401k Plan data: ROCHE U.S. RETIREMENT PLAN plan

ROCHE U.S. RETIREMENT PLAN 401k Plan overview

Plan Name	ROCHE U.S. RETIREMENT PLAN
Plan identification number	007

ROCHE U.S. RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
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 ROCHE U.S. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
007 2018-01-01
007 2017-01-01 DAVID MCDEDE
007 2016-01-01 DAVID MCDEDE
007 2015-01-01 DAVID MCDEDE
007 2014-01-01 DAVID MCDEDE
007 2013-01-01 DAVID MCDEDE
007 2012-01-01 DAVID MCDEDE
007 2011-01-01 DAVID MCDEDE

Plan Statistics for ROCHE U.S. RETIREMENT PLAN

401k plan membership statisitcs for ROCHE U.S. RETIREMENT PLAN

Measure Date Value
2018: ROCHE U.S. RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 2,712
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 1,638
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 941
Total of all active and inactive participants 2018-01-01 2,579
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 8
Total participants 2018-01-01 2,587
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: ROCHE U.S. RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 2,837
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 1,764
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 939
Total of all active and inactive participants 2017-01-01 2,703
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 9
Total participants 2017-01-01 2,712
Number of participants with account balances 2017-01-01 2,671
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: ROCHE U.S. RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 3,034
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 1,929
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 896
Total of all active and inactive participants 2016-01-01 2,825
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 12
Total participants 2016-01-01 2,837
Number of participants with account balances 2016-01-01 2,788
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: ROCHE U.S. RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 3,045
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 2,033
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 990
Total of all active and inactive participants 2015-01-01 3,023
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 11
Total participants 2015-01-01 3,034
Number of participants with account balances 2015-01-01 2,991
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 49
2014: ROCHE U.S. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 3,361
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 2,218
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 817
Total of all active and inactive participants 2014-01-01 3,035
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 10
Total participants 2014-01-01 3,045
Number of participants with account balances 2014-01-01 3,008
2013: ROCHE U.S. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 4,001
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2,456
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 898
Total of all active and inactive participants 2013-01-01 3,354
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 7
Total participants 2013-01-01 3,361
Number of participants with account balances 2013-01-01 3,361
2012: ROCHE U.S. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4,774
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2,886
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 1,108
Total of all active and inactive participants 2012-01-01 3,994
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 7
Total participants 2012-01-01 4,001
Number of participants with account balances 2012-01-01 3,986
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 303

Measure	Date	Value
2018: ROCHE U.S. RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	2,712
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	1,638
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	941
Total of all active and inactive participants	2018-01-01	2,579
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	8
Total participants	2018-01-01	2,587
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: ROCHE U.S. RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	2,837
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	1,764
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	939
Total of all active and inactive participants	2017-01-01	2,703
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	9
Total participants	2017-01-01	2,712
Number of participants with account balances	2017-01-01	2,671
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: ROCHE U.S. RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	3,034
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	1,929
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	896
Total of all active and inactive participants	2016-01-01	2,825
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	12
Total participants	2016-01-01	2,837
Number of participants with account balances	2016-01-01	2,788
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: ROCHE U.S. RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	3,045
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	2,033
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	990
Total of all active and inactive participants	2015-01-01	3,023
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	11
Total participants	2015-01-01	3,034
Number of participants with account balances	2015-01-01	2,991
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	49
2014: ROCHE U.S. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	3,361
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	2,218
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	817
Total of all active and inactive participants	2014-01-01	3,035
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	10
Total participants	2014-01-01	3,045
Number of participants with account balances	2014-01-01	3,008
2013: ROCHE U.S. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	4,001
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2,456
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	898
Total of all active and inactive participants	2013-01-01	3,354
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	7
Total participants	2013-01-01	3,361
Number of participants with account balances	2013-01-01	3,361
2012: ROCHE U.S. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4,774
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2,886
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	1,108
Total of all active and inactive participants	2012-01-01	3,994
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	7
Total participants	2012-01-01	4,001
Number of participants with account balances	2012-01-01	3,986
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	303

Financial Data on ROCHE U.S. RETIREMENT PLAN

Measure	Date	Value
2018 : ROCHE U.S. RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$16,413
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$3,826
Total income from all sources (including contributions)	2018-12-31	$1,993,364
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$10,778,228
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$10,633,127
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$14,965,061
Value of total assets at end of year	2018-12-31	$205,604,494
Value of total assets at beginning of year	2018-12-31	$214,376,771
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$145,101
Total interest from all sources	2018-12-31	$117,202
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Administrative expenses (other) incurred	2018-12-31	$145,101
Liabilities. Value of operating payables at end of year	2018-12-31	$16,413
Liabilities. Value of operating payables at beginning of year	2018-12-31	$3,826
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-8,784,864
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$205,588,081
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$214,372,945
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Interest earned on other investments	2018-12-31	$117,202
Value of interest in master investment trust accounts at end of year	2018-12-31	$190,639,433
Value of interest in master investment trust accounts at beginning of year	2018-12-31	$199,244,018
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$14,965,061
Employer contributions (assets) at end of year	2018-12-31	$14,965,061
Employer contributions (assets) at beginning of year	2018-12-31	$15,132,753
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$10,633,127
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	RSM US LLP
Accountancy firm EIN	2018-12-31	420714325
2017 : ROCHE U.S. RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$3,826
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$8,168
Total income from all sources (including contributions)	2017-12-31	$42,984,779
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$10,230,404
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$10,092,303
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$15,132,753
Value of total assets at end of year	2017-12-31	$214,376,771
Value of total assets at beginning of year	2017-12-31	$181,626,738
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$138,101
Total interest from all sources	2017-12-31	$92,856
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
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	No
Administrative expenses (other) incurred	2017-12-31	$138,101
Liabilities. Value of operating payables at end of year	2017-12-31	$3,826
Liabilities. Value of operating payables at beginning of year	2017-12-31	$8,168
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	$32,754,375
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$214,372,945
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$181,618,570
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
Interest earned on other investments	2017-12-31	$92,856
Value of interest in master investment trust accounts at end of year	2017-12-31	$199,244,018
Value of interest in master investment trust accounts at beginning of year	2017-12-31	$166,471,767
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	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$15,132,753
Employer contributions (assets) at end of year	2017-12-31	$15,132,753
Employer contributions (assets) at beginning of year	2017-12-31	$15,154,971
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$10,092,303
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	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	RSM US LLP
Accountancy firm EIN	2017-12-31	420714325
2016 : ROCHE U.S. RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$8,168
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$4,190
Total income from all sources (including contributions)	2016-12-31	$26,959,488
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$7,665,412
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$7,504,978
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$15,154,971
Value of total assets at end of year	2016-12-31	$181,626,738
Value of total assets at beginning of year	2016-12-31	$162,328,684
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$160,434
Total interest from all sources	2016-12-31	$95,163
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$10,000,000
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
Administrative expenses (other) incurred	2016-12-31	$160,434
Liabilities. Value of operating payables at end of year	2016-12-31	$8,168
Liabilities. Value of operating payables at beginning of year	2016-12-31	$4,190
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	$19,294,076
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$181,618,570
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$162,324,494
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
Interest earned on other investments	2016-12-31	$95,163
Value of interest in master investment trust accounts at end of year	2016-12-31	$166,471,767
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$144,897,168
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
Contributions received in cash from employer	2016-12-31	$15,154,971
Employer contributions (assets) at end of year	2016-12-31	$15,154,971
Employer contributions (assets) at beginning of year	2016-12-31	$17,431,516
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$7,504,978
Did the plan have assets held for investment	2016-12-31	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	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	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	RSM US LLP
Accountancy firm EIN	2016-12-31	420714325
2015 : ROCHE U.S. RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$4,190
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$19,921
Total income from all sources (including contributions)	2015-12-31	$12,655,004
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$8,802,540
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$8,630,416
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$17,431,516
Value of total assets at end of year	2015-12-31	$162,328,684
Value of total assets at beginning of year	2015-12-31	$158,491,951
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$172,124
Total interest from all sources	2015-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
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
Administrative expenses (other) incurred	2015-12-31	$172,124
Liabilities. Value of operating payables at end of year	2015-12-31	$4,190
Liabilities. Value of operating payables at beginning of year	2015-12-31	$19,921
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	$3,852,464
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$162,324,494
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$158,472,030
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
Value of interest in master investment trust accounts at end of year	2015-12-31	$144,897,168
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$141,915,543
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
Contributions received in cash from employer	2015-12-31	$17,431,516
Employer contributions (assets) at end of year	2015-12-31	$17,431,516
Employer contributions (assets) at beginning of year	2015-12-31	$16,576,408
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$8,630,416
Did the plan have assets held for investment	2015-12-31	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	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	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	RSM US LLP
Accountancy firm EIN	2015-12-31	420714325
2014 : ROCHE U.S. RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$19,921
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$3,971
Total income from all sources (including contributions)	2014-12-31	$22,690,296
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$9,918,041
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$9,675,021
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$16,576,408
Value of total assets at end of year	2014-12-31	$158,491,951
Value of total assets at beginning of year	2014-12-31	$145,703,746
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$243,020
Total interest from all sources	2014-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Administrative expenses (other) incurred	2014-12-31	$243,020
Liabilities. Value of operating payables at end of year	2014-12-31	$19,921
Liabilities. Value of operating payables at beginning of year	2014-12-31	$3,971
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$12,772,255
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$158,472,030
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$145,699,775
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in master investment trust accounts at end of year	2014-12-31	$141,915,543
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$128,252,289
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$16,576,408
Employer contributions (assets) at end of year	2014-12-31	$16,576,408
Employer contributions (assets) at beginning of year	2014-12-31	$17,451,457
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$9,675,021
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MCGLADREY, LLP
Accountancy firm EIN	2014-12-31	420714325
2013 : ROCHE U.S. RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$3,971
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$34,163,200
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$8,325,384
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$7,759,438
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$17,451,457
Value of total assets at end of year	2013-12-31	$145,703,746
Value of total assets at beginning of year	2013-12-31	$119,861,959
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$565,946
Total interest from all sources	2013-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
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
Administrative expenses (other) incurred	2013-12-31	$565,946
Liabilities. Value of operating payables at end of year	2013-12-31	$3,971
Liabilities. Value of operating payables at beginning of year	2013-12-31	$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	2013-12-31	No
Value of net income/loss	2013-12-31	$25,837,816
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$145,699,775
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$119,861,959
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
Value of interest in master investment trust accounts at end of year	2013-12-31	$128,252,289
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$99,236,919
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
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
Contributions received in cash from employer	2013-12-31	$17,451,457
Employer contributions (assets) at end of year	2013-12-31	$17,451,457
Employer contributions (assets) at beginning of year	2013-12-31	$20,625,040
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$7,759,438
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	No
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 : ROCHE U.S. 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	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$31,813,416
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$5,038,014
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$4,981,993
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$20,625,040
Value of total assets at end of year	2012-12-31	$119,861,959
Value of total assets at beginning of year	2012-12-31	$93,086,557
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$56,021
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
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
Administrative expenses (other) incurred	2012-12-31	$56,021
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	$26,775,402
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$119,861,959
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$93,086,557
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
Value of interest in master investment trust accounts at end of year	2012-12-31	$99,236,919
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$70,414,718
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	$20,625,040
Employer contributions (assets) at end of year	2012-12-31	$20,625,040
Employer contributions (assets) at beginning of year	2012-12-31	$22,671,839
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$4,981,993
Did the plan have assets held for investment	2012-12-31	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	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
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 : ROCHE U.S. RETIREMENT PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$20,212,399
Total of all expenses incurred	2011-12-31	$2,195,538
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,118,377
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$22,671,839
Value of total assets at end of year	2011-12-31	$93,086,557
Value of total assets at beginning of year	2011-12-31	$75,069,696
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$77,161
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Value of net income/loss	2011-12-31	$18,016,861
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$93,086,557
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$75,069,696
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
Investment advisory and management fees	2011-12-31	$77,161
Value of interest in master investment trust accounts at end of year	2011-12-31	$70,414,718
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$49,718,071
Net investment gain/loss from pooled separate accounts	2011-12-31	$-2,459,440
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$22,671,839
Employer contributions (assets) at end of year	2011-12-31	$22,671,839
Employer contributions (assets) at beginning of year	2011-12-31	$25,351,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,118,377
Did the plan have assets held for investment	2011-12-31	Yes
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 : ROCHE U.S. RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$31,369,939
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,242,810
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,105,864
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$25,353,979
Value of total assets at end of year	2010-12-31	$75,069,696
Value of total assets at beginning of year	2010-12-31	$44,942,567
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$136,946
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Administrative expenses (other) incurred	2010-12-31	$136,946
Value of net income/loss	2010-12-31	$30,127,129
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$75,069,696
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$44,942,567
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
Value of interest in master investment trust accounts at end of year	2010-12-31	$49,718,071
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$22,673,776
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$25,353,979
Employer contributions (assets) at end of year	2010-12-31	$25,351,625
Employer contributions (assets) at beginning of year	2010-12-31	$22,268,791
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,105,864
Did the plan have assets held for investment	2010-12-31	No
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 ROCHE U.S. RETIREMENT PLAN

2018: ROCHE U.S. RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: ROCHE U.S. RETIREMENT 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	No
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 – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ROCHE U.S. RETIREMENT 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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ROCHE U.S. RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ROCHE U.S. RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ROCHE U.S. RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ROCHE U.S. 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ROCHE U.S. RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	DFE (Diect Filing Entity)
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

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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

Plan id#	Filing Submission Date	Name of Administrator
007	2018-01-01
007	2017-01-01	DAVID MCDEDE
007	2016-01-01	DAVID MCDEDE
007	2015-01-01	DAVID MCDEDE
007	2014-01-01	DAVID MCDEDE
007	2013-01-01	DAVID MCDEDE
007	2012-01-01	DAVID MCDEDE
007	2011-01-01	DAVID MCDEDE