401k Plan data: THE ROCHE RETIREMENT PLAN plan

THE ROCHE RETIREMENT PLAN 401k Plan overview

Plan Name	THE ROCHE RETIREMENT PLAN
Plan identification number	001

THE ROCHE RETIREMENT PLAN Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021). Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

HOFFMANN-LA ROCHE INC. has sponsored the creation of one or more 401k plans.

Company Name: HOFFMANN-LA ROCHE INC.

Employer identification number (EIN): 220994270

NAIC Classification: 325410

Additional information about HOFFMANN-LA ROCHE INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 1950-07-14

Company Identification Number: 0001367506

Legal Registered Office Address: 1 DNA WAY

S SAN FRAN
United States of America (USA)
94080

More information about HOFFMANN-LA ROCHE INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ROCHE RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 DAVID MCDEDE
001 2012-01-01 DAVID MCDEDE
001 2011-01-01 DAVID MCDEDE
001 2009-01-01 DAVID MCDEDE
001 2009-01-01 DAVID MCDEDE

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	DAVID MCDEDE
001	2012-01-01	DAVID MCDEDE
001	2011-01-01	DAVID MCDEDE
001	2009-01-01	DAVID MCDEDE
001	2009-01-01	DAVID MCDEDE

Plan Statistics for THE ROCHE RETIREMENT PLAN

401k plan membership statisitcs for THE ROCHE RETIREMENT PLAN

Measure Date Value
2013: THE ROCHE RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 14,171
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
2012: THE ROCHE RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 14,251
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2,382
Number of retired or separated participants receiving benefits 2012-01-01 5,341
Number of other retired or separated participants entitled to future benefits 2012-01-01 5,248
Total of all active and inactive participants 2012-01-01 12,971
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1,200
Total participants 2012-01-01 14,171
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: THE ROCHE RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 14,560
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 3,054
Number of retired or separated participants receiving benefits 2011-01-01 5,366
Number of other retired or separated participants entitled to future benefits 2011-01-01 4,752
Total of all active and inactive participants 2011-01-01 13,172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1,079
Total participants 2011-01-01 14,251
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 57
2009: THE ROCHE RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 15,151
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 4,881
Number of retired or separated participants receiving benefits 2009-01-01 5,182
Number of other retired or separated participants entitled to future benefits 2009-01-01 3,701
Total of all active and inactive participants 2009-01-01 13,764
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1,083
Total participants 2009-01-01 14,847
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 110

Measure	Date	Value
2013: THE ROCHE RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	14,171
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
2012: THE ROCHE RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	14,251
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2,382
Number of retired or separated participants receiving benefits	2012-01-01	5,341
Number of other retired or separated participants entitled to future benefits	2012-01-01	5,248
Total of all active and inactive participants	2012-01-01	12,971
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1,200
Total participants	2012-01-01	14,171
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: THE ROCHE RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	14,560
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	3,054
Number of retired or separated participants receiving benefits	2011-01-01	5,366
Number of other retired or separated participants entitled to future benefits	2011-01-01	4,752
Total of all active and inactive participants	2011-01-01	13,172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1,079
Total participants	2011-01-01	14,251
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	57
2009: THE ROCHE RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	15,151
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	4,881
Number of retired or separated participants receiving benefits	2009-01-01	5,182
Number of other retired or separated participants entitled to future benefits	2009-01-01	3,701
Total of all active and inactive participants	2009-01-01	13,764
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1,083
Total participants	2009-01-01	14,847
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	110

Financial Data on THE ROCHE RETIREMENT PLAN

Measure	Date	Value
2013 : THE ROCHE RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$6,490,023
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$-29,748,157
Total unrealized appreciation/depreciation of assets	2013-12-31	$-23,258,134
Total transfer of assets to this plan	2013-12-31	$87,000,000
Total transfer of assets from this plan	2013-12-31	$3,158,407,055
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$157,201,357
Total income from all sources (including contributions)	2013-12-31	$221,975,244
Total loss/gain on sale of assets	2013-12-31	$68,389,813
Total of all expenses incurred	2013-12-31	$11,148,110
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$0
Value of total assets at end of year	2013-12-31	$0
Value of total assets at beginning of year	2013-12-31	$3,017,781,278
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$11,148,110
Total interest from all sources	2013-12-31	$35,897,770
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$11,604,016
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$1,185,889
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$57,189,861
Administrative expenses professional fees incurred	2013-12-31	$83,115
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$7,456,421
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$10,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$185,091,565
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$75,259,120
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$154,200,272
Other income not declared elsewhere	2013-12-31	$5,103,364
Administrative expenses (other) incurred	2013-12-31	$894,023
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$3,001,085
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$1,408,273
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$210,827,134
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$2,860,579,921
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$541,656,758
Investment advisory and management fees	2013-12-31	$10,170,972
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$54,035,444
Interest earned on other investments	2013-12-31	$7,764,320
Income. Interest from US Government securities	2013-12-31	$6,280,152
Income. Interest from corporate debt instruments	2013-12-31	$21,874,647
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$1,897,122,908
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$574,311,172
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$18,648,467
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$18,648,467
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$-21,349
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$2,448,149
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$550,950,732
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,100,199
Net investment gain or loss from common/collective trusts	2013-12-31	$123,138,216
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$75,000,000
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$0
Income. Dividends from preferred stock	2013-12-31	$207,888
Income. Dividends from common stock	2013-12-31	$10,210,239
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$258,422,492
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$240,647,833
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$269,759,759
Contract administrator fees	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$441,365,873
Did the plan have assets held for investment	2013-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	Yes
Aggregate proceeds on sale of assets	2013-12-31	$2,566,451,307
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$2,498,061,494
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MCGLADREY, LLP
Accountancy firm EIN	2013-12-31	420714325
2012 : THE ROCHE RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$90,010
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$97,176
Total income from all sources (including contributions)	2012-12-31	$306,818,492
Total loss/gain on sale of assets	2012-12-31	$92
Total of all expenses incurred	2012-12-31	$103,980,648
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$102,542,869
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$93,000,000
Value of total assets at end of year	2012-12-31	$1,995,431,507
Value of total assets at beginning of year	2012-12-31	$1,792,600,829
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,437,779
Total interest from all sources	2012-12-31	$22
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$193,831
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$161
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$392
Other income not declared elsewhere	2012-12-31	$154,585
Administrative expenses (other) incurred	2012-12-31	$1,243,948
Liabilities. Value of operating payables at end of year	2012-12-31	$90,010
Liabilities. Value of operating payables at beginning of year	2012-12-31	$97,176
Total non interest bearing cash at end of year	2012-12-31	$129
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$202,837,844
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,995,341,497
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,792,503,653
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Interest earned on other investments	2012-12-31	$22
Value of interest in master investment trust accounts at end of year	2012-12-31	$1,897,122,908
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$1,725,463,248
Value of interest in common/collective trusts at end of year	2012-12-31	$2,860,160
Value of interest in common/collective trusts at beginning of year	2012-12-31	$7,613,313
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$2,448,149
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$4,312,155
Net investment gain or loss from common/collective trusts	2012-12-31	$4,132
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$93,000,000
Employer contributions (assets) at end of year	2012-12-31	$93,000,000
Employer contributions (assets) at beginning of year	2012-12-31	$55,211,721
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$102,542,869
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$92
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MCGLADREY, LLP
Accountancy firm EIN	2012-12-31	420714325
2011 : THE ROCHE RETIREMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-12-31	$7,106,025
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$78,762,246
Total unrealized appreciation/depreciation of assets	2011-12-31	$85,868,271
Total transfer of assets to this plan	2011-12-31	$91,700,000
Total transfer of assets from this plan	2011-12-31	$131,860,000
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$293,125,304
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$338,625,721
Total income from all sources (including contributions)	2011-12-31	$143,404,115
Total loss/gain on sale of assets	2011-12-31	$36,612,746
Total of all expenses incurred	2011-12-31	$9,362,588
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$97,040,268
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$84,198,648
Value of total assets at end of year	2011-12-31	$2,867,614,776
Value of total assets at beginning of year	2011-12-31	$2,819,233,666
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$9,362,588
Total interest from all sources	2011-12-31	$28,353,915
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$11,841,255
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$857,128
Assets. Real estate other than employer real property at end of year	2011-12-31	$51,924,113
Assets. Real estate other than employer real property at beginning of year	2011-12-31	$42,632,890
Administrative expenses professional fees incurred	2011-12-31	$21,000
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$3,770,270
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$7,536,132
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$25,000,000
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$87,762,099
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$60,153,813
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$242,821,729
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$230,753,770
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$290,784,547
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$337,482,322
Other income not declared elsewhere	2011-12-31	$5,053,923
Administrative expenses (other) incurred	2011-12-31	$913,527
Liabilities. Value of operating payables at end of year	2011-12-31	$2,340,757
Liabilities. Value of operating payables at beginning of year	2011-12-31	$1,143,399
Total non interest bearing cash at end of year	2011-12-31	$15,775
Total non interest bearing cash at beginning of year	2011-12-31	$262,555
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$134,041,527
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$2,574,489,472
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,480,607,945
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Assets. partnership/joint venture interests at end of year	2011-12-31	$516,332,873
Assets. partnership/joint venture interests at beginning of year	2011-12-31	$529,903,333
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$41,555,644
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$46,189,082
Interest earned on other investments	2011-12-31	$5,437,495
Income. Interest from US Government securities	2011-12-31	$5,158,707
Income. Interest from corporate debt instruments	2011-12-31	$17,769,682
Value of interest in master investment trust accounts at end of year	2011-12-31	$1,725,463,248
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$1,702,844,350
Value of interest in common/collective trusts at end of year	2011-12-31	$551,686,010
Value of interest in common/collective trusts at beginning of year	2011-12-31	$763,654,532
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$4,643,274
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$-492,350
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$-492,350
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$-11,969
Assets. Value of investments in 103.12 investment entities at end of year	2011-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2011-12-31	$2,915,266
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$4,312,155
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$4,000,871
Asset value of US Government securities at end of year	2011-12-31	$560,792,657
Asset value of US Government securities at beginning of year	2011-12-31	$406,997,641
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-5,169,261
Net investment gain or loss from common/collective trusts	2011-12-31	$-19,095,205
Net gain/loss from 103.12 investment entities	2011-12-31	$-61,529
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$1,127,560
Assets. Invements in employer securities at beginning of year	2011-12-31	$2,631,061
Contributions received in cash from employer	2011-12-31	$84,198,648
Employer contributions (assets) at end of year	2011-12-31	$55,211,721
Income. Dividends from preferred stock	2011-12-31	$163,147
Income. Dividends from common stock	2011-12-31	$10,820,980
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$97,040,268
Asset. Corporate debt instrument preferred debt at end of year	2011-12-31	$225,943,727
Asset. Corporate debt instrument preferred debt at beginning of year	2011-12-31	$102,106,090
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$206,745,327
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$97,950,097
Contract administrator fees	2011-12-31	$8,428,061
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$372,493,718
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$526,039,754
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$3,081,716,976
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$3,045,104,230
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MCGLADREY, LLP
Accountancy firm EIN	2011-12-31	420714325
2010 : THE ROCHE RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets	2010-12-31	$217,449
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$125,305,283
Total unrealized appreciation/depreciation of assets	2010-12-31	$125,522,732
Total transfer of assets from this plan	2010-12-31	$132,000,000
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$338,625,721
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$238,678,220
Total income from all sources (including contributions)	2010-12-31	$327,989,743
Total loss/gain on sale of assets	2010-12-31	$53,366,583
Total of all expenses incurred	2010-12-31	$12,956,926
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$0
Value of total assets at end of year	2010-12-31	$2,819,233,666
Value of total assets at beginning of year	2010-12-31	$2,536,253,348
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$12,956,926
Total interest from all sources	2010-12-31	$20,723,902
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$11,745,209
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$973,373
Assets. Real estate other than employer real property at end of year	2010-12-31	$42,632,890
Assets. Real estate other than employer real property at beginning of year	2010-12-31	$42,533,470
Administrative expenses professional fees incurred	2010-12-31	$109,000
Assets. Corporate prefeered stocks other than exployer securities at end of year	2010-12-31	$7,536,132
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2010-12-31	$4,987,594
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$25,000,000
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$60,153,813
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$67,831,132
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$230,753,770
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$213,781,568
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$337,482,322
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$233,693,973
Other income not declared elsewhere	2010-12-31	$5,529,057
Administrative expenses (other) incurred	2010-12-31	$456,174
Liabilities. Value of operating payables at end of year	2010-12-31	$1,143,399
Liabilities. Value of operating payables at beginning of year	2010-12-31	$4,984,247
Total non interest bearing cash at end of year	2010-12-31	$262,555
Total non interest bearing cash at beginning of year	2010-12-31	$344,955
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$315,032,817
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,480,607,945
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$2,297,575,128
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Assets. partnership/joint venture interests at end of year	2010-12-31	$529,903,333
Assets. partnership/joint venture interests at beginning of year	2010-12-31	$492,058,284
Investment advisory and management fees	2010-12-31	$12,391,752
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$46,189,082
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$38,406,521
Interest earned on other investments	2010-12-31	$5,676,038
Income. Interest from US Government securities	2010-12-31	$7,377,866
Income. Interest from corporate debt instruments	2010-12-31	$7,662,230
Value of interest in master investment trust accounts at end of year	2010-12-31	$1,702,844,350
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$1,576,436,170
Value of interest in common/collective trusts at end of year	2010-12-31	$763,654,532
Value of interest in common/collective trusts at beginning of year	2010-12-31	$709,831,823
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$-492,350
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$8,818,603
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$8,818,603
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$7,768
Assets. Value of investments in 103.12 investment entities at end of year	2010-12-31	$2,915,266
Assets. Value of investments in 103.12 investment entities at beginning of year	2010-12-31	$2,598,199
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$4,000,871
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$3,775,454
Asset value of US Government securities at end of year	2010-12-31	$406,997,641
Asset value of US Government securities at beginning of year	2010-12-31	$298,906,820
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$6,602,367
Net investment gain or loss from common/collective trusts	2010-12-31	$104,182,825
Net gain/loss from 103.12 investment entities	2010-12-31	$317,068
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$2,631,061
Income. Dividends from preferred stock	2010-12-31	$274,470
Income. Dividends from common stock	2010-12-31	$10,497,366
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$89,637,541
Asset. Corporate debt instrument preferred debt at end of year	2010-12-31	$102,106,090
Asset. Corporate debt instrument preferred debt at beginning of year	2010-12-31	$73,880,130
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$97,950,097
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$109,658,973
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$526,039,754
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$472,615,276
Did the plan have assets held for investment	2010-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$2,371,129,104
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$2,317,762,521
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MCGLADREY AND PULLEN, LLP
Accountancy firm EIN	2010-12-31	420714325

Form 5500 Responses for THE ROCHE RETIREMENT PLAN

2013: THE ROCHE RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: THE ROCHE RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE ROCHE RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: THE ROCHE RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	HOFFMANN-LA ROCHE INC.
Employer identification number (EIN):	220994270
NAIC Classification:	325410

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1950-07-14
Company Identification Number:	0001367506
Legal Registered Office Address:	1 DNA WAY S SAN FRAN United States of America (USA) 94080