TOPICAL INDEX. 401(k) PLANS See Tab Table of Contents Also see Code 401(k) Plans

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1 TOPICAL INDEX [Note: Every item in ERISA Forms appears in this Topical Index. The number in parentheses is the page reference. When searching for a particular form or checklist, the user also should consult the index of items included behind the applicable Tab. For example, ERISA 204(h) Notice (706) appears in the Topical Index under Amendment of Plan, Disclosure to Participants, under its own heading and under Termination of Plan. This item also appears in the Table of Contents after the Tab for DOL Disclosures items.] 401(k) PLANS See Tab Table of Contents Also see Code 401(k) Plans Abandoned Plans Final Notice *(694) Notice of Intent to Terminate Plan (691) Notification of Plan Abandonment and Intent to Serve as Notice of Plan Termination (693) Qualified Termination Administrator (692) Schedule QTA Special Terminal Report for Abandoned Plan (695) Special Terminal Report Instructions for Abandoned Plans (695A) Administration Employer s Declaration of Contribution and Transmittal to Trustee (914) Letter to Alternative Payee Enclosing Distribution Forms (666) Letter to Participant/Alternate Payee Upon Adverse QDRO Determination (665) Letter to Participant/Alternate Payee Upon Favorable QDRO Determination (664) Letter to Participant/Alternate Payee Upon Receipt of Domestic Relations Order (663) Plan Related Expenses (618) Post-Severance Compensation Client Letter (667) Amendment of Plan Adopt Good Faith EGTRRA Amendment (514) Apply Code 401(a)(9) Final Regulations (515) Amendment for EACA And QACA Provisions of Pension Protection Act of 2006 (Terminating Defined Contribution Plan) (523) Amendment for EACA Provisions of Pension Protection Act of 2006 (Governmental 457(b) Plan) (532) Amendment for Final 415 Regulations, Pension Funding Equity Act And Final 411 Regulations (Defined Benefit Plan) (525) Amendment for Final NRA Regulations (Defined Benefit Plan (535) Amendment for Final NRA Regulations (Defined Contribution Plan (534) Amendment for Hurricane Relief Acts (526) Amendment for Pension Protection Act of 2006 And Other Law Changes (Defined Benefit Plan) (520) Amendment for Pension Protection Act of 2006 and Other Law Changes (Defined Contribution Plan) (519) Amendment for Pension Protection Act of 2006 and Other Law Changes (457(b) Plan) (521); (521A) Amendment for the Final 415 Regulations (524) Amendment to Elect into Safe Harbor Nonelective Contribution (537) Automatic rollover IRAs Mandatory Distribution Amendment (516) Change of Plan Year - Minutes (411) Change of Plan Year For Defined Benefit Plan (502) Change of Plan Year For Defined Contribution Plan (501) Checklist for Change of Plan Year (639) Continuation of Plan by LLC Minutes (412) Deemed IRA Contributions Amendatory Agreement (518) Defined Contribution Plan Amendments since GUST Restatement (646) Eliminate Joint & Survivor Annuity Option (512) Elimination of Life Insurance Minutes (410) ERISA 204(h) Notice (706); (707) Merger of Plans Minutes (409) Money Purchase Plan Transfer (Rev. Rul ) (505) Plan Restatement Minutes (404) Post-EGTRRA Amendment Amendatory Agreement (517) Reduction in Contribution Rate Minutes (405) Resolution To Amend To Eliminate Prior Provisions (354) SBJPA Amendatory Agreement (Defined Benefit Plan) (508) SBJPA Amendatory Agreement (Defined Contribution Plan) (507) Substitution of Amended Pages or Articles Minutes (406) Summary of Material Modification (703) Supplemental Amendment for HEART and WRERA (457(b) Plan) (522) Supplemental Amendment for HEART and WRERA (Defined Contribution Plan) (536) Unanimous Consent of Directors in Lieu of Special Meeting (400A) Wrap-Around 401(k) Plan Election (314) ANCILLARY FORMS See Tab Table of Contents Annual Additions (Code 415) Dollar Limitation Table (608) Annual Reports Reporting and Disclosure Checklist (615) See Reporting Requirements Automatic Contribution Arrangements 401(k) Plan Automatic Contribution Arrangement Salary Reduction Agreement (Contrary Deferral Election (316) Automatic Contribution Arrangement (Including Default Investment) Notice for Plan Year Beginning (315) Automatic Contribution Arrangement Characteristics (376) Eligible Automatic Contribution Arrangement (EACA) Notice for Plan Year Beginning (317) Eligible Automatic Contribution Arrangement Salary Reduction Agreement (Contrary Deferral Election) (318) Qualified Automatic Contribution Arrangement (QACA) Notice for Plan Year Beginning (319) Qualified Automatic Contribution Arrangement (QACA) (Not a EACA) Notice For Plan Year Beginning (320) Copyright 2011 SunGard 1/11 1

2 Qualified Automatic Contribution Arrangement (QACA) (Not a EACA) Notice For Plan Year Beginning (Matching Contribution) (320A) Qualified Automatic Contribution Arrangement (QACA) which is an Eligible Automatic Contribution Arrangement (EACA) Notice for Plan Year Beginning (319A) Qualified Default Investment Alternative Notice (759) Summary Instructions for use of Automatic Contribution Forms (374) Beneficiary Beneficiary Designation (111J&S); (111NoJ&S); (111E) (209) Beneficiary Designation for IRA (953); (954) Beneificary Distribution Election in IRA (957) Instructions for Designation or Changing Beneficiary (110); (208) Instructions for Designating or Changing Beneficiary in an IRA (955) Non-Spouse Beneficiary Distribution Election (115) Surviving Spouse Distribution Election (114NoJ&S); (114J&S) Trust Beneficiary, Participant s Certification of (111B) Trust Document and Agreement to supplement, Participant s Notice of Delivery of (111A) Benefit Statements Annual Fee disclosure statement proposed regulation (724) Defined Contribution Plan Periodic Annual Benefit Statement (721) Defined Contribution Plan Quarterly Benefit Statement (722) Notice Regarding Electronic Periodic Benefit Statements (725) Quarterly Benefit/Fee Disclosure Statement proposed regulations (723) Blackout Notice DOL Model Blackout Period Notice to Participants (913) Sample Blackout Period Notice to Participants (912) Change of Plan Year Change of Plan Year Minutes (411) Checklist for Change of Plan Year (639) Form 5308 (890) CHECKLISTS/WORKSHEETS See Tab Table of Contents Client Correspondence Appendix E Acknowledgement Letter (658) Plan Distributions Client Letter (653) Summary Plan Description Transmittal Letter (652) Closing Agreement Program - See Disqualification Code 401(k) Plans See 401(k) Plans Tab See Safe Harbor 401(k) Plan See Negative Election 401(k) Plan 401(k) Salary Reduction Agreement (301) Combined Supplemental Safe Harbor 401(k) Plan Notice to Employees and Safe Harbor 401(k) Plan Notice (Safe Harbor Nonelective Contribution) (348) Comparison of Plan Characteristics (630) Hardship Withdrawal Election (321J&S); (321NoJ&S); (321ANoJ&S) Sample Application Package for Prototype 401(k) Profit Sharing Plan (871) Summary Plan Description (700) Code See Annual Additions Code 457 Plan Comparison of Plan Characteristics (630) Special Tax Notice (104F) Compensation Comparison of Safe Harbor Nondiscriminatory Definitions of Compensation (626) Demonstration 9 (860) Dollar Limitations Table (608) Permissible Definitions (627) Controlled Groups Participation Agreement (909) Corrective Programs EPCRS Correction Methods for Listed Operational Errors (617) EPCRS Programs for Qualified Plans (616) Underpayment Interest Rate under Code 6621(a)(2) (627) Coverage Requirements Demonstration 4 (854) Demonstration 5 - Average Benefit Test (855) Employee Data Form (885) Deemed Distributions - See Distributions Defined Benefit Plan Amendatory Agreement For Change of Plan Year (502) Amendment for Final NRA Regulations (Defined Benefit Plan (535) Amendment for Pension Protection Act of 2006 and Other Law Changes (Defined Benefit Plan) (520) Beneficiary Designation (209) Client Memorandum Administrative Forms (214) Defined Benefit Plan Termination Minutes (407) Designating or Changing Beneficiary (208) Direct Rollover Transmittal (221) Distribution Package Directory (201) Elective Transfer (222) Employee Census (611) Explanation of Plan Distribution Forms (200) Installment/Annuity/Required Minimum Distribution Election (207) Non-Spouse Beneficiary Distribution Election (212) Notice To Trustee (205) Participant Distribution Election (203A); (203B) Participant Distribution Notice (202) Plan Administrator s Statement Regarding Distributing Plan s Qualified Status (223) Postponement of Distribution Election (206) Preretirement Survivor Annuity Memorandum (210) SBJPA Amendatory Agreement (Defined Benefit Plan) (508) Special Tax Notice Regarding Plan Payments Alternative Notice For Participant (204B) Alternative Notice For QDRO Alternate Payee (204D) 2 1/11

3 Alternative Notice For Surviving Spouse (204C) IRS Safe Harbor Notice (204A) Rollover Notice For Non-Spouse Beneficiary (212A) Summary of Material Modifications [PPA amendments Defined Benefit Plan] (717) Summary Plan Description (702) Surviving Spouse Distribution Election (213A); (213B) Waiver of Preretirement Survivor Annuity (211) Defined Contribution Plan Adoption of New Plan Minutes (Corporation) (400) Adoption of New Plan Minutes (Partnership/LLC) (401) Amendatory Agreement For Change of Plan Year (501) Amendment for Final NRA Regulations (Defined Contribution Plan (534) Amendment for HEART and WRERA (403(b) Plan) (1192) Amendment for Pension Protection Act of 2006 and Other Law Changes (Defined Contribution Plan) (519) Amendments since GULST Restatement (646) Beneficiary Designation (111J&S); (111NoJ&S); Certificate of Corporate Resolution (402) Checklist for Defined Contribution Plan Merger (641) Checklist for Defined Contribution Plan Termination (640) Client Memorandum - Qualified Plan Administrative Forms (116J&S); (116NoJ&S) Confirmation - Adoption of New Plan (Sole Proprietorship) (403) Considering the Qualified Plan (654) Corrective Distribution Letter (Excess Contributions and Excess Aggregate Contributions) (323) Corrective Distribution Letter (Excess Deferrals) (324) Designating or Changing Beneficiaries (110) Distribution Package Directory (101) Direct Rollover Transmittal (121) Elective Transfer (117J&S); (117NoJ&S) Elective Transfer (Transfers after December 31, 2001) (118) Employee Census (611) Explanation of Plan Distribution Forms (100) GUST/EGTRRA Plan Restatement (404A) Hardship Withdrawal Election (109J&S); (109NoJ&S); (321J&S); (321NoJ&S); (321A NoJ&S) In-Service Withdrawal Election (108NoJ&S) Installment/Required Minimum Distribution Election (106) Non-Spouse Beneficiary Distribution Election (115) Notice to Trustee (105) Optional Forms of Benefit, Rights and Features Checklist (605) Participant Distribution Election (103A); (103BJ&S); (103BNoJ&S); (103C); (103D) Participant Distribution Notice (102J&S); (102NoJ&S); (102BJ&S); (102BNoJ&S) Plan Termination Minutes (408) Postponement of Distribution Election (107) Preretirement Survivor Annuity Explanation (112J&S) Rollover Contribution (122) SBJPA Amendatory Agreement (Defined Contribution Plan) (507) Special Tax Notice Regarding Plan Payments Alternative Notice For Participants (104B) Alternative Notice For QDRO Alternate Payee (104D) Alternative Notice For Surviving Spouse (104C) IRS Safe Harbor Notice (104A) Summary of Material Modifications [PPA amendments Defined Contribution Plan] (716) Summary Plan Description (700) Summary Plan Description Checklist (603) Supplemental Amendment for HEART and WRERA (Defined Contribution Plan) (536) Surviving Spouse Distribution Election (114NoJ&S); (114J&S) Waiver of Preretirement Survivor Annuity (113J&S) Determination Letter Employee Data Form (885) Form SS-4 (876) Notice to Interested Parties (861) Sample Forms Demonstration For Compensation Test (Code 414(s) (883) Determination Letter Application Package for Individuallydesigned Cross-Tested 401(k) Profit Sharing Plan (872) Determination Letter Application Package for Prototype 401(k) Profit Sharing Plan (871) Form 5308 (890) Form 5310 Package (877) Form Premature Distribution (888) Form Nondeductible Employer Contribution (886) Form Prohibited Transaction (887) Summary Annual Report (881) Schedule Q Demonstrations Average Benefit Test (855) Benefits, Rights and Features (853) Compensation Test (Code 414(s)) (860) Disaggregation, Aggregation and Restructuring (854) Floor-Offset Arrangement (859) General Nondiscrimination Test (856) Minimum Participation Test (Code 401(a)(26)) (852) Pre-Participation or Imputed Service (858) Qualified Separate Lines of Business (851) Uniform Points Allocation Formula (857) Summary of Schedule Q Demonstrations (850) DETERMINATION LETTER/GOVERNMENT FORMS See Tab Table of Contents Direct Rollover - See Rollovers Disclosure to Participants Distribution Notice (102BJ&S); (102BNoJ&S); (102CJ&S); (102CNoJ&S); (202) ERISA 204(h) Notice (706); (707) Interested Party Notice - see Determination Letter Investment Policy Statement (757) Model SPD (700) Notice of Participant Directed Investments (752) Reporting and Disclosure Checklist (615) Request for Review of Claim Denial (708) Sample Summary Annual Report (881) Special Tax Notice (104A, 104B, 104C, 104D; 204A, 204B, 204C, 204D) Summary Annual Report (704) Summary of Material Modification (703) Copyright 2011 SunGard 1/11 3

4 Charges to Participants Accounts (712; 713) Elimination of Joint and Survivor Annuity Option (711) Discrimination - See Nondiscrimination Disqualification Sample IRS Examination Checklist (612) Sample VCP Submission Letter (656) VCP Checklist (657) DISTRIBUTION FORMS DEFINED CONTRIBUTION See Tab Table of Contents DISTRIBUTION FORMS DEFINED BENEFIT See Tab Table of Contents Distributions Automatic Rollover IRAs Mandatory Distribution Amendment (516) Beneficiary Designation (111J&S); (111NoJ&S); (209) Beneficiary Distribution Election (957) Checklist for Reporting Excess Amounts (371) Client Memorandum - Qualified Plan Administrative Forms (116J&S); (116NoJ&S) Corrective Distribution Letter (Excess Contributions and Excess Aggregate Contributions) (323) Corrective Distribution Letter (Excess Deferrals) (324) Designating or Changing Beneficiaries (110); (208) Distribution Package Directory (101); (201) Direct Rollover Transmittal (121); (221) Election Regarding Required Minimum Distribution (911) Elective Transfer (117J&S); (117NoJ&S); (118); (222) Explanation of Plan Distribution Forms (100); (200) Hardship Withdrawal Election (109J&S); (109NoJ&S) In-Service Withdrawal Election (108NoJ&S) Installment/Annuity/Required Minimum Distribution Election (207); (207A) Installment/Required Minimum Distribution Election (106) Letter to Alternate Payee Enclosing Distribution Forms (666) Non-Spouse Beneficiary Distribution Election (115); (212) [Notice Alternative 1] (958) [Notice Alternative 2] (959) Notice to Trustee (105); (205) Participant Distribution Election (103A); (103BJ&S); (103BNoJ&S); (103C); (103D); (203A); (203B) Participant Distribution Notice (102J&S); (102NoJ&S); (202) Plan Distributions Client Letter (653) Postponement of Distribution Election (107); (206) Premature Distribution Penalty Tax (647) Preretirement Survivor Annuity Explanation (112J&S) Preretirement Survivor Annuity Memorandum (210) Recipient Plan s Statement/Acceptance of Direct Rollover (124) Required Distributions Table for Determining Maximum Periodic Annuity Payments to Nonspouse Survivor (620) Uniform Lifetime Table (619) Rollover Contribution (122) Surviving Spouse Distribution Election (114NoJ&S); (114J&S); (213A); (213B) Transferee Plan s Representation Regarding Application of 401(k) Plan Distribution Restrictions (305) Waiver of Preretirement Survivor Annuity (113J&S); (211) Elective Transfer Elective Transfer (117J&S); (117NoJ&S); (222) Eligibility Economics of Participation Alternatives (631) Election Not to Participate (907) Election to Participate (908) Employer Securities Election to Divest Publicly Traded Employer Stock (922) Notice of Your Rights Concerning Employer Securities (Divestment Notice) (921) EPCRS - See Correction Programs ERISA 204(h) Notice - See Disclosure to Participants Excise Tax Private Letter Ruling Request (650) Sample Form 5330 for Nondeductible Employer Contribution (886) Sample Form 5330 for Prohibited Transaction (887) Sample Form 5329 for Premature Distribution (888) Fiduciary Responsibility 404(c)-Relief in a Nutshell (758) Change of Investment Election (754) Duty to Disclose to Participants - see DISCLOSURE TO PARTICIPANTS ERISA 404(c) Plan Checklist (750) Investment Manager Services Agreement (756) Investment Policy Statement (757) Notice of Appointment of Trustee (901) Notice to Interested Parties (PTE ) (674) Participant Direction of Investment (753); (755) Participant Direction of Investment Agreement (751) Participant Notice Regarding Participant Directed Investments (752) Resignation of Office of Trustee (900) Sample Voluntary Fiduciary Correction Program Application (673) Transmittal of Trustee Appointment Form (655) Underpayment Interest Rate under Code 6621(a)(2) (629) Form 5300 Series - See Determination Letter Form See Reporting Requirements Frozen Plans ERISA 204(h) Notice (706); (707) 4 1/11

5 Reduction in Contribution Rate Minutes (405) GATT - See Amendment of Plan Individual Retirement Account (IRA) Beneficiary Designation (953) Beneficiary Designation (954) Beneficiary Distribution Election (957) Consent of Spouse for Community Property State (956) Instructions for Designating or Changing Beneficiary (955) Notice of Revocation (960) [Notice Alternative 1] (958) [Notice Alternative 2] (959) Qualified Rollover Contribution (962) Qualified Rollover Contribution (963) Required Minimum Distribution Election (961) Interested Party Notice - See Determination Letter Joint and Survivor Annuity - See Qualified Joint and Survivor Annuity Life Insurance Elimination of Life Insurance Minutes (410) Life Insurance Election (910) Loan(s) (Participant Loans) Irrevocable Pledge and Assignment (804) Loan Application (803) Loan Policy (800) Promissory Note (Fixed Interest Rate) (801); (801A) Promissory Note (Variable Interest Rate) (802); (802A) Mergers and Transfers Checklist for Defined Contribution Plan Merger (641) Checklist for Defined Contribution Plan Termination (640) Checklist: Money Purchase Plan Termination or Merger into Profit Sharing Plan (638) Continuation of Plan by LLC (412) Elective Transfer (117J&S); (117NoJ&S); (222) Merger and Transfer Agreement (902) Merger of Plans Minutes (409) Transfer Agreement (902A); (902B) Minimum Participation Requirements Demonstration 2 (852) Multiple Employers Demonstration 4 (854) Negative Election 401(k) Plan Annual Notification of Salary Reduction Amount (303) Initial Notification of Salary Reduction Amount (304; 305) Salary Reduction Agreement Negative Election (302) Also see Automatic Contribution Arrangements Nondiscrimination Demonstration 3 - Benefits, Rights and Features (853) Demonstration 6 - General Test (856) Demonstration 4 - Disaggregation, Aggregation, Restructuring (854) Demonstration 6 - Uniform Points Allocation Formula (857) Demonstration 8 - Floor-Offset (859) Employer s Declaration of Contribution and Transmittal to Trustee (914) Entitlement to Gateway Allocation and Top-Heavy Minimum Allocation in Cross-tested Plan Designs (634) Sample Application Cross-tested Plan (872) Taxable Wage Base Table (609) Use of Contribution Types in Nondiscrimination Testing (628) Non-Spouse Beneficiary Non-Spouse Beneficiary Distribution Election (115) Notice Requirements - See Disclosure to Participants Orphan Plans See Abandoned Plans Participant Elections Change of Investment (754) Election Not to Participate (907) Election to Participate (908) Hardship Withdrawal (109J&S); (109NoJ&S); (321A NoJ&S) In-Service Withdrawal Election (108NoJ&S) Installment/Annuity/Required Minimum Distribution (207); (207A) Installment/Required Minimum Distribution (106) Life Insurance (910) Participant Distribution (103A); (103BJ&S); (103BNoJ&S); (203A); (203B) Postponement of Distribution (107); (206) Request for Review of Claim Denial (708) Vesting Schedule (906) Participant Direction of Investment 404(c)-Relief in a Nutshell (758) Appendix to a-5 Model Comparative Chart (729) Change of Investment Election (754) Checklist of Participant Fee Disclosure Requirements ERISA 404(a) Regulations (606) Investment Policy Statement (757) Participant Direction of Investment Agreement (751) Participant Fees Annual Disclosure Statement (727) Participant Fees Quarterly Disclosure Statement (728) Participant Notice (752) Participant Direction of Investment Form (753); (755) PARTICIPANT DIRECTION/FIDUCIARY RESPONSIBILITY See Tab Table of Contents Participant Loans - See Loans PARTICIPANT LOANS See Tab Table of Contents Plan Amendments - See Amendment of Plan Plan Distributions - See Distributions Copyright 2011 SunGard 1/11 5

6 PLAN RELATED AMENDMENTS See Tab Table of Contents PLAN RELATED MINUTES See Tab Table of Contents Plan Termination - See Termination of Plan PRACTITIONER LETTERS/IRS/DOL CORRECTION See Tab Table of Contents Predecessor Employers Continuation of Plan by LLC Minutes (412) Demonstration 7 (858) Private Letter Ruling Private Letter Ruling Request (650) Prohibited Transactions Comparison of Prohibited Transaction Class Exemptions (633) Form 5330 for Nondeductible Employer Contribution (886) Form 5330 for Prohibited Transaction (887) QDROs/Qualified Domestic Relations Orders Beneficiary Designation by QDRO Alternate Payee (111E) Plan Administrator s Letter to Alternative Payee Enclosing Distribution Forms (666) Plan Administrator s Letter to Participant/Alternate Payee Upon Adverse QDRO Determination (665) Plan Administrator s Letter to Participant/Alternate Payee Upon Favorable QDRO Determination (664) Plan Administrator s Letter to Participant/Alternate Payee Upon Receipt of Domestic Relations Order (663) Qualified Domestic Relations Order (903) Qualified Domestic Relations Order (Defined Benefit Plan) (903A) QDRO Determination Checklist (905) QDRO Procedure (904) Special Tax Notice (104D); (204D) QJSA/Qualified Joint and Survivor Annuity Beneficiary Designation (111J&S); (111NoJ&S); (209) Client Memorandum (116J&S); (116NoJ&S) Elective Transfer (117J&S); (117NoJ&S); (222) Hardship Withdrawal (109J&S); (109NoJ&S) In-Service Withdrawal Election (108NoJ&S) Installment/Annuity/Required Minimum Distribution (207); (207A) Participant Distribution Election (103BJ&S); (103BNoJ&S); (203B) Surviving Spouse Distribution Election (114NoJ&S); (114J&S); (213A); (213B) QPSA/Qualified Preretirement Survivor Annuity QPSA Explanation (112J&S) QPSA Memorandum (210) Surviving Spouse Distribution Election (114NoJ&S); (114J&S); (213B) Waiver (113J&S); (211) Qualified Plan Comparison of Plan Characteristics (630) Comparison of Qualified Plan Attribution Rules (637) Considering the Qualified Plan (654) Laws Affecting Qualified Plans (636) Memorandum Maintaining the Qualified Plan (651) Reporting and Disclosure Requirements 401(k) Annual Notice Content (375) Annual Return/Report (Form 5500 Series) Comparison of Form 5500-SF eligible Plan Assets and Small Plan Audit Waiver Qualifying Plan Assets (600) DFVC Program (623) Form 2848 (891) Form see PROHIBITED TRANSACTIONS Form SS-4 (876) Notice regarding DFVC Program (624) Plan Administrator s Authorization to Service Provider to Submit 2009 Form 5500 (or 5500-SF) Electronic Filing and Disclosures (669) Reporting and Disclosure Checklist (615) Summary Annual Report for Qualified Retirement Plan (881) Summary of Reporting and Disclosure by Type of Plan (635) Summary Annual Report with small Plan Audit Waiver Disclosures (705) Required Minimum Distribution Client Letter Regarding Change in RMD Rules (671) Election Regarding Required Minimum Distribution (911) Excerpt from TABLE VI of Treas. Reg : Ordinary Joint Life and Last Survivor Factors (622) Installment/Required Minimum Distribution (106) Installment Annuity/Required Minimum Distribution Election (207) [Notice Alternative 1] (958) [Notice Alternative 2] (959) Required Minimum Distribution Election [IRA] (961)Single Life Table (621) Table for Determining Maximum Periodic Annuity Payments to Nonspouse Survivor (620) Uniform Lifetime Table (619) Rollovers Automatic Rollover IRAs Mandatory Distribution Amendment (516) Direct Rollover Transmittal (121); (221) Participant Distribution Election (103A); (103BJ&S); (103BNoJ&S); (203A, 203B) Plan Administrator s Statement Regarding Distributing Plan s Qualified Status (123) Qualified Rollover Contribution [IRA] (962); (963) Recipient Plan s Statement of Acceptance of Direct Rollover (124) Retirement Rollover Chart (625) Rollover Contribution (122) 6 1/11

7 Special Tax Notice Regarding Plan Payments Alternative Notice For Participants (104B); (204B) Alternative Notice For QDRO Alternate Payee (104D); (204D) Alternative Notice For Surviving Spouse (104C); (204C) IRS Safe Harbor Notice (104A); (204A) IRS Safe Harbor Notice 457 Plan (104F) Special Tax Notice Regarding Governmental 457 Plan Payments (Alternative to IRS Safe Harbor Notice - For Participant (1222) Special Tax Notice Regarding Governmental 457 Plan Payments (Alternative to IRS Safe Harbor Notice - For Surviving Spouse)(1223) Special Tax Notice Regarding Governmental 457 Plan Payments (Alternative to IRS Safe Harbor Notice - For QDRO Alternate Payee) (1224) Special Tax Notice Regarding Governmental 457 Plan Payments ((Alternative to IRS Safe Harbor Notice for Non-spouse Beneficiary) (1225) Safe Harbor 401(k) Plan 401(k) Safe Harbor Plan Contribution Alternatives (343) Combined Supplemental Safe Harbor 401(k) Plan Notice to Employees and Safe Harbor 401(k) Plan Notice (Safe Harbor Nonelective Contribution) (348) Notice to Employees Electronic Transmittal Notice (342) Notice to Employees Late Amendment Option (339) Participant Notice Matching Contribution (335, 336, 337, 338) Participant Notice Nonelective Contribution (331, 332, 333, 334) Safe Harbor 401(k) Plan Mid-Year Entry/Exiting Options (344) Salary Reduction Agreement (301) Summary of Material Modification (401(k) safe harbor plan matching contribution alternative) (346) Summary of Material Modification (401(k) safe harbor plan nonelective contribution) (345) Supplemental Notice Adoption of 3% Nonelective (340) Supplemental Notice Termination of Match (341) Salary Reduction Agreement Partner s Deferral Contribution Agreement (306) Partner s Deferral Contribution Agreement (Roth 401(k) Plan) (306A) Salary Reduction Agreement (301) Salary Reduction Agreement (Negative Election) (302) Sole Proprietor s Deferral Contribution Agreement (307) Sole Proprietor s Deferral Contribution Agreement (Roth 401(k) Plan (307A) SEP SEP Checklist Reprint of IRS Publication (642) Separate Lines of Business Demonstration 1 (851) Service Provider Fee Disclosures Checklist of Covered Service Provider Disclosure Requirements ERISA 408(b)(2) Regulations (607) Service Provider Fee Disclosure Form ERISA 408(b)(2) Regulations (732) SIMPLE IRA SIMPLE IRA Plan Checklist Reprint of IRS Publication (643) SIMPLE 401(k) Plan Checklist of SIMPLE 401(k) Elections (393) SIMPLE 401(k) Notice to Participants (392) SIMPLE 401(k) Plan Salary Reduction Agreement (391) Small Business Job Protection Act of 1996 SBJPA Amendatory Agreement (Defined Benefit Plan) (508) SBJPA Amendatory Agreement (Defined Contribution Plan) (507) Summary Annual Report (SAR) See Reporting and Disclosure Summary Plan Description Checklist (603) Defined Benefit Plan (702) Defined Contribution Plan (700) Summary of Material Modification (703) Summary of Material Modifications [PPA amendments Defined Contribution Plan] (716) Summary of Material Modifications [PPA amendments Defined Benefit Plan] (717) Transmittal Letter (652) Variables (701) SUMMARY PLAN DESCRIPTION/DOL DISCLOSURE ITEMS See Tab Table of Contents Termination of Plan Checklist: Money Purchase Plan Termination or Merger into Profit Sharing Plan (638) Defined Benefit Plan Termination (407) Plan Termination - Defined Contribution Plan (408) Form 5310 Package (877) ERISA 204(h) Notice (706) Transfers - See Mergers and Transfers Trust/Trust Accounting/Trust Requirement/Trustee Employer s Declaration of Contribution and Transmittal to Trustee (914) Notice of Appointment of Trustee (901) Notice to Trustee (Defined Benefit Distribution Instructions) (205) Notice to Trustee (Defined Contribution Distribution Instructions) (105) Participant s Certification of Trust Beneficiary (111B) Participant s Notice of Delivery of Trust Document and Agreement to Supplement (111A) Resignation of Office of Trustee (900) Transmittal of Trustee Appointment Form (655) Trustee s Certification of Final Trust Beneficiaries (111D) Trustee s Notice of Delivery of Trust Document and Agreement to Supplement (111C) Copyright 2011 SunGard 1/11 7

8 USERRA 401(k) Plan Salary Reduction Agreement for Returning U.S. Military Service Personnel (308) Make-Up Roth 401(k) Plan Salary Reduction Agreement for Returning U.S. Military Service Personnel (308A) Participant Notice Regarding Additional 401(k) Deferral Opportunities for Returning U.S. Military Service Personnel (309) Vesting Comparison of Vesting Schedules (632) Vesting Schedule Election (906) Voluntary Correction Program - See Disqualification * * * * * * * * * * * * * * * 8 1/11