401k Plan data: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN plan

BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 401k Plan overview

Plan Name	BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN
Plan identification number	002

BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

BAXALTA INCORPORATED has sponsored the creation of one or more 401k plans.

Company Name: BAXALTA INCORPORATED

Employer identification number (EIN): 471869689

NAIC Classification: 339110

Additional information about BAXALTA INCORPORATED

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 5572011

More information about BAXALTA INCORPORATED

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 OLIVIA WAKEFIELD
002 2016-01-01 OLIVIA WAKEFIELD
002 2015-05-01 JOHN MCCOY JOANN VERDERESE 2016-08-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2017-01-01	OLIVIA WAKEFIELD
002	2016-01-01	OLIVIA WAKEFIELD
002	2015-05-01	JOHN MCCOY	JOANN VERDERESE	2016-08-15

Plan Statistics for BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN

401k plan membership statisitcs for BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN

Measure Date Value
2017: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 11,417
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 10,632
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 9,328
Number of retired or separated participants receiving benefits 2016-01-01 2
Number of other retired or separated participants entitled to future benefits 2016-01-01 2,078
Total of all active and inactive participants 2016-01-01 11,408
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 9
Total participants 2016-01-01 11,417
Number of participants with account balances 2016-01-01 11,038
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 680
2015: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-05-01 0
Total number of active participants reported on line 7a of the Form 5500 2015-05-01 9,725
Number of retired or separated participants receiving benefits 2015-05-01 0
Number of other retired or separated participants entitled to future benefits 2015-05-01 905
Total of all active and inactive participants 2015-05-01 10,630
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-05-01 2
Total participants 2015-05-01 10,632
Number of participants with account balances 2015-05-01 10,223
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-05-01 239

Measure	Date	Value
2017: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	11,417
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	10,632
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	9,328
Number of retired or separated participants receiving benefits	2016-01-01	2
Number of other retired or separated participants entitled to future benefits	2016-01-01	2,078
Total of all active and inactive participants	2016-01-01	11,408
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	9
Total participants	2016-01-01	11,417
Number of participants with account balances	2016-01-01	11,038
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	680
2015: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-05-01	0
Total number of active participants reported on line 7a of the Form 5500	2015-05-01	9,725
Number of retired or separated participants receiving benefits	2015-05-01	0
Number of other retired or separated participants entitled to future benefits	2015-05-01	905
Total of all active and inactive participants	2015-05-01	10,630
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-05-01	2
Total participants	2015-05-01	10,632
Number of participants with account balances	2015-05-01	10,223
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-05-01	239

Financial Data on BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN

Measure	Date	Value
2017 : BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$9,430,328
Total unrealized appreciation/depreciation of assets	2017-12-31	$9,430,328
Total transfer of assets from this plan	2017-12-31	$717,648,924
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$95,776
Total income from all sources (including contributions)	2017-12-31	$192,248,702
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$95,309,508
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$94,056,797
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$85,992,498
Value of total assets at end of year	2017-12-31	$0
Value of total assets at beginning of year	2017-12-31	$620,805,506
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,252,711
Total interest from all sources	2017-12-31	$4,060,187
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$617,198
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$49,581
Administrative expenses professional fees incurred	2017-12-31	$967,800
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2017-12-31	$602,935
Contributions received from participants	2017-12-31	$49,026,851
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$17,718,454
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$15,313,430
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$59,624
Other income not declared elsewhere	2017-12-31	$467,703
Liabilities. Value of operating payables at end of year	2017-12-31	$0
Liabilities. Value of operating payables at beginning of year	2017-12-31	$95,776
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$96,939,194
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$620,709,730
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$284,911
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$51,191,964
Interest on participant loans	2017-12-31	$1,434,551
Value of interest in common/collective trusts at end of year	2017-12-31	$0
Value of interest in common/collective trusts at beginning of year	2017-12-31	$459,868,948
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$2,718,823
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$2,718,823
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$2,625,636
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$26,261,367
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$310,664
Net investment gain or loss from common/collective trusts	2017-12-31	$91,370,124
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$0
Assets. Invements in employer securities at beginning of year	2017-12-31	$11,062,092
Contributions received in cash from employer	2017-12-31	$36,965,647
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$15,789,961
Income. Dividends from common stock	2017-12-31	$567,617
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$94,056,797
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2017-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-12-31	$20,820,843
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2017-12-31	350921680
2016 : BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$6,679,004
Total unrealized appreciation/depreciation of assets	2016-12-31	$6,679,004
Total transfer of assets to this plan	2016-12-31	$4,282,008
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$95,776
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$201,233
Total income from all sources (including contributions)	2016-12-31	$151,136,679
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$63,198,491
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$62,135,432
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$96,707,856
Value of total assets at end of year	2016-12-31	$620,805,506
Value of total assets at beginning of year	2016-12-31	$528,690,767
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$1,063,059
Total interest from all sources	2016-12-31	$3,443,579
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$485,885
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$205,436
Administrative expenses professional fees incurred	2016-12-31	$68,885
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$55,783,329
Participant contributions at end of year	2016-12-31	$17,718,454
Participant contributions at beginning of year	2016-12-31	$18,892,986
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$15,313,430
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$14,252,578
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$59,624
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$92,495
Other income not declared elsewhere	2016-12-31	$373,061
Liabilities. Value of operating payables at end of year	2016-12-31	$95,776
Liabilities. Value of operating payables at beginning of year	2016-12-31	$201,233
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$87,938,188
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$620,709,730
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$528,489,534
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$529,706
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$51,191,964
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$46,350,924
Interest on participant loans	2016-12-31	$1,560,776
Interest earned on other investments	2016-12-31	$1,881,547
Value of interest in common/collective trusts at end of year	2016-12-31	$459,868,948
Value of interest in common/collective trusts at beginning of year	2016-12-31	$368,929,864
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$2,718,823
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$4,133,661
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$4,133,661
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$1,256
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$26,261,367
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$22,241,898
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$-463,391
Net investment gain or loss from common/collective trusts	2016-12-31	$43,910,685
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$11,062,092
Assets. Invements in employer securities at beginning of year	2016-12-31	$18,667,503
Contributions received in cash from employer	2016-12-31	$40,924,527
Employer contributions (assets) at end of year	2016-12-31	$15,789,961
Employer contributions (assets) at beginning of year	2016-12-31	$15,206,004
Income. Dividends from common stock	2016-12-31	$280,449
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$62,135,432
Contract administrator fees	2016-12-31	$464,468
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2016-12-31	$20,820,843
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$19,922,854
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2016-12-31	350921680
2015 : BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$4,403,108
Total unrealized appreciation/depreciation of assets	2015-12-31	$4,403,108
Total transfer of assets to this plan	2015-12-31	$495,752,200
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$201,233
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$40,943,739
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$8,206,405
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$7,538,656
Expenses. Certain deemed distributions of participant loans	2015-12-31	$243,244
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$48,272,237
Value of total assets at end of year	2015-12-31	$528,690,767
Value of total assets at beginning of year	2015-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$424,505
Total interest from all sources	2015-12-31	$1,583,188
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$354,647
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$168,330
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$45,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$22,245,859
Participant contributions at end of year	2015-12-31	$18,892,986
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$14,252,578
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$92,495
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$-18,583
Administrative expenses (other) incurred	2015-12-31	$1,923
Liabilities. Value of operating payables at end of year	2015-12-31	$201,233
Liabilities. Value of operating payables at beginning of year	2015-12-31	$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	2015-12-31	No
Value of net income/loss	2015-12-31	$32,737,334
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$528,489,534
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$181,413
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$46,350,924
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$769,468
Interest earned on other investments	2015-12-31	$812,858
Value of interest in common/collective trusts at end of year	2015-12-31	$368,929,864
Value of interest in common/collective trusts at beginning of year	2015-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$4,133,661
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$862
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$22,241,898
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-508,927
Net investment gain or loss from common/collective trusts	2015-12-31	$-13,141,931
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$18,667,503
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$26,026,378
Employer contributions (assets) at end of year	2015-12-31	$15,206,004
Employer contributions (assets) at beginning of year	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$186,317
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$7,538,656
Contract administrator fees	2015-12-31	$241,169
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$19,922,854
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2015-12-31	350921680

Form 5500 Responses for BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN

2017: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: BAXALTA INCORPORATED AND SUBSIDIARIES INCENTIVE INVESTMENT PLAN 2015 form 5500 responses
2015-05-01	Type of plan entity	Single employer plan
2015-05-01	First time form 5500 has been submitted	Yes
2015-05-01	Submission has been amended	No
2015-05-01	This submission is the final filing	No
2015-05-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-05-01	Plan is a collectively bargained plan	No
2015-05-01	Plan funding arrangement – Insurance	Yes
2015-05-01	Plan funding arrangement – Trust	Yes
2015-05-01	Plan benefit arrangement – Insurance	Yes
2015-05-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )

Policy contract number

35277

Policy instance

Insurance contract or identification number	35277
Number of Individuals Covered	0
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )

Policy contract number

35277

Policy instance

Insurance contract or identification number	35277
Number of Individuals Covered	9725
Insurance policy start date	2015-05-01
Insurance policy end date	2015-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	BAXALTA INCORPORATED
Employer identification number (EIN):	471869689
NAIC Classification:	339110

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	5572011