8) Is all of the information listed above correct? Yes No

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1 Plan & Employer Information page: The following sections may be pre-populated for you on the website. If anything listed in items 1-7 are incorrect on the website, you will have the opportunity to supply us with updated information in question # 8. 1) Business Name: 2) Business Address (mailing address): 3) Phone: 4) Fax: 5) IRS Employer Identification Number (EIN for your business): 6) IRS Trust Identification Number (EIN for your Retirement Plan): 7) Plan Year End: 8) Is all of the information listed above correct? Yes No - If you answered No, please indicate what field is incorrect (Business Name, Business Address, Phone, Fax, EIN, TIN, Plan Year End), supply correct information and the effective date of the change. Incorrect Field Correct Information Effective Date of Change 9) Do you have an alternate address? Yes No - If you answered Yes, please supply your alternate address and indicate what type of address it is: Street Address City State Zip Code Type of Address 1

2 10) What is the business code used on your business tax return? (Note: If you don t know this information, you can look the code up at 11) What is your Business Entity Type? (Corporation, Partnership, etc.) 12) Has your Business Entity type for tax filing purposes changed from last year? Yes No 13) Is your company fiscal year the same as your plan year? Yes No - If you answered No, what is your company s fiscal/tax year start and end date? Start Date: End Date: 14) Has your fiscal year changed from last year? Yes No * The following section is for plans that have a Business Entity type of LLC or LLP only: Have you elected to be taxed as a corporation? Yes No ** The following section is for plans that have an Employer Entity type of Sole Proprietorship only: You will be asked to upload a copy of your Schedule C and Schedule SE (if available), by browsing for the files, and uploading them to the webpage. *** The following section is for plans that have a Business Entity type of Subchapter S Corp. only: Have you elected to be taxed as a partnership? Yes No **** The following section is for plans that have a Business Entity type of Partnership only: Please provide a listing of each partner/member and their respective plan cost allocation. Also, you will be asked to upload each partner's K-1 (if available) by browsing for the file, and uploading it to the webpage. Partner/Member Name Partner Plan Cost Allocation 2

3 Testing Questions page: 1) Do you anticipate requesting an extension of the filing deadline for your business tax return, this year? Yes No - If you answered Yes, please provide Spectrum with a copy of the extension, when and if it s filed. 2) Owners' employed family members can have a critical impact on plan compliance testing. Do you employ any relative of an owner who is a parent, child, grandchild, spouse or exspouse? Yes No - If you answered Yes, for each employee who is a member of a family group, please list the employee's name, the employee's relationship to the owner (parent, child, grandchild, spouse or ex-spouse), and the name of the owner the employee is related to below: Employee Name Relationship to Owner Name of Owner 3) Did you maintain any other benefit plan(s) during this plan year? Yes No - If you answered Yes, please provide the Plan name and type of plan (Section 125 / Cafeteria Plan, Non-Qualified Deferred Compensation Plan, Other Qualified Retirement Plans Not Managed by Spectrum, Cash Bonus / Cash Profit Sharing): Name of Plan Type of Plan 4) Payrolls and Payroll Frequencies - Please provide information about your payroll schedule(s) below. Payroll frequencies include Weekly, Bi-Weekly, Semi-Monthly, Monthly, Quarterly, Annually, Other. Note: If you have only one payroll or payroll group, please enter "All Employees" for the Employee Classification. Employee Classification Payroll Frequency Final plan year end payroll date Final plan year payroll check issue date Payroll Provider 3

4 5) Did you make (or will you be making) a Discretionary contribution for this plan year? (Discretionary contributions are employer contributions that are unrelated to employee contributions. They are made at the employer s discretion.) Yes No Not Yet Decided - If you answered Yes, please let us know what contribution will be made by listing the type of contribution (Match or Profit Sharing), the Calculation Type (To Be Determined, Minimum Required Amount, Maximum to All Employees, Optimum % or Amount to Maximize Principals, Same % of Eligible Comp/Dollar Amount as Prior Plan Year, Fixed %, Fixed Dollar Amount), and the contribution %, dollar amount or N/A: Type of Contribution Calculation Type %, $ Amount, or N/A 6) We receive investment data in a number of different ways including electronic transmission, fax, and postal mail directly from asset managers and custodians. We also receive some investment data directly from our clients. Have you provided Spectrum with brokerage account statements or other documentation of value of any illiquid investments such as limited partnerships or personal and real property investments? Yes No N/A - If you answered No, you will be asked to upload each statement (if available) by browsing for the file(s), and uploading it to the webpage. 7) Since the last reporting period, did the Trust open any new retirement plan, bank, brokerage or investment accounts? Yes No - If you answered Yes, please provide the following information about the accounts: Financial Institution Account Type Account Number Contact Person/Advisor Contact Phone Number 8) Did the Trust make a "Participant Loan" to any employee during the year for which Spectrum did NOT prepare the loan origination paperwork? Yes No - If you answered Yes, please provide details: 4

5 9) Did the Plan/Trust lend money to any person or entity as an investment for the Plan or one or more individual participants during the Plan Year? (Does not include participant loans.) Yes No - If you answered Yes, you will be asked to upload a copy of the Promissory Note, Amortization/Repayment Schedule, Deed of Trust, and documented evidence of any other collateral (if available). This documentation is required in order to verify that any such loans do not constitute prohibited transactions. You will have the ability to browse for each file and upload it to the webpage. - If you answered Yes, was the loan made to any of the following parties: Shareholder of the Corporation, Partner or Owner; Relative of Shareholder, Partner or Owner; Person paid for performing any services for the Trust; An entity other than a person? Yes No - If you answered Yes, please provide details: 10) Each qualified plan that covers employees other than owners and/or their spouses is required to have Fidelity Bond coverage. Does your Plan have a Fidelity Bond? Yes No - If you answered Yes, please provide the following information for your bond: Name of Insurance Company Amount of Coverage - If you answered Yes, you will be asked to provide a copy of your fidelity bond certificate or 'Declarations' page (usually the cover or first page of your bond policy document), if available, by browsing for the file and uploading it to the website. - If you answered, No, are there any other employees in the Plan other than owners and their spouses? Yes No 11) Does your Plan use the services of an Accounting firm? Yes No - If you answered Yes, please list the name of the Accounting Firm, your contact at the firm and contact information: Accounting Firm Name Contact at Firm Address Phone # 12) Does your business rely on a particular attorney or law firm for business legal advice? Yes No - If you answered Yes, please list the name of the Law Firm, your contact at the firm and contact information: 5

6 Law Firm Name Contact at Firm Address Phone # 13) Does your Plan use the services of an ERISA Attorney (an attorney specializing in retirement and other employee benefit plans)? Yes No - If you answered Yes, please list the name of the Law Firm, your contact at the firm and contact information: Law Firm Name Contact at Firm Address Phone # 14) Does your Plan use the services of an Investment Advisor? Yes No - If you answered Yes, please list the name of the Advisor Firm, your contact at the firm and contact information: Advisor Firm Name Contact at Firm Address Phone # 15) Who are the current Trustees for your plan? (Note: the current trustees we have in our records will be displayed for you to review.) Name of Trustee 16) Did you make any changes to the Trustees listed on the page? Yes No - If you answered Yes, resignation, replacement or appointment of a trustee must be properly documented. If you have added or removed a Trustee, you will be asked to provide us with a copy of the Trustee Resolution, Resignation and/or Appointment Letter (if available). 17) Do you employ or have you, within the past three years, employed any current military reservists, members of the National Guard or individuals who have left your employ in order to serve on active military duty? Yes No 6

7 - If you answered Yes, do you currently, or have you previously, paid additional compensation to any such individuals while they are/have been serving in the Military? Yes No - If you answered Yes, did you know that there's a tax credit for small businesses (under 50 Employees) that provide these benefits? 18) Do you have any union employees? Yes No - If you answered Yes, are your Union employees covered under a multi-employer plan sponsored by their union(s)? Yes No 19) On the employee census you will tell us about any employee-owners or employee-directors. For compliance reasons we also need to know about any non-employee owners or directors. Do you have any non-employee owners or directors for your company? Yes No - If you answered Yes, please supply the following information for each non-employee owner or director: Name Entity Type (individual, corporation, partnership etc.) % Ownership (greater of voting or value interest) Director/Non- Director? 20) Is this company or any of its owners related to another company through ownership or services performed? (For example, two owners of the company each purchased 40% of another business; or the owners of a medical practice own 5% of a diagnostic center and refer their patients to the center.) Yes No - If you answered Yes, please provide the following details for any company that paid employees during the plan year: Name of Owner (Person or Company Name) Name of Other Company Owned % Ownership in Other Company Date Acquired Number of Employees 21) Do any of the owners' family members own a percentage of any other company? (Note: Family member ownership must be reported for the following owner relatives: Spouse, Child, Parent and Grandchild.) Yes No - If you answered Yes, please supply details of family member ownership: 7

8 Name of Owner Name of Family Member That Owns Another Business Relationship to Owner Name of Company Owned by Family Member Family Member's % Ownership in That Company Date Acquired Number of Employees Certification page: 1) What is the name of the person who will be completing the CDC? 2) What is the address of the person who will be completing the CDC? 3) Please provide the Name, Phone Number, and for the Contact(s) for your plan? Name Phone Number Primary Contact? Yes/No EFAST2 Contact? Yes/No 4) Is there any additional information that you would like to provide? Yes No - If you answered Yes, please provide details: 5) Would you be willing to be a reference for Spectrum? Yes No - If you answered No, please let us know why: 6) How satisfied are you with the overall service experience provided by Spectrum Pension Consultants? (Please rate on a 0 to 10 scale, with 0 representing not at all satisfied and 10 representing extremely satisfied.) 7) How likely are you to recommend Spectrum Pension Consultants to others? (Please rate on a 0 to 10 scale, with 0 representing not at all satisfied and 10 representing extremely satisfied.) 8