401k Plan data: PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN plan

PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN
Plan identification number	001

PHARMACYCLICS LLC RETIREMENT SAVINGS 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

PHARMACYCLICS LLC has sponsored the creation of one or more 401k plans.

Company Name: PHARMACYCLICS LLC

Employer identification number (EIN): 473416580

NAIC Classification: 325410

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01
001 2015-01-01 MIKE THOMAS MIKE THOMAS 2016-10-17

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01
001	2015-01-01	MIKE THOMAS		MIKE THOMAS	2016-10-17

Plan Statistics for PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN

Measure Date Value
2016: PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 783
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
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 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 665
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 718
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 86
Total of all active and inactive participants 2015-01-01 804
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 805
Number of participants with account balances 2015-01-01 696
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 39

Measure	Date	Value
2016: PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	783
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
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	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	665
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	718
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	86
Total of all active and inactive participants	2015-01-01	804
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	805
Number of participants with account balances	2015-01-01	696
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	39

Financial Data on PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN

Measure	Date	Value
2016 : PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-10-04	$0
Total transfer of assets from this plan	2016-10-04	$54,931,851
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-04	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-04	$0
Total income from all sources (including contributions)	2016-10-04	$19,563,514
Total loss/gain on sale of assets	2016-10-04	$8,041
Total of all expenses incurred	2016-10-04	$3,848,999
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-10-04	$3,839,040
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-10-04	$16,549,271
Value of total assets at end of year	2016-10-04	$0
Value of total assets at beginning of year	2016-10-04	$39,217,336
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-10-04	$9,959
Total income from rents	2016-10-04	$0
Total interest from all sources	2016-10-04	$5,748
Total dividends received (eg from common stock, registered investment company shares)	2016-10-04	$419,458
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-10-04	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-10-04	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-10-04	$419,458
Was this plan covered by a fidelity bond	2016-10-04	Yes
Value of fidelity bond cover	2016-10-04	$1,000,000
If this is an individual account plan, was there a blackout period	2016-10-04	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-10-04	$0
Were there any nonexempt tranactions with any party-in-interest	2016-10-04	No
Contributions received from participants	2016-10-04	$8,689,060
Participant contributions at end of year	2016-10-04	$0
Participant contributions at beginning of year	2016-10-04	$123,162
Income. Received or receivable in cash from other sources (including rollovers)	2016-10-04	$2,113,744
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-10-04	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-10-04	$1,134
Administrative expenses (other) incurred	2016-10-04	$9,959
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-10-04	No
Value of net income/loss	2016-10-04	$15,714,515
Value of net assets at end of year (total assets less liabilities)	2016-10-04	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-10-04	$39,217,336
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-10-04	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-10-04	No
Were any leases to which the plan was party in default or uncollectible	2016-10-04	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-10-04	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-10-04	$13,805,448
Value of interest in pooled separate accounts at end of year	2016-10-04	$0
Value of interest in pooled separate accounts at beginning of year	2016-10-04	$25,059,633
Interest on participant loans	2016-10-04	$4,820
Interest earned on other investments	2016-10-04	$928
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-10-04	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-10-04	$227,959
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-10-04	$625,019
Net investment gain/loss from pooled separate accounts	2016-10-04	$1,955,977
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-10-04	No
Was there a failure to transmit to the plan any participant contributions	2016-10-04	No
Has the plan failed to provide any benefit when due under the plan	2016-10-04	No
Contributions received in cash from employer	2016-10-04	$5,746,467
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-10-04	$3,839,040
Did the plan have assets held for investment	2016-10-04	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	2016-10-04	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-10-04	Yes
Aggregate proceeds on sale of assets	2016-10-04	$272,951
Aggregate carrying amount (costs) on sale of assets	2016-10-04	$264,910
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-10-04	Yes
Opinion of an independent qualified public accountant for this plan	2016-10-04	Disclaimer
Accountancy firm name	2016-10-04	GRANT THORNTON LLP
Accountancy firm EIN	2016-10-04	366055558
2015 : PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$3,510
Total unrealized appreciation/depreciation of assets	2015-12-31	$3,510
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
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	$15,080,065
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,362,730
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,358,242
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$15,373,383
Value of total assets at end of year	2015-12-31	$39,217,336
Value of total assets at beginning of year	2015-12-31	$26,500,001
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$4,488
Total interest from all sources	2015-12-31	$4,139
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,134,957
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	$1,134,957
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
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
Contributions received from participants	2015-12-31	$10,744,021
Participant contributions at end of year	2015-12-31	$123,162
Participant contributions at beginning of year	2015-12-31	$62,520
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,246,118
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$1,134
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$4,488
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	$12,717,335
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$39,217,336
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$26,500,001
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 registered invesment companies (eg mutual funds) at end of year	2015-12-31	$13,805,448
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$10,187,399
Value of interest in pooled separate accounts at end of year	2015-12-31	$25,059,633
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$16,093,826
Interest on participant loans	2015-12-31	$4,139
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$227,959
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$156,256
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,029,822
Net investment gain/loss from pooled separate accounts	2015-12-31	$-406,102
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	$3,383,244
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,358,242
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
Aggregate proceeds on sale of assets	2015-12-31	$63,897
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$63,897
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	GRANT THORNTON LLP
Accountancy firm EIN	2015-12-31	366055558

Form 5500 Responses for PHARMACYCLICS LLC RETIREMENT SAVINGS PLAN

2016: PHARMACYCLICS LLC RETIREMENT SAVINGS 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	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: PHARMACYCLICS LLC RETIREMENT SAVINGS 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	PHARMACYCLICS LLC
Employer identification number (EIN):	473416580
NAIC Classification:	325410