.05%

(b) Service Codes

(see instructions)

compensation
15 21 25 28 37 38 49 50 52 57 59 62 64 65
AMER FUNDS NEW PERSPECTIVE R5
PO BOX 6007 INDIANAPOLIS, IN 46206

(b) Service Codes

(see instructions)

compensation
15 21 25 28 37 38 49 50 52 57 59 62 64 65
DAVIS NEW YORK VENTURE
STATE STREET BANK AND TRUST C/O THE PO BOX 8406 BOSTON, MA 02266
Page 4- 1 2
Part I Service Provider Information (continued) 3 If you reported on line 2 receipt of indirect compensation, other than eligible indirect compensation, by a service provider, and the service provider is a fiduciary
or provides contract administrator, consulting, custodial, investment advisory, investment management, broker, or recordkeeping services, answer the following questions for (a) each source from whom the service provider received $1,000 or more in indirect compensation and (b) each source for whom the service provider gave you a formula used to determine the indirect compensation instead of an amount or estimated amount of the indirect compensation. Complete as many entries as needed to report the required information for each source.

(b) Service Codes

(see instructions)

compensation
15 21 25 28 37 38 49 50 52 57 59 62 64 65

TRP STABLE VALUE FUND SCH B 100 EAST PRATT STREET BALTIMORE, MD 21202
(b) Service Codes

(see instructions)

compensation
(b) Service Codes

(see instructions)

compensation
Page 5- 1
Part II Service Providers Who Fail or Refuse to Provide Information 4 Provide, to the extent possible, the following information for each service provider who failed or refused to provide the information necessary to complete
this Schedule.
(a) Enter name and EIN or address of service provider (see

instructions)
(b) Nature of
Service Code(s)
(c) Describe the information that the service provider failed or refused to
provide
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
ABCD ABCD ABCD ABCD ABCD
10 11 12 13
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

provide
ABCDE ABCDE ABCDE ABCDE ABCDE ABCDE

instructions)
(b) Nature of
Service Code(s)
(c) Describe the information that the service provider failed or refused to ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
provide
10 11 12 13

instructions)
(b) Nature of
Service Code(s)
provide
10 11 12 13

instructions)
(b) Nature of
Service Code(s)
provide
10 11 12 13

instructions)
(b) Nature of
Service Code(s)
provide
10 11 12 13

instructions)
(b) Nature of
Service Code(s)
(c) Describe the information that the service provider failed or refused to
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
ABCD ABCD ABCD ABCD
Page 6- 1 1
Part III a c d
Name:
Termination Information on Accountants and Enrolled Actuaries (see instructions)

(complete as many entries as needed)
Position: Address:
Explanation:
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
ABCD
EIN:
123456789
ABCD 1234567890 e Telephone: ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b
EIN:
a c d
Name: Position: Address:
123456789
Explanation:
EIN:
a c d
123456789
Explanation:
EIN:
a c d
123456789
Explanation:
EIN:
a c d
123456789
Explanation:
ABCD 1234567890 e Telephone: ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
SCHEDULE D
(Form 5500)
Department of the Treasury Internal Revenue Service Department of Labor Employee Benefits Security Administration
DFE/Participating Plan Information

This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA).
OMB No. 1210-0110
2012
01/01/2012
and ending
12/31/2012
A Name of plan B Three-digit 002 COSTCO 401K RETIREMENT PLAN ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 001 plan number (PN) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI D Employer Identification Number (EIN) C Plan or DFE sponsors name as shown on line 2a of Form 5500 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 012345678 COSTCO WHOLESALE CORPORATION 91-1223280 ABCDEFGHI Part I Information on interests in MTIAs, CCTs, PSAs, and 103-12 IEs (to be completed by plans and DFEs) (Complete as many entries as needed to report all interests in DFEs) a Name of MTIA, CCT, PSA, or 103-12 IE: TRP STABLE VALUE FUND ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI T. ROWE PRICE TRUST ABCDEFGHI COMPANY b Name of sponsor of entity listed in (a): ABCDEFGHI d Entity e Dollar value of interest in MTIA, CCT, PSA, or C c EIN-PN 52-1309931-001 1122367002 123456789-123 1 -123456789012345 code 103-12 IE at end of year (see instructions) a b c a b c a b c a b c a b c a b c
INDEX FUND Name of MTIA, CCT, PSA, or 103-12 IE: TRP EQUITY ABCDEFGHI ABCDEFGHI
Name of sponsor of entity listed in (a): EIN-PN 52-1309931-001
T. ROWE PRICE TRUST COMPANY ABCDEFGHI ABCDEFGHI

Entity code
ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

186928737 -123456789012345
123456789-123
ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or C 1 103-12 IE at end of year (see instructions)
Name of MTIA, CCT, PSA, or 103-12 IE: Name of sponsor of entity listed in (a): EIN-PN
d 123456789-123
Entity code
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions)
Schedule D (Form 5500) 2012 v. 120126
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
Schedule D (Form 5500) 2012
Page 2
- 11 x
a b c a b c a b c a b c a b c a b c a b c a b c a b c a b c
d 123456789-123
Entity code
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions)
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
d 123456789-123
Entity code
Schedule D (Form 5500) 2012

6
Page 3
- 11 x
Part II a b
Information on Participating Plans (to be completed by DFEs)

(Complete as many entries as needed to report all participating plans)
Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor Plan name Name of plan sponsor
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123
a b
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123
a b
a b
a b
a b
a b
a b
a b
a b
a b
a b
SCHEDULE H
(Form 5500)
Financial Information
This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA), and section 6058(a) of the Internal Revenue Code (the Code).
OMB No. 1210-0110
2012

and ending
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI C Plan sponsors name as shown on line 2a of Form 5500 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI COSTCO WHOLESALE CORPORATION ABCDEFGHI
For calendar plan year 2012 or fiscal plan year beginning 01/01/2012 A Name of plan COSTCO 401K RETIREMENT ABCDEFGHI ABCDEFGHIPLAN ABCDEFGHI ABCDEFGHI ABCDEFGHI
This Form is Open to Public Inspection 12/31/2012 Three-digit plan number (PN)
002
001
Employer Identification Number (EIN)
012345678
91-1223280
Part I Asset and Liability Statement 1 Current value of plan assets and liabilities at the beginning and end of the plan year. Combine the value of plan assets held in more than one trust. Report
the value of the plans interest in a commingled fund containing the assets of more than one plan on a line-by-line basis unless the value is reportable on lines 1c(9) through 1c(14). Do not enter the value of that portion of an insurance contract which guarantees, during this plan year, to pay a specific dollar benefit at a future date. Round off amounts to the nearest dollar. MTIAs, CCTs, PSAs, and 103-12 IEs do not complete lines 1b(1), 1b(2), 1c(8), 1g, 1h, and 1i. CCTs, PSAs, and 103-12 IEs also do not complete lines 1d and 1e. See instructions.
Assets a b
Total noninterest-bearing cash ....................................................................... Receivables (less allowance for doubtful accounts): (1) Employer contributions ........................................................................... (2) Participant contributions ......................................................................... (3) Other ....................................................................................................... 1b(1) 1b(2) 1b(3) 1a
(a) Beginning of Year
(b) End of Year
984130 -123456789012345
3403934 -123456789012345
-123456789012345 212579022 -123456789012345 0 0 -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 0 -123456789012345 -123456789012345 -123456789012345 -123456789012345 316853811 -123456789012345 1229607357 -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 2398498865 -123456789012345 -123456789012345
-123456789012345 232660290 -123456789012345 17592710 1928466 -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 251207171 -123456789012345 -123456789012345 -123456789012345 -123456789012345 349149543 -123456789012345 1309295737 -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 2625580127 -123456789012345 -123456789012345
Schedule H (Form 5500) 2012 v. 120126
General investments: (1) Interest-bearing cash (include money market accounts & certificates of deposit) ............................................................................................. (2) U.S. Government securities .................................................................... (3) Corporate debt instruments (other than employer securities): (A) Preferred .......................................................................................... (B) All other ............................................................................................ (4) Corporate stocks (other than employer securities): (A) Preferred .......................................................................................... (B) Common .......................................................................................... (5) Partnership/joint venture interests .......................................................... (6) Real estate (other than employer real property) ..................................... (7) Loans (other than to participants) ........................................................... (8) Participant loans ..................................................................................... (9) Value of interest in common/collective trusts .......................................... (10) Value of interest in pooled separate accounts ........................................ (11) Value of interest in master trust investment accounts ............................ (12) Value of interest in 103-12 investment entities ....................................... (13) Value of interest in registered investment companies (e.g., mutual funds) ...................................................................................... (14) Value of funds held in insurance company general account (unallocated contracts) ................................................................................................ (15) Other .......................................................................................................
1c(1) 1c(2)
1c(3)(A) 1c(3)(B)
1c(4)(A) 1c(4)(B) 1c(5) 1c(6) 1c(7) 1c(8) 1c(9) 1c(10) 1c(11) 1c(12) 1c(13) 1c(14) 1c(15)
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500
Schedule H (Form 5500) 2012
Page 2 (a) Beginning of Year 1d(1) 1d(2) 1e 1f (b) End of Year
1d
Employer-related investments: (1) Employer securities .................................................................................... (2) Employer real property ...............................................................................
1e 1f 1g 1h 1i 1j 1k 1l
Buildings and other property used in plan operation ......................................... Total assets (add all amounts in lines 1a through 1e) ......................................
1639430046 -123456789012345 -123456789012345 -123456789012345 5797953231 -123456789012345
2289195447 -123456789012345 -123456789012345 -123456789012345 7080013425 -123456789012345
Liabilities
Benefit claims payable ...................................................................................... Operating payables ........................................................................................... Acquisition indebtedness .................................................................................. Other liabilities................................................................................................... Total liabilities (add all amounts in lines 1g through1j) ..................................... 1g 1h 1i 1j 1k
-123456789012345 -123456789012345 -123456789012345 0 -123456789012345 0 -123456789012345

5797953231 -123456789012345
-123456789012345 -123456789012345 -123456789012345 2906866 -123456789012345 2906866 -123456789012345

7077106559 -123456789012345
Net Assets
Net assets (subtract line 1k from line 1f) ........................................................... 1l
Part II Income and Expense Statement 2 Plan income, expenses, and changes in net assets for the year. Include all income and expenses of the plan, including any trust(s) or separately maintained
fund(s) and any payments/receipts to/from insurance carriers. Round off amounts to the nearest dollar. MTIAs, CCTs, PSAs, and 103-12 IEs do not complete lines 2a, 2b(1)(E), 2e, 2f, and 2g.
Income a
Contributions: (1) Received or receivable in cash from: (A) Employers .................................. (B) Participants ......................................................................................... (C) Others (including rollovers) ................................................................. (2) Noncash contributions ................................................................................ (3) Total contributions. Add lines 2a(1)(A), (B), (C), and line 2a(2) ................. 2a(1)(A) 2a(1)(B) 2a(1)(C) 2a(2) 2a(3)
(a) Amount
(b) Total
278100461 -123456789012345 336352250 -123456789012345 4340296 -123456789012345 -123456789012345 618793007 -123456789012345
Earnings on investments: (1) Interest: (A) Interest-bearing cash (including money market accounts and certificates of deposit) ......................................................................... (B) U.S. Government securities ................................................................ (C) Corporate debt instruments ................................................................ (D) Loans (other than to participants) ....................................................... (E) Participant loans ................................................................................. (F) Other ................................................................................................... (G) Total interest. Add lines 2b(1)(A) through (F) ..................................... (2) Dividends: (A) Preferred stock .................................................................... (B) Common stock .................................................................................... (C) Registered investment company shares (e.g. mutual funds) .............. (D) Total dividends. Add lines 2b(2)(A), (B), and (C) (3) Rents ........................................................................................................... (4) Net gain (loss) on sale of assets: (A) Aggregate proceeds ....................... (B) Aggregate carrying amount (see instructions) .................................... (C) Subtract line 2b(4)(B) from line 2b(4)(A) and enter result .................. (5) Unrealized appreciation (depreciation) of assets: (A) Real estate......................... (B) Other ................................................................................................... (C) Total unrealized appreciation of assets. Add lines 2b(5)(A) and (B) ..................................................................
2b(1)(A) 2b(1)(B) 2b(1)(C) 2b(1)(D) 2b(1)(E) 2b(1)(F) 2b(1)(G) 2b(2)(A) 2b(2)(B) 2b(2)(C) 2b(2)(D) 2b(3) 2b(4)(A) 2b(4)(B) 2b(4)(C) 2b(5)(A) 2b(5)(B) 2b(5)(C)
-123456789012345 -123456789012345 -123456789012345 -123456789012345 16525603 -123456789012345 -123456789012345

16525603 -123456789012345
-123456789012345 179963198 -123456789012345

69629624 249592822 -123456789012345 -123456789012345 266697361 -123456789012345 244497760 -123456789012345 22199601 -123456789012345
-123456789012345 281205391 -123456789012345 -123456789012345 281205391
Page 3 (a) Amount (b) Total
(6) Net investment gain (loss) from common/collective trusts .......................... (7) Net investment gain (loss) from pooled separate accounts ........................ (8) Net investment gain (loss) from master trust investment accounts ............ (9) Net investment gain (loss) from 103-12 investment entities ....................... (10) Net investment gain (loss) from registered investment companies (e.g., mutual funds)...................................................................
2b(6) 2b(7) 2b(8) 2b(9) 2b(10) 2c 2d
98980903 -123456789012345 -123456789012345 -123456789012345 -123456789012345
-123456789012345 308513340 -123456789012345 1595810667 -123456789012345
c d e
Other income..................................................................................................... Total income. Add all income amounts in column (b) and enter total......................
Expenses
Benefit payment and payments to provide benefits: (1) Directly to participants or beneficiaries, including direct rollovers .............. (2) To insurance carriers for the provision of benefits ...................................... (3) Other ........................................................................................................... (4) Total benefit payments. Add lines 2e(1) through (3) ................................... 2e(1) 2e(2) 2e(3) 2e(4) 2f 2g 2h 2i(1) 2i(2) 2i(3) 2i(4) 2i(5) 2j
312202200 -123456789012345 -123456789012345 -123456789012345 312202200 -123456789012345 3753 -123456789012345 4451386 -123456789012345 -123456789012345
f g h i
Corrective distributions (see instructions) ......................................................... Certain deemed distributions of participant loans (see instructions) ................. Interest expense................................................................................................ Administrative expenses: (1) Professional fees ............................................... (2) Contract administrator fees ......................................................................... (3) Investment advisory and management fees ............................................... (4) Other ........................................................................................................... (5) Total administrative expenses. Add lines 2i(1) through (4).........................
-123456789012345 -123456789012345 -123456789012345 -123456789012345

0 -123456789012345 316657339 -123456789012345 1279153328 -123456789012345
j k l
Total expenses. Add all expense amounts in column (b) and enter total .........
Net Income and Reconciliation

Net income (loss). Subtract line 2j from line 2d............................................................. Transfers of assets: (1) To this plan.................................................................................................. (2) From this plan ............................................................................................. 2l(1) 2l(2) 2k
-123456789012345 -123456789012345
Part III Accountants Opinion 3 Complete lines 3a through 3c if the opinion of an independent qualified public accountant is attached to this Form 5500. Complete line 3d if an opinion is not
attached.
The attached opinion of an independent qualified public accountant for this plan is (see instructions): (1) X Unqualified (2)
Qualified
(3)
Disclaimer
(4)
Adverse
X Yes b Did the accountant perform a limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)? c Enter the name and EIN of the accountant (or accounting firm) below: 13-5565207 (1) Name: KPMG ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (2) EIN: 123456789 d The opinion of an independent qualified public accountant is not attached because: (2) X It will be attached to the next Form 5500 pursuant to 29 CFR 2520.104-50. (1) X This form is filed for a CCT, PSA, or MTIA. Part IV Compliance Questions 4 CCTs and PSAs do not complete Part IV. MTIAs, 103-12 IEs, and GIAs do not complete lines 4a, 4e, 4f, 4g, 4h, 4k, 4m, 4n, or 5.
103-12 IEs also do not complete lines 4j and 4l. MTIAs also do not complete line 4l. During the plan year: Yes No
No
Amount
a b
Was there a failure to transmit to the plan any participant contributions within the time period described in 29 CFR 2510.3-102? Continue to answer Yes for any prior year failures until fully corrected. (See instructions and DOLs Voluntary Fiduciary Correction Program.) ...... Were any loans by the plan or fixed income obligations due the plan in default as of the close of the plan year or classified during the year as uncollectible? Disregard participant loans secured by participants account balance. (Attach Schedule G (Form 5500) Part I if Yes is checked.) ......................................................................................................................................
4a
-123456789012345
4b
-123456789012345
Page 4- 1 X
Yes
No
Amount
c d
Were any leases to which the plan was a party in default or classified during the year as uncollectible? (Attach Schedule G (Form 5500) Part II if Yes is checked.) .............................. Were there any nonexempt transactions with any party-in-interest? (Do not include transactions reported on line 4a. Attach Schedule G (Form 5500) Part III if Yes is checked.) ...................................................................................................................................... Was this plan covered by a fidelity bond? .................................................................................... Did the plan have a loss, whether or not reimbursed by the plans fidelity bond, that was caused by fraud or dishonesty? ............................................................................................................... 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? ......................................... 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? ......... Did the plan have assets held for investment? (Attach schedule(s) of assets if Yes is checked, and see instructions for format requirements.)............................................................................. Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? (Attach schedule of transactions if Yes is checked, and see instructions for format requirements.).................................................................................... Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? ......................................................................... Has the plan failed to provide any benefit when due under the plan? ......................................... If this is an individual account plan, was there a blackout period? (See instructions and 29 CFR 2520.101-3.) ................................................................................................................................. If 4m was answered Yes, check the Yes box if you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3. ............................. Has a resolution to terminate the plan been adopted during the plan year or any prior plan year? If Yes, enter the amount of any plan assets that reverted to the employer this year...........................
4c
-123456789012345 -123456789012345
15000000 -123456789012345
4d 4e 4f 4g
X X X X
e f g h i j
-123456789012345 -123456789012345 -123456789012345
4h 4i
X X
4j 4k 4l 4m 4n
X X X X
k l m n 5a 5b
-123456789012345
Yes X No
Amount:-123
If, during this plan year, any assets or liabilities were transferred from this plan to another plan(s), identify the plan(s) to which assets or liabilities were transferred. (See instructions.) 5b(1) Name of plan(s)
ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI Part V Trust Information (optional) 6a Name of trust ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI
5b(2) EIN(s)
5b(3) PN(s)
123456789 123456789
123 123
123456789
123
123456789
123
6b
Trusts EIN
SCHEDULE R
(Form 5500)
Retirement Plan Information

This schedule is required to be filed under section 104 and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and section 6058(a) of the Internal Revenue Code (the Code).
OMB No. 1210-0110
2012

01/01/2012
and ending
12/31/2012
Three-digit plan number (PN)
A Name of plan COSTCO 401K RETIREMENT PLAN ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI C Plan sponsors name as shown on line 2a of Form 5500 COSTCO WHOLESALE CORPORATION ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI Part I 1 2 Distributions
All references to distributions relate only to payments of benefits during the plan year.
002
001
Employer Identification Number (EIN)
012345678
91-1223280
Total value of distributions paid in property other than in cash or the forms of property specified in the instructions ..............................................................................................................................................................
0 -123456789012345
Enter the EIN(s) of payor(s) who paid benefits on behalf of the plan to participants or beneficiaries during the year (if more than two, enter EINs of the two payors who paid the greatest dollar amounts of benefits): EIN(s):
52-1481931 _______________________________
_______________________________
Profit-sharing plans, ESOPs, and stock bonus plans, skip line 3.
Number of participants (living or deceased) whose benefits were distributed in a single sum, during the plan year. ..........................................................................................................................................................................
12345678
Part II 4 5
Funding Information (If the plan is not subject to the minimum funding requirements of section of 412 of the Internal Revenue Code or ERISA section 302, skip this Part) X
Yes
Is the plan administrator making an election under Code section 412(d)(2) or ERISA section 302(d)(2)? ......................... If the plan is a defined benefit plan, go to line 8. If a waiver of the minimum funding standard for a prior year is being amortized in this plan year, see instructions and enter the date of the ruling letter granting the waiver. Date: Month _________
No
N/A
Day _________
Year _________
If you completed line 5, complete lines 3, 9, and 10 of Schedule MB and do not complete the remainder of this schedule.
a b c
Enter the minimum required contribution for this plan year (include any prior year accumulated funding deficiency not waived) ....................................................................................................................................... Enter the amount contributed by the employer to the plan for this plan year ..................................................... Subtract the amount in line 6b from the amount in line 6a. Enter the result (enter a minus sign to the left of a negative amount)..........................................................................................
6a 6b
-123456789012345 -123456789012345 -123456789012345

Yes
6c
If you completed line 6c, skip lines 8 and 9.
7 8
Will the minimum funding amount reported on line 6c be met by the funding deadline? ...................................... If a change in actuarial cost method was made for this plan year pursuant to a revenue procedure or other authority providing automatic approval for the change or a class ruling letter, does the plan sponsor or plan administrator agree with the change?....................................................................................................................
No
N/A
Yes
No
N/A
Part III
9
Amendments
X
Increase
If this is a defined benefit pension plan, were any amendments adopted during this plan year that increased or decreased the value of benefits? If yes, check the appropriate box. If no, check the No box. ...........................................................................................
X Decrease
Both
No
Part IV
ESOPs
(see instructions). If this is not a plan described under Section 409(a) or 4975(e)(7) of the Internal Revenue Code, skip this Part.
10 Were unallocated employer securities or proceeds from the sale of unallocated securities used to repay any exempt loan? .............. 11 a Does the ESOP hold any preferred stock? .................................................................................................................................... b If the ESOP has an outstanding exempt loan with the employer as lender, is such loan part of a back-to-back loan?
(See instructions for definition of back-to-back loan.) ..................................................................................................................
X X X X
Yes Yes Yes Yes
X X X X
No No No No
12
Does the ESOP hold any stock that is not readily tradable on an established securities market? ........................................................
Schedule R (Form 5500) 2012 v. 120126
Schedule R (Form 5500) 2012
Page 2
-1 1 x
Part V Additional Information for Multiemployer Defined Benefit Pension Plans 13 Enter the following information for each employer that contributed more than 5% of total contributions to the plan during the plan year (measured in a
dollars). See instructions. Complete as many entries as needed to report all applicable employers. Name of contributing employer EIN
b d e
Dollar amount contributed by employer
Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): (2) Base unit measure: X Hourly Name of contributing employer EIN
a b d e
Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________ Name of contributing employer EIN
a b d e
Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): _______________________________ (2) Base unit measure: X Hourly Name of contributing employer EIN
a b d e
Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________ Name of contributing employer EIN
a b d e
Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): _______________________________ (2) Base unit measure: X Hourly Name of contributing employer EIN
a b d e
Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): _______________________________ (2) Base unit measure: X Hourly
Schedule R (Form 5500) 2012
Page 3
14
Enter the number of participants on whose behalf no contributions were made by an employer as an employer of the participant for:
a b c 15
The current year ................................................................................................................................................... The plan year immediately preceding the current plan year ................................................................................. The second preceding plan year ..........................................................................................................................
14a 14b 14c
123456789012345 123456789012345 123456789012345
Enter the ratio of the number of participants under the plan on whose behalf no employer had an obligation to make an employer contribution during the current plan year to:
a b 16 a b 17
The corresponding number for the plan year immediately preceding the current plan year ................................ The corresponding number for the second preceding plan year ..........................................................................
15a 15b 16a 16b
123456789012345 123456789012345 123456789012345 123456789012345
Information with respect to any employers who withdrew from the plan during the preceding plan year: Enter the number of employers who withdrew during the preceding plan year ................................................. If line 16a is greater than 0, enter the aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers ......................................................................................................
If assets and liabilities from another plan have been transferred to or merged with this plan during the plan year, check box and see instructions regarding supplemental information to be included as an attachment. ....................................................................................................................... X
Part VI Additional Information for Single-Employer and Multiemployer Defined Benefit Pension Plans 18 If any liabilities to participants or their beneficiaries under the plan as of the end of the plan year consist (in whole or in part) of liabilities to such participants
and beneficiaries under two or more pension plans as of immediately before such plan year, check box and see instructions regarding supplemental information to be included as an attachment ............................................................................................................................................................................ X
19
If the total number of participants is 1,000 or more, complete lines (a) through (c) a Enter the percentage of plan assets held as: Stock: _____% Investment-Grade Debt: _____% High-Yield Debt: _____%
Real Estate: _____% Other: _____%
b c
Provide the average duration of the combined investment-grade and high-yield debt: X 0-3 years X 3-6 years X 6-9 years X 9-12 years X 12-15 years X 15-18 years
18-21 years
21 years or more
X Effective duration
What duration measure was used to calculate line 19(b)? X Macaulay duration X Modified duration
X Other (specify):
COSTCO 401(k) RETIREMENT PLAN Financial Statements and Supplemental Schedule December 31, 2012 and 2011 (With Independent Auditors Report Thereon)
COSTCO 401(k) RETIREMENT PLAN Table of Contents
Page Independent Auditors Report Financial Statements: Statements of Net Assets Available for Benefits as of December 31, 2012 and 2011 Statements of Changes in Net Assets Available for Benefits for the Years Ended December 31, 2012 and 2011 Notes to Financial Statements Supplemental Information Schedule H, Line 4i Schedule of Assets (Held at End of Year) as of December 31, 2012 14 3 4 5 1
KPMG LLP Suite 2900 1918 Eighth Avenue Seattle, WA 98101
Independent Auditors Report
The Benefits Committee Costco 401(k) Retirement Plan: We were engaged to audit the accompanying financial statements of the Costco 401(k) Plan (the Plan), which comprise the statements of net assets available for benefits as of December 31, 2012 and 2011, and the related statements of changes in net assets available for benefits for the years then ended, and the related notes to the financial statements. Managements Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors Responsibility Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditors judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entitys preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entitys internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the financial statements referred to above present fairly, in all material respects, the net assets available for benefits of the Costco 401(k) Plan as of December 31, 2012 and 2011, and the changes in net assets available for benefits for the years then ended, in accordance with accounting principles generally accepted in the United States of America.
KPMG LLP is a Delaware limited liability partnership, the U.S. member firm of KPMG International Cooperative (KPMG International), a Swiss entity.
Report on Supplementary Information Our audits were conducted for the purpose of forming an opinion on the financial statements as a whole. The supplemental schedule H, line 4i schedule of assets (held at end of year) as of December 31, 2012, is presented for the purpose of additional analysis and is not a required part of the 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. Such information is the responsibility of the Plans management and was derived from and relates directly to the underlying accounting and other records used to prepare the financial statements. The information has been subjected to the auditing procedures applied in the audits of the financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the information is fairly stated in all material respects in relation to the financial statements as a whole.
Seattle, Washington June 27, 2013
COSTCO 401(k) RETIREMENT PLAN Statements of Net Assets Available for Benefits December 31, 2012 and 2011 (In thousands) 2012 Assets: Investments at fair value: Costco Wholesale Corporation common stock Registered investment company funds Common commingled trust funds Separately managed accounts Total investments Money market fund Receivables: Notes receivable from participants Employer contributions Employee contributions Other receivables Total receivables Total assets Liabilities Adjustment from fair value to contract value for fully benefit-responsive investment contracts Net assets available for benefits See accompanying notes to financial statements. $ 2011
2,289,196 $ 2,625,579 1,309,296 251,207 6,475,278 3,404 349,150 232,660 17,593 1,928 601,331 7,080,013 (2,907) (46,262) 7,030,844 $
1,639,430 2,398,498 1,268,178 5,306,106 984 316,854 212,579 529,433 5,836,523 (38,570) 5,797,953
COSTCO 401(k) RETIREMENT PLAN Statements of Changes in Net Assets Available for Benefits Years Ended December 31, 2012 and 2011 (In thousands) 2012 Net investment income: Net appreciation (depreciation) in fair value of investments: Costco Wholesale Corporation common stock Registered investment company funds Common commingled trust fund Separately managed accounts Interest Dividends Total net investment income Interest from notes receivable from participants Contributions to the Plan: Employee Employer Total contributions Distributions to participants Net increase in net assets available for benefits Net assets available for benefits, beginning of year Net assets available for benefits, end of year See accompanying notes to financial statements. $ 2011
299,728 $ 308,514 26,321 3,675 26,398 249,593 914,229 16,526 340,693 278,100 618,793 (316,657) 1,232,891 5,797,953 7,030,844 $
219,614 (134,690) 3,086 32,727 79,210 199,947 15,641 300,034 256,260 556,294 (178,825) 593,057 5,204,896 5,797,953
COSTCO 401(k) RETIREMENT PLAN Notes to Financial Statements December 31, 2012 and 2011
(1)
Plan Description The following description of the Costco 401(k) Retirement Plan (the Plan) provides only general information. Participants should refer to the plan document for a more complete description of the Plans provisions. Participants in the Plan are employees of Costco Wholesale Corporation (the Company). The Plan is a defined contribution plan established by the Company under the provisions of Section 401(a) of the Internal Revenue Code (the IRC). It includes a qualified cash or deferred arrangement, as described in Section 401(k) of the IRC, for the benefit of eligible employees of the Company. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974 (ERISA), as amended. (a) Employee Contributions The Plan allows employees at least 18 years of age who have completed 90 days of service within a 12-consecutive-month period to make salary deferral contributions commencing the first day of the month following the completion of 90 days of employment. Participants may contribute from 1% to 50% of their compensation before income taxes, subject to certain limitations set by the Internal Revenue Service (IRS). Participants may also contribute amounts representing distributions from other qualified benefit or contribution plans (known as rollover contributions). All newly eligible employees are automatically enrolled in the Plan at a contribution rate of 3% unless the employee elects otherwise. On an active participants employment anniversary date, and each anniversary date thereafter, the percentage deferred into the Plan automatically increases by one percentage point to a maximum deferral of 20%. Employees may opt out of this automatic increase feature. (b) Employer Contributions All Company contributions are made in cash and invested in accordance with investment selections made by participants. If no selection has been made, the contribution defaults to a T. Rowe Price Retirement Date Fund that corresponds to the participants age. Employer contributions are allocated based on an employees classification as either: 1) a California Union Employee or 2) an Other-than-California Union Employee. California Union Employees The Company matches 50% of each employees contribution up to a maximum employer matching contribution of $250 per year. Employees at least 18 years of age who have completed 12 consecutive months of service and worked at least 1,000 hours are eligible for an annual employer contribution. Plan entry dates for this purpose occur on January 1 and July 1. The Company makes contributions into the accounts of all eligible plan participants employed on the last day of the plan year based on straight-time hours worked during the plan year, up to a maximum of 2,080 hours per calendar year. These contributions in 2012 and 2011 ranged from $0.05 to $0.60 per hour, totaling $5.9 million and $5.6 million, respectively.
(Continued)
Other-than-California Union Employees The Company matches 50% of each employees contribution up to a maximum employer matching contribution of $500 per year. Employees at least 18 years of age who have completed 12 consecutive months of service and worked at least 1,000 hours are eligible for an annual discretionary employer contribution. Plan entry dates for this purpose occur on January 1 and July 1. The Company makes contributions into the accounts of all eligible plan participants employed on the last day of the plan year. Discretionary contributions were approved for the plan years ending December 31, 2012 and 2011 totaling $226.3 million and $207 million, respectively, and ranged from 3% to 9% of each participants compensation based on years of service. (c) Participants Accounts Participants accounts are valued on a daily basis based on quoted market prices or, in the case of the Common Commingled Trust Funds, the quoted market prices of the underlying securities. Each participants account is credited with the participants contribution and allocations of (a) the companys contribution and (b) plan earnings. Allocations are based on participant earnings or account balances, as defined. The benefit to which a participant is entitled is the benefit that can be provided from the participants vested account. (d) Vesting Participants are immediately vested in their contributions and actual earnings. Vesting in the employer-match, discretionary contributions, and actual earnings, is based on years of service, according to the following schedule:
Years of service Under 2 years 2 years 3 years 4 years 5 years Percentage vested % 20 40 60 100
(e)
Forfeitures Forfeitures may be used to reduce future employer contributions or to pay administrative expenses. During 2012 and 2011, forfeitures totaling $3.1 million and $3.2 million, respectively, were used to reduce employer contributions. There were no unallocated forfeitures as of December 31, 2012 and 2011. Forfeitures, without the benefit of investment gains or losses, can be restored to a participants account if, within five years, the participant is re-employed by the Company and repays the full dollar amount distributed upon termination.
(Continued)
(f)
Investment Options A participant may initially direct the account balance into any of the investment options listed on schedule H, line 4i schedule of assets (held at end of year). Participants may change their investment options and transfer amounts between funds daily. T. Rowe Price is the trustee for all investments, serves as investment manager for registered investment company and common commingled trust funds, and provides recordkeeping of all accounts. Amounts may be temporarily invested in a cash account prior to investment in the Plans investment accounts. The T. Rowe Price Retirement Date Fund that corresponds to the participants age is the default investment option. Effective November 30, 2012, the mutual funds American Funds Growth Fund of America R5 and the Artio International Equity Fund were replaced with separately managed accounts. The separately managed accounts are not regulated like a mutual fund; instead, an Investment Manager is hired to invest assets in a separate account held for the Plan. The Large Cap Growth Portfolio (which is managed by Columbia Management Investment Advisers, LLC) replaced the American Funds Growth Fund of America R5. The International Equity Portfolio (which is managed by Scout Investments, Inc.) replaced the Artio International Equity Fund. Through these accounts the Investment Manager invests in equity securities on behalf of the Plan.
(g)
Distributions Upon termination of employment, total disability, or death, the vested interest in a participants account is payable in a lump sum. Participants may apply for a distribution of all or a portion of the vested interest at any time after attaining age 59-1/2. Participants are also eligible to make withdrawals from their salary deferral contributions in the event of certain financial hardships. Following a hardship withdrawal, participants are not allowed to contribute to the Plan for a period of six months. Dividends on the Companys stock are reinvested in the participants Company stock account unless a distribution is requested by the participant in advance of the ex-dividend date. Dividends on the Companys stock are reported on a gross basis with the dividends paid reported as Net investment income and the amounts distributed reported as Distributions to participants in the statements of changes in net assets available for benefits. On November 28, 2012, the Company declared a special cash dividend on Costco common stock of $7 per share, which was paid on December 18, 2012. Of the $158.6 million special dividend paid to plan participants, approximately $98.2 million was immediately distributed to the participants and the remaining $60.4 million was reinvested into the participants accounts.
(h)
Notes Receivable from Participants A participant may borrow up to the lesser of $50,000 or 45% of the vested account balance, calculated using the participants pre-tax contribution, rollover, Company matching ,and Company discretionary contribution amounts. Only the participants pre-tax contribution, rollover, and Company matching amounts may be borrowed against, with a minimum note of $1,000. Notes are payable through payroll deductions over a period ranging up to 180 months.
(Continued)
The interest rate is determined by the Plan Administrator based on the Bank of America prime rate on the last day of the calendar year prior to when the note was made, plus 1% for a primary residence loan and 2% for a standard loan. The rates at December 31, 2012 and 2011 ranged from 4.25% to 11.50%. The notes have various maturity dates through December 2027. (i) Plan Administrator The Plan is administered by the Benefits Committee. (j) Administrative and Investment Expenses All investment management and transaction fees are netted against Net investment income. Except for loan origination fees associated with notes receivable from participants, all administrative expenses and custodial fees of maintaining the plan are paid by the Company. (2) Summary of Significant Accounting Policies (a) Basis of Accounting The financial statements of the Plan are prepared under the accrual method of accounting. Investments are reported at fair value. Refer to note 3 below for further details of fair value measurements. (b) Use of Estimates The preparation of financial statements in conformity with U.S. generally accepted accounting principles (U.S. GAAP) requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the financial statements, and the reported amounts of income and expenses during the reporting period. Actual results could differ from those estimates and assumptions. (c) Investment Valuation and Income Recognition The Plan invests in the Companys common stock, other exchange-traded equity securities, various registered investment company, and common commingled trust funds that, in turn, invest in a combination of stocks, bonds, and other investment securities. Investment securities are exposed to various risks, such as interest rate, credit, and overall market volatility risks. Due to the level of risk associated with certain investment securities, it is possible that changes in the values of investment securities will occur in the near term and that those changes could materially affect the amounts reported in the statements of net assets available for benefits. Registered investment company funds, Company common stock, and other equity securities (held in the separately managed accounts) are stated at fair value based upon quoted market prices. The T. Rowe Price Equity Index Trust Fund is a common commingled trust fund stated at fair value and valued daily based on the quoted market prices of the underlying securities. The T. Rowe Price Stable Value Fund is a Common Commingled Trust Fund invested primarily in guaranteed investment contracts (GICs). The GICs are fully benefit-responsive and are recorded at contract value. A benefit-responsive investment contract is a contract between an insurance 8 (Continued)
company, a bank, a financial institution, or any financially responsible entity, with a plan that provides for a stated return on principal invested over a specified period and that permits withdrawals at contract value for benefit payments, loans, or transfers to other investment options offered to the participant by the plan. Participant withdrawals from the plan are required to be at contract value. The overall effective yield and crediting rate of the Stable Value Fund was 2.36% and 2.45%, respectively, for the year ended December 31, 2012, and 2.69% and 2.97%, respectively, for the year ended December 31, 2011. Contract value is equal to principal balance plus accrued interest. The fair value of the GICs is calculated by discounting the related cash flows based on current yields of similar instruments with comparable investment durations. Investment contracts held by a defined-contribution plan are required to be reported at fair value. However, contract value is a relevant measurement attribute for that portion of the net assets available for benefits of a defined-contribution plan attributable to fully benefit-responsive investment contracts. Contract value is the amount participants would receive if they were to initiate permitted transactions under the terms of the plan. The statements of net assets available for benefits presents the fair value of the investment contracts as well as the adjustment of the fully benefit-responsive investment contracts from fair value to contract value. The statements of changes in net assets available for benefits are prepared on a contract value basis. 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. Net appreciation or depreciation in fair value of investments includes the change in the fair value of assets from one period to the next, plus realized gains and losses. (d) Notes Receivable from Participants Participant loans are classified as notes receivable from participants, which are segregated from plan investments and measured at their unpaid principal balance plus any accrued but unpaid interest. (e) Distribution of Benefits Distributions of benefits are recorded when paid. (3) Fair Value Measurement Authoritative guidance defines fair values as the price that would be received to sell an asset or paid to transfer a liability (an exit price) in an orderly transaction between market participants at the measurement date. This guidance also established a fair value hierarchy that requires maximizing the use of observable inputs when measuring fair value. The three levels of inputs that may be used are: Level 1: Quoted market prices in active markets for identical assets or liabilities. Level 2: Observable market-based inputs or unobservable inputs that are corroborated by market data. Level 3: Significant unobservable inputs that are not corroborated by market data.
(Continued)
The following valuation techniques are used to measure fair value: Level 1 primarily consists of financial instruments, such as investments in registered investment company funds and Costco Common Stock, whose value is based on quoted market prices, such as quoted net asset values published by the fund as supported in an active market, exchange-traded instruments, and listed equities. Level 2 includes assets and liabilities where quoted market prices are unobservable but observable inputs other than Level 1 prices, such as quoted prices for similar assets, or other inputs that are observable or can be corroborated by observable market data for substantially the full term of the assets or liabilities. The Plans Level 2 assets include investments in common commingled trust funds. Valuation methodologies are based on consensus pricing, using market prices from a variety of industry-standard data providers or pricing that considers various assumptions, including time value, yield curve, volatility factors, credit spreads, default rates, loss severity, current market and contractual prices for the underlying instruments or debt, broker and dealer quotes, as well as other relevant economic measures. All are observable in the market or can be derived principally from or corroborated by observable market data, for which the Plan typically receives independent external valuation information. The Plan had no Level 3 assets or liabilities as of December 31, 2012 or 2011. Valuation techniques utilized during the reporting period in the fair value measurement of assets and liabilities presented on the Plans statements of net assets available for benefits were not changed from previous practice. The carrying value of the Plans other financial instruments, such as the money market fund and notes receivable, approximate fair value due to their short-term nature or variable interest rates.
10
(Continued)
Assets and Liabilities Measured at Fair Value on a Recurring Basis The tables below present information about the Plans financial assets that are measured at fair value on a recurring basis as of December 31, 2012 and 2011, and indicate the level within the fair value hierarchy of valuation techniques utilized to determine such fair value. As of these dates, the Company had no holdings of Level 3 financial assets and liabilities. There were no transfers in or out of Level 1, 2, or 3 during 2012 and 2011.
2012 Level 1 Level 2 (In thousands) Investments in registered investment company funds: Balanced funds Equity funds Fixed income funds International funds Total investments in registered investment company funds Costco Wholesale Corporation common stock Common commingled trust funds Separately managed accounts Money market fund Total investments $ $ 1,323,714 $ 840,412 333,722 127,731 2,625,579 2,289,196 251,207 3,404 5,169,386 $ 1,309,296 1,309,296
2011 Level 1 Level 2 (In thousands) Investments in registered investment company funds: Balanced funds Equity funds Fixed income funds International funds Total investments in registered investment company funds Costco Wholesale Corporation common stock Common commingled trust funds Money market fund Total investments $ $ 1,019,927 $ 978,342 295,579 104,650 2,398,498 1,639,430 984 4,038,912 $ 1,268,178 1,268,178
11
(Continued)
(4)
Investments Investments that represent 5% or more of the Plans net assets available for benefits at December 31, 2012 and 2011 are separately identified (in thousands):
Description of Investment Costco Wholesale Corporation common stock T. Rowe Price Stable Value Fund T. Rowe Price Institutional Mid-Cap Equity Growth Fund $ 2012 2,289,196 $ 1,076,105 498,669 2011 1,639,430 1,067,399 457,599
(5)
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 and the requirements of the collective bargaining agreement with the International Brotherhood of Teamsters in California. In the event of plan termination, participants would become 100% vested in their accounts.
(6)
Tax Status The Internal Revenue Service (IRS) has informed the Company that the Plan is designed in accordance with applicable sections of the Internal Revenue Code (IRC). The Plan has been amended subsequent to receiving the determination letter on May 9, 2006. The Plan Administrator believes that the Plan is designed and is being operated in compliance with the applicable requirements of 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, 2012, 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 2009.
(7)
Party-in-Interest and Related Party Transactions Certain Plan investments are shares of registered investment company and common commingled trust funds managed by T. Rowe Price. T. Rowe Price is also the trustee and record keeper as defined by the Plan. Therefore, these transactions qualify as party-in-interest transactions. The Plan also invests in the Companys common stock, and these transactions also qualify as party-in-interest transactions.
12
(Continued)
(8)
Form 5500 Reconciliation The following is a reconciliation of the net assets available for benefits per the financial statements to the Form 5500 at December 31, 2012 (in thousands):
2012 Net assets available for benefits per the financial statements Adjustments from contract value to fair value for fully benefit-responsive investment contracts Net assets available for benefits per the Form 5500 $ 7,030,844 46,262 $ 7,077,106
The following is a reconciliation of the net increase in net assets available for benefits per the financial statements to the Form 5500 at December 31, 2012 (in thousands):
2012 Net increase in net assets available for benefits per the financial statements Adjustments from contract value to fair value for fully benefit-responsive investment contracts Net increase in net assets available for benefits per the Form 5500 $ 1,232,891 46,262 $ 1,279,153
The Plans investment in fully benefit-responsive investment contracts is shown at fair value in the Form 5500, while it is presented at contract value in the net assets available for benefits statement (9) Subsequent Events The Plans management evaluated subsequent events and transactions for potential recognition or disclosure in the financial statements through June 27, 2013, the day the financial statements were available to be issued. Management is not aware of any events or transactions that occurred subsequent to the financial statement date but prior to the issuance that would require recognition or disclosure in these financial statements.
13
Schedule I COSTCO 401(k) RETIREMENT PLAN Schedule H, Line 4i Schedule of Assets (Held at End of Year) December 31, 2012 (In thousands) Identity of issuer, borrower, lessor, or similar party Registered investment company and common commingled trust funds: American Funds Davis Funds *T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price * T. Rowe Price Vanguard Dreyfus Treasury & Agency Federated Gov Obli Fund Separately managed accounts International Equity Portfolio: Aac Technologies H-Unspon Abb Ltd Adr Aflac Inc Adecco Sa-Reg-Unspon Adr Adidas Ag-Sponsored Adr Air Liquide Adr Allianz Se Adr Axa Spons Adr Basf Se Spon Adr Banco Bilbao Vizcaya Arge Banco Santander Chile Sa Bancolombia Sa Spons Adr Barclays Plc-Spons Adr Bayer Ag Bhp Billiton Ltd Adr British American Tob Adr Csl Ltd-Unspon Adr Current value
Description of investment
New Perspective Fund R5 New York Venture Fund Class Y Institutional Mid-Cap Equity Growth Fund Small-Cap Stock Fund Spectrum Income Fund Retirement Income Fund Retirement 2005 Fund Retirement 2010 Fund Retirement 2015 Fund Retirement 2020 Fund Retirement 2025 Fund Retirement 2030 Fund Retirement 2035 Fund Retirement 2040 Fund Retirement 2045 Fund Retirement 2050 Fund Retirement 2055 Fund Equity Index Trust Fund Class C Stable Value Fund (at fair value) Total Bond Market Index Fund Institutional Money Market Security Money Market Security
127,731 132,286 498,669 209,457 307,321 15,223 9,968 33,048 78,117 148,182 164,630 177,606 143,731 205,002 211,897 77,752 58,558 186,929 1,122,367 22,908 1,333 2,160
Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock 14
245 1,182 1,978 590 1,530 951 1,812 1,503 1,183 923 1,624 549 2,306 1,856 1,365 480 1,614
Schedule I COSTCO 401(k) RETIREMENT PLAN Schedule H, Line 4i Schedule of Assets (Held at End of Year) December 31, 2012 (In thousands) Identity of issuer, borrower, lessor, or similar party Canadian Natural Res Coca Cola He-Ads Companhia De Bebidas Adr Compass Group Plc Adr Dassault Systems Sa-Adr Diageo Plc Spons Adr Ecopetrol Sa-Sponsored Ad Embraer Sa-Adr Enbridge Inc Essilor Intl Adr Fanuc Corp-Unsp Adr Fresenius Medical Adr Gemalto Nv-Sponsored Adr Givaudan-Unspon Adr Grupo Televisa Sa Hsbc Holdings Plc Henkel Kgaa-Spons Adr Pfd Hennes & Mauritz Ab-Adr Honda Motor Co Ltd-Sp Adr Imperial Oil Ltd Inditex-Unspon Adr Israel Chemicals-Unspon A Jgc Corp-Unsponsored Adr Komatsu Ltd Koninkijke Ahold-Sp Adr Kubota Corp Spons Adr Lvmh Moet Hennessy Adr Luxottica Group Spa Magna Inter Class A Adr Merck Kgaa Unspon Adr Mettler-Toledo Intl Mtn Group Ltd-Spons Adr Muenchener Rueck-Unspon A Naspers Ltd-N Shs Spon Ad Nestle Sa-Spons Adr Nitto Denko Corp Novartis Ag Adr Novo-Nordisk A/S-Sp Adr Philip Morris Intl. Prudential Plc Reckitt Benckiser-Spon Ad Rio Tinto Plc Roche Hldgs Ltd Adr Current value $ 656 1,013 1,031 769 1,591 747 687 480 1,904 625 1,614 1,085 617 853 1,527 2,580 1,478 985 1,963 820 2,211 554 959 1,429 549 1,247 1,480 1,469 841 946 1,127 1,479 2,060 1,261 1,292 1,098 605 801 1,261 2,280 860 438 1,337
Description of investment Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock 15
Schedule I COSTCO 401(k) RETIREMENT PLAN Schedule H, Line 4i Schedule of Assets (Held at End of Year) December 31, 2012 (In thousands) Identity of issuer, borrower, lessor, or similar party Royal Dutch Shell Plc Adr Ryanair Hlds Plccadr Skf Ab Sabmiller Plc Adr Sandvik Ab Sap Ag-Sponsored Adr Schlumberger Limited Siemens Ag Smith & Nephew Plc Soc. Quimica Y Minera-Adr Svenska Cellulosa Ab Syngenta Ag Adr Taiwan Semiconductor Adr Technip Sa Adr Toyota Motor Corp Spn Adr Turkcell Iletisim Hizmet Turkiye Garanti Bankasi-A United Overseas Bank Adr Vodafone Group Plc. Adr Wal-Mart De Mexico Sa De Woodside Petroleum Sp Adr Zurich Insurance Group-Ad Flextronics Intl Ltd Large Cap Growth Portfolio: Alexion Pharmaceuticals Allergan Inc Amazon Com. Inc Baidu Ince Spon Adr Biogen Idec, Inc Celgene Corp Cognizant Tech Solutions Emc Corp/ Mass Eog Resources Inc Edwards Lifesciences Corp Fmc Technologies Inc Facebook Inc-A Fastenal Company Franklin Resoucres Inc Gilead Sciences Inc Google Inc Cl A Las Vegas Sands Corp Estee Lauder Co Class -A Linkedin Corp- A Current value $ 1,022 910 980 1,228 979 1,392 701 1,182 1,011 873 1,237 1,217 1,470 1,288 507 1,545 1,511 810 1,729 1,116 741 1,043 471 5,253 5,320 5,952 6,215 5,867 5,510 4,369 5,060 4,851 4,869 6,425 5,305 3,394 4,400 5,142 4,966 6,462 4,117 6,772
Description of investment Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock 16
Schedule I COSTCO 401(k) RETIREMENT PLAN Schedule H, Line 4i Schedule of Assets (Held at End of Year) December 31, 2012 (In thousands) Identity of issuer, borrower, lessor, or similar party Lululemon Athletica Inc Monsanto Company Novo-Nordisk-Nordisk A/S-Sp Adr Precision Castparts Corp Priceline.Com Inc Qualcomm Inc Salesforce Com Inc Visa Inc Class A Shares Yum Brands Inc Com Michael Kors Hlds Ltd Common stock * Costco Wholesale Corporation Total investments Notes receivable from participants * Various Participants Money market fund $ *Indicates a party-in-interest. See accompanying independent auditors report. Interest rates of 4.25% to 11.50% maturing through December 2027 Current value $ 5,652 2,572 5,060 4,324 5,280 5,954 5,934 5,543 6,640 6,736 2,289,196 6,475,278 349,150 3,404 6,827,832
Description of investment Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common Stock Common stock
17
Plan Name Plan Sponsor EIN ERISA Plan # Plan Year Ending
Costco 401K Retirement Plan 91-1223280 002 December 31, 2012
The required attachment marked with an X in the Attachment column is included within the Accountants Opinion attachment to Sch. H, Part III, Line 3, which consists of the entire audit report issued by the plans Independent Qualified Public Accountant (IQPA).
Form/Schedule 5500 Sch. H 5500 Sch. H 5500 Sch. H 5500 Sch. H 5500 Sch. H
Line # Line 3 Line 4i Line 4i Line 4j Line 4a
Description Financial statements used in formulating the IQPA's opinion Schedule of Assets (Held at End of Year) Schedule of Assets (Acquired and Disposed of Within Year) Schedule of Reportable Transactions Schedule of Delinquent Participant Contributions
Attachment X X
Plan Name Plan Sponsor EIN ERISA Plan # Plan Year Ending
Costco 401K Retirement Plan 91-1223280 002 December 31, 2012
The required attachment marked with an X in the Attachment column is included within the Accountants Opinion attachment to Sch. H, Part III, Line 3, which consists of the entire audit report issued by the plans Independent Qualified Public Accountant (IQPA).
Form/Schedule 5500 Sch. H 5500 Sch. H 5500 Sch. H 5500 Sch. H 5500 Sch. H
Line # Line 3 Line 4i Line 4i Line 4j Line 4a
Description Financial statements used in formulating the IQPA's opinion Schedule of Assets (Held at End of Year) Schedule of Assets (Acquired and Disposed of Within Year) Schedule of Reportable Transactions Schedule of Delinquent Participant Contributions
Attachment X X

Costco

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Form 5500

Annual Return/Report of Employee Benefit Plan

OMB Nos. 1210-0110 1210-0089

Annual Report Identification Information X X X X

a multiple-employer plan; or a DFE (specify)

This return/report is:

special extension (enter description) ABCDEFGHI

X the DFVC program; ABCDEFGHI ABCDEFGHI ABCDE 1b 1c 2b 2c 2d

COSTCO WHOLESALE CORPORATION

Filed with authorized/valid electronic signature.

MONICA D. SMITH ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

Filed with authorized/valid electronic signature.

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE MONICA D. SMITH

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

Form 5500 (2012) v. 120126

Form 5500 (2012)

Plan administrators name and address X Same as Plan Sponsor Name

X Same as Plan Sponsor Address

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

012 123456789012 121208

General Schedules (1) (2) (3) (4) (5) (6)

Schedule C (Form 5500) 2011

Service Provider Information

OMB No. 1210-0110

File as an attachment to Form 5500.

For calendar plan year 2012 or fiscal plan year beginning

A Name of plan COSTCO 401K RETIREMENT PLAN ABCDEFGHI

Three-digit plan number (PN)

D Employer Identification Number (EIN) 012345678 91-1223280

Service Provider Information (see instructions)

330 MADISON AVE NEW YORK, NY 10017

Schedule C (Form 5500) 2012 v.120126

Schedule C (Form 5500) 2012

Schedule C (Form 5500) 2012

2. Information on Other Service Providers Receiving Direct or Indirect Compensation.

(a) Enter name and EIN or address (see instructions)

NONE 15 21 25 28 ABCDEFGHI 37 38 49 50 ABCDEFGHI 52 57 59 62 ABCD 64 65

123456789012 1000209 345

(a) Enter name and EIN or address (see instructions)

NONE ABCDEFGHI ABCDEFGHI ABCD

123456789012 14474 345

(a) Enter name and EIN or address (see instructions)

ABCDEFGHI NONE ABCDEFGHI ABCD

Schedule C (Form 5500) 2012

2. Information on Other Service Providers Receiving Direct or Indirect Compensation.

(a) Enter name and EIN or address (see instructions)

NONE ABCDEFGHI ABCDEFGHI ABCD

(a) Enter name and EIN or address (see instructions)

ABCDEFGHI ABCDEFGHI ABCD

(a) Enter name and EIN or address (see instructions)

ABCDEFGHI ABCDEFGHI ABCD

Schedule C (Form 5500) 2012

(a) Enter service provider name as it appears on line 2

(b) Service Codes

(c) Enter amount of indirect

(d) Enter name and EIN (address) of source of indirect compensation

(a) Enter service provider name as it appears on line 2

(b) Service Codes

(c) Enter amount of indirect

(d) Enter name and EIN (address) of source of indirect compensation

AMER FUNDS NEW PERSPECTIVE R5

PO BOX 6007 INDIANAPOLIS, IN 46206

(a) Enter service provider name as it appears on line 2

(b) Service Codes