Retirement plan

ROCHE U.S. RETIREMENT PLAN

Name: HOFFMANN-LA ROCHE INC. - ROCHE U.S. RETIREMENT PLAN (2020) Form 5500
Creator: HOFFMANN-LA ROCHE INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, ROCHE U.S. RETIREMENT PLAN, HOFFMANN-LA ROCHE INC.

HOFFMANN-LA ROCHE INC.EIN 22-0994270Plan #004PY 2020

150 CLOVE ROAD - LITTLE FALLS, NJ 07424650-225-1000

Other plans on this EIN

2 filings

#011Retirement-$4.14B assets #005Retirement-$4.4M assets

Prospect flagsNo flags tripped

Top hat statement on fileNQDC

Filed April 7, 1994 (most recent of 2 filings on file)

This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.

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Total assets (EOY)

$283.8M

-12.5% from 2020

Total participants

2,356

+3.8% from 2020

Average account balance

$122,580

-15.7% from 2020

Annual return

13.37%

+5.87 pp from 2020

Benchmarks

See 388 peers

Peer group

Industry32 - Manufacturing

Plan typeDefined contribution

Participants1,000-4,999

Cohort388 peers

Snapshot2020

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

Not enough data

0 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

Not enough data

0 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

Not enough data

0 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

Not enough data

0 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

Not enough data

0 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

-94.90%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

0 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Top 5 by compensation

Provider	Service type	Compensation
RSM US LLP2+ years Service code 10 · EIN 42-0714325	Accounting	$31,828
FIDELITY INVESTMENTS INSTITUTIONAL2+ years Filed as: FIDELITY INVEST. INSTITUTIONAL OPS. Service code 64 · EIN 04-2647786	Recordkeeping Fees	$30,206
CALLAN ASSOCIATES2+ years Filed as: CALLAN ASSOCIATES INC. Service code 16 · EIN 94-2192581	Consulting	$9,368
MERCER2+ years Service code 16 · EIN 36-2336943	Consulting	$5,440
RUSSELL TRUST COMPANY2+ years Filed as: RUSSELL INVESTMENTS Service code 16 · EIN 91-1934665	Consulting	$3,867

Plan features & details

Pension benefit codes2G2J2K3H2E

Plan features

2E
Profit-sharing
Profit-sharing plan.
2G
Total participant-directed account plan
Participants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J
Code section 401(k) feature
Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
2K
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 contributions to the plan. Not applicable to 401(k) plans with only QNECs and/or QMACs or to 403(b)(1) 403(b)(7) or 408 arrangements.
3H
Controlled group member
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b) (c) or (m)).

Opportunity flags

0 tripped

No flags tripped for this filing year. This plan looks clean.

Expense breakdown

Schedule H Part II

Admin total

$81K

$56 / participant

Investment mgmt$13K16.2%
Contract admin$30K37.5%
Other / not subdivided$37K46.3%

% of EOY assets

0.028%

all-in expense ratio

Categories reported

2 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.

Auditor firm: RSM US LLP
Auditor EIN: 420714325
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$122,580

$105,190+16.5%

$98,920+23.9%

$90,274+35.8%

Participation rate

97.1%

86.4%+10.8pp

76.0%+21.1pp

73.4%+23.8pp

Annual return

13.37%

18.52%-5.1pp

196.47%-183.1pp

53.97%-40.6pp

Employer contribution / active EE

$11,136

$3,831+190.7%

$2,689+314.1%

$2,523+341.3%

Participant deferral / active EE

$5,616-100.0%

$4,245-100.0%

$4,231-100.0%

Admin fee / account holder

$35

$97-64.3%

$6,643-99.5%

$114-69.5%

Provider

Service type

Compensation

RSM US LLP2+ years

Service code 10 · EIN 42-0714325

Accounting

$31,828

FIDELITY INVESTMENTS INSTITUTIONAL2+ years

Filed as: FIDELITY INVEST. INSTITUTIONAL OPS.

Service code 64 · EIN 04-2647786

Recordkeeping Fees

$30,206

CALLAN ASSOCIATES2+ years

Filed as: CALLAN ASSOCIATES INC.

Service code 16 · EIN 94-2192581

Consulting

$9,368

MERCER2+ years

Service code 16 · EIN 36-2336943

Consulting

$5,440

RUSSELL TRUST COMPANY2+ years

Filed as: RUSSELL INVESTMENTS

Service code 16 · EIN 91-1934665

Consulting

$3,867

ROCHE U.S. RETIREMENT PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ROCHE U.S. RETIREMENT PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion