401k Plan data: BAKER BROTHERS 401(K) & SAVINGS PLAN plan

BAKER BROTHERS 401(K) & SAVINGS PLAN 401k Plan overview

Plan Name	BAKER BROTHERS 401(K) & SAVINGS PLAN
Plan identification number	001

BAKER BROTHERS 401(K) & SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.

401k Sponsoring company profile

BAKER BROS. ADVISORS, LP has sponsored the creation of one or more 401k plans.

Company Name: BAKER BROS. ADVISORS, LP

Employer identification number (EIN): 134093645

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BAKER BROTHERS 401(K) & SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 LEO KIRBY 2016-05-10 LEO KIRBY 2016-05-10
001 2015-01-01 LEO KIRBY 2016-05-16 LEO KIRBY 2016-05-16
001 2014-01-01 LEO KIRBY LEO KIRBY 2015-06-17
001 2013-01-01 LEO KIRBY LEO KIRBY 2014-06-16
001 2012-01-01 LEO KIRBY LEO KIRBY 2013-07-23
001 2011-01-01 LEO KIRBY LEO KIRBY 2012-07-17
001 2009-01-01 LEO KIRBY LEO KIRBY 2010-07-13

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	LEO KIRBY	2016-05-10	LEO KIRBY	2016-05-10
001	2015-01-01	LEO KIRBY	2016-05-16	LEO KIRBY	2016-05-16
001	2014-01-01	LEO KIRBY		LEO KIRBY	2015-06-17
001	2013-01-01	LEO KIRBY		LEO KIRBY	2014-06-16
001	2012-01-01	LEO KIRBY		LEO KIRBY	2013-07-23
001	2011-01-01	LEO KIRBY		LEO KIRBY	2012-07-17
001	2009-01-01	LEO KIRBY		LEO KIRBY	2010-07-13

Plan Statistics for BAKER BROTHERS 401(K) & SAVINGS PLAN

401k plan membership statisitcs for BAKER BROTHERS 401(K) & SAVINGS PLAN

Measure Date Value
2014: BAKER BROTHERS 401(K) & SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 33
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 4
Total of all active and inactive participants 2014-01-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 37
Number of participants with account balances 2014-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: BAKER BROTHERS 401(K) & SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 30
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 4
Total of all active and inactive participants 2013-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 34
Number of participants with account balances 2013-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: BAKER BROTHERS 401(K) & SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 26
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 2
Total of all active and inactive participants 2012-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 28
Number of participants with account balances 2012-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: BAKER BROTHERS 401(K) & SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 22
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 25
Number of participants with account balances 2011-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: BAKER BROTHERS 401(K) & SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 20
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 21
Number of participants with account balances 2009-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: BAKER BROTHERS 401(K) & SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	33
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	4
Total of all active and inactive participants	2014-01-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	37
Number of participants with account balances	2014-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: BAKER BROTHERS 401(K) & SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	30
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	4
Total of all active and inactive participants	2013-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	34
Number of participants with account balances	2013-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: BAKER BROTHERS 401(K) & SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	26
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	2
Total of all active and inactive participants	2012-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	28
Number of participants with account balances	2012-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: BAKER BROTHERS 401(K) & SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	22
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	25
Number of participants with account balances	2011-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: BAKER BROTHERS 401(K) & SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	20
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	21
Number of participants with account balances	2009-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on BAKER BROTHERS 401(K) & SAVINGS PLAN

Measure	Date	Value
2014 : BAKER BROTHERS 401(K) & SAVINGS PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$932,056
Expenses. Total of all expenses incurred	2014-12-31	$5,033
Benefits paid (including direct rollovers)	2014-12-31	$4,933
Total plan assets at end of year	2014-12-31	$5,263,953
Total plan assets at beginning of year	2014-12-31	$4,336,930
Value of fidelity bond covering the plan	2014-12-31	$470,000
Total contributions received or receivable from participants	2014-12-31	$371,548
Other income received	2014-12-31	$343,599
Net income (gross income less expenses)	2014-12-31	$927,023
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$5,263,953
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$4,336,930
Assets. Value of participant loans	2014-12-31	$67,450
Total contributions received or receivable from employer(s)	2014-12-31	$216,909
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$100
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : BAKER BROTHERS 401(K) & SAVINGS PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$1,350,450
Expenses. Total of all expenses incurred	2013-12-31	$61,243
Benefits paid (including direct rollovers)	2013-12-31	$61,193
Total plan assets at end of year	2013-12-31	$4,336,930
Total plan assets at beginning of year	2013-12-31	$3,047,723
Value of fidelity bond covering the plan	2013-12-31	$470,000
Total contributions received or receivable from participants	2013-12-31	$379,623
Expenses. Other expenses not covered elsewhere	2013-12-31	$50
Contributions received from other sources (not participants or employers)	2013-12-31	$91,731
Other income received	2013-12-31	$657,735
Net income (gross income less expenses)	2013-12-31	$1,289,207
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$4,336,930
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,047,723
Assets. Value of participant loans	2013-12-31	$23,659
Total contributions received or receivable from employer(s)	2013-12-31	$221,361
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : BAKER BROTHERS 401(K) & SAVINGS PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$677,521
Expenses. Total of all expenses incurred	2012-12-31	$151,040
Benefits paid (including direct rollovers)	2012-12-31	$150,990
Total plan assets at end of year	2012-12-31	$3,047,723
Total plan assets at beginning of year	2012-12-31	$2,521,242
Value of fidelity bond covering the plan	2012-12-31	$200,000
Total contributions received or receivable from participants	2012-12-31	$286,141
Other income received	2012-12-31	$216,762
Net income (gross income less expenses)	2012-12-31	$526,481
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,047,723
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,521,242
Assets. Value of participant loans	2012-12-31	$64,607
Total contributions received or receivable from employer(s)	2012-12-31	$174,618
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$50
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : BAKER BROTHERS 401(K) & SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$440,655
Expenses. Total of all expenses incurred	2011-12-31	$45,150
Total plan assets at end of year	2011-12-31	$2,521,242
Total plan assets at beginning of year	2011-12-31	$2,125,737
Value of fidelity bond covering the plan	2011-12-31	$40,000
Total contributions received or receivable from participants	2011-12-31	$224,990
Expenses. Other expenses not covered elsewhere	2011-12-31	$45,000
Other income received	2011-12-31	$85,778
Net income (gross income less expenses)	2011-12-31	$395,505
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,521,242
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,125,737
Assets. Value of participant loans	2011-12-31	$83,447
Total contributions received or receivable from employer(s)	2011-12-31	$129,887
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$150
2010 : BAKER BROTHERS 401(K) & SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$504,032
Expenses. Total of all expenses incurred	2010-12-31	$21,471
Benefits paid (including direct rollovers)	2010-12-31	$14,304
Total plan assets at end of year	2010-12-31	$2,125,737
Total plan assets at beginning of year	2010-12-31	$1,643,176
Value of fidelity bond covering the plan	2010-12-31	$40,000
Total contributions received or receivable from participants	2010-12-31	$191,903
Expenses. Other expenses not covered elsewhere	2010-12-31	$200
Other income received	2010-12-31	$193,625
Net income (gross income less expenses)	2010-12-31	$482,561
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,125,737
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,643,176
Assets. Value of participant loans	2010-12-31	$56,164
Total contributions received or receivable from employer(s)	2010-12-31	$118,504
Value of certain deemed distributions of participant loans	2010-12-31	$6,967
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for BAKER BROTHERS 401(K) & SAVINGS PLAN

2014: BAKER BROTHERS 401(K) & SAVINGS 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: BAKER BROTHERS 401(K) & SAVINGS 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: BAKER BROTHERS 401(K) & SAVINGS 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: BAKER BROTHERS 401(K) & SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: BAKER BROTHERS 401(K) & SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BAKER BROS. ADVISORS, LP
Employer identification number (EIN):	134093645
NAIC Classification:	523900