Loan Distribution Extract/C190 LDT File Layouts. Schwab Retirement Technologies, Inc.

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1 Loan Distribution Extract/C190 LDT File Layouts Schwab Retirement Technologies, Inc.

2 LDT File Layouts Last Update: July, 014 The material contained herein is proprietary to Schwab and for informational purposes only. The information is not intended to provide tax, legal or investment advice. Schwab does not guarantee the suitability or potential value of any particular information source. Certain information presented herein may be subject to change. The information or material contained in this document may not be copied, assigned, transferred, disclosed or utilized without the express written approval of Schwab. The Charles Schwab Corporation provides services to retirement plans and participants through its subsidiaries: Charles Schwab & Co., Inc. (Member SIPC), Charles Schwab Bank, Schwab Retirement Plan Services, Inc., Schwab Retirement Plan Services Company and Schwab Retirement Technologies, Inc. (Schwab RT). Schwab RT is engaged in developing and licensing proprietary retirement plan recordkeeping systems to independent Third Party Administrators. For further information, contact Schwab Retirement Technologies, Inc. at 459 Sharon Road, Charlotte, NC 811, USA. Web site: schwabrt.com Schwab Retirement Technologies, Inc. All rights reserved.

3 Contents LDT File Layout Options... 1 LOAN/DISTRIBUTION EXTRACT FILE LAYOUT (Export Distribution Detail Records Option NOT Selected)... LDT FILE LAYOUT (Header/Detail) Release. and later (Export Distribution Detail Records Option Selected)... 6

4 LDT File Layout Options SQL Recordkeeping automatically chooses between two separate Loan/Distribution Extract File Layouts based on the Export Distribution Detail Records check box setting in the Loan/Distribution Extract application. The layout splits fields into Header and Detail Records used to accommodate the tax codes and the LDT file extracts detail information from SQL tables. When detail reporting is not required, the system uses the older file layout (.1 Release). When selected, the Export Distribution Detail Records check box option exports distribution detail records from SQL tables using the two-part file layout. When this option is cleared the system uses the LDT file layout from the.1 release. LDT File Layouts (July 014) Schwab Retirement Technologies 1

5 LDT IDENTIFIER LDT SYSTEM PATH PLAN IDENTIFIER SOCIAL SECURITY NUMBER SYSTEM DATE STATUS SEND STATUS SEND DATE ORIGIN PROCESS DATE PLAN TRUST IDENTIFIER PLAN ME PLAN ADDR1 PLAN ADDR PLAN ADDR3 PARTICIPANT ME PARTICIPANT ADDR1 PARTICIPANT ADDR PARTICIPANT CITY PARTICIPANT STATE PARTICIPANT ZIP CODE FEDERAL WITHHOLDING METHOD GROSS AMOUNT TAXABLE AMOUNT NET UNREALIZED G/ L AMOUNT CAPITAL GAINS AMOUNT EMPLOYEE CONTRIBUTION AMOUNT FEDERAL WITHHOLDING AMOUNT STATE WITHHOLDING AMOUNT LOCAL WITHHOLDING AMOUNT WITHHOLDING AMOUNTS 4-15 CHECK NUMBER STATE IDENTIFIER FLAT FEDERAL WITHHOLDING AMOUNT ADDITIOL FEDERAL WITHHOLDING AMOUNT AFTER TAX MARKET VALUE OF STOCK AFTER TAX COST OF STOCK AFTER TAX NET OF STOCK PRE- TAX MARKET VALUE OF STOCK PRE- TAX COST OF STOCK LOAN/DISTRIBUTION EXTRACT FILE LAYOUT (Export Distribution Detail Records Option NOT Selected) No-Detail Record (without detail/header split) DATA ELEMENT FIELD TYPE LENGTH DECIMALS COMMENTS Y/ N UNIQUE LOAN/ DISTRIBUTION IDENTIFIER SCHWAB RT RECORDKEEPING SYSTEM OF ORIGIN PATH WHERE DATA WAS ORIGITED USER ASSIGNED 3 CHARACTER PLAN ID PARTICIPANT SSN W/ DASHES (-) DATE WHEN RECORD WAS CREATED 0= SHELL, 1= READY YES= EXPORTED, NO= NOT YET EXPORTED DATE WHEN EXPORTED IF APPLICABLE CODE WHICH IDENTIFIES THE MODULE OF ORIG PROCESS DATE WHEN RECORD WAS CREATED ID ENTERED IN PLAN RECORD ME LINE 1 ENTERED IN PLAN RECORD ADDRESS LINE 1 ENTERED IN PLAN RECORD ADDRESS LINE ENTERED IN PLAN RECORD ADDRESS LINE 3 ENTERED IN PLAN RECORD PARTICIPANT ME (LAST FIRST) ADDRESS LINE 1 ENTERED IN PART. RECORD ADDRESS LINE ENTERED IN PART. RECORD CITY ENTERED IN PART. RECORD STATE ABBREV. ENTERED IN PART. RECORD ZIP CODE ENTERED IN PART. RECORD CODE IDENTIFYING FED. TAX CALC. METHOD GROSS AMOUNT OF LOAN/ DISTRIBUTION FROM DETAIL 1 TAXABLE PORTION OF THE GROSS AMOUNT FROM DETAIL 1 NET UNREALIZED GAIN/ LOSS FROM DISTRIBUTIONS. CAPITAL GAINS DUE FROM DISTRIBUTION PORTION OF TOTAL DISTR. FROM EMPLOYEE FROM DETAIL AMOUNT OF FEDERAL TAX WITHHELD AMOUNT OF STATE TAX WITHHELD AMOUNT OF LOCAL TAX WITHHELD UNUSED FIELDS (1 FIELDS OF 15 CHAR EACH) UNUSED FIELD ABBREV. OF STATE TAX WITHHELD FOR FLAT FEDERAL WITHHOLDING AMOUNT ADDITIOL FEDERAL WITHHOLDING AMOUNT MARKET VALUE OF DISTR. FROM POST TAX AVG. COST OF DISTR. FROM POST TAX MKT. VAL. OF POST TAX STK. LESS UNR. G/ L MARKET VALUE OF STOCK FROM PRE- TAX AVERAGE COST OF STOCK FROM PRE- TAX LDT File Layouts (July 014) Schwab Retirement Technologies

6 PRE- TAX NET OF STOCK OTHER MARKET VALUE OF STOCK OTHER COST OF STOCK OTHER NET OF STOCK OUTSTANDING LOAN DATE OF PARTICIPATION DATE OF SERVICE DATE OF WITHDRAWAL DATE OF TERMITION DATE OF BIRTH DATE OF REHIRE DATE OF DEATH DATE OF RETIREMENT DATE FIELD 9 DATE FIELD 10 EXTRA AMOUNT FIELDS 1-3 AFTER TAX ROLLOVER METHOD EXTRA FROZEN 1986 AMT POST 1986 AMT BASIS ROLLOVER FROZEN 1986 AMT ROLLOVER POST 1986 AMT ROLLOVER BASIS DISTRIBUTION CODE DIRECT WIRE CODE EXTRA FIELDS 1-8 EXTRA DATE FIELDS 1-10 COMMENT LINE 1 COMMENT LINE ADVICE LINE 1 ADVICE LINE ADVICE LINE 3 OPERATOR IDENTIFIER PLAN ME PAY SEND STATUS PAY SEND DATE LDT EXT ID PART ADDR1 PART ADDR PART STREET PART CITY PART STATE PART ZIP TAX FORM STATUS ORDIRY INCOME IRA DIST OTHER DIST CHAR Y/N Y/ N MKT. VAL. OF PRE- TAX STK. LESS UNR. G/ L MARKET VALUE OF STOCK FROM OTHER SOURCE AVERAGE COST OF STOCK FROM OTHER SOURCE MARKET VALUE OF STOCK FROM OTH. LESS UNR. G/ L UNPAID LOAN BAL. AT TIME OF TOTAL DIST. FROM DETAIL 3 DATE OF PARTICIPATION DATE OF SERVICE DATE OF WITHDRAWAL DATE PARTICIPANT TERMITED EMPLOYMENT DATE OF BIRTH DATE OF REHIRE DATE OF DEATH DATE OF RETIREMENT UNUSED UNUSED UNUSED (3 FIELDS, 15 CHARACTERS EACH) AFTER TAX ROLLOVER METH. UNUSED BASIS RECOVERY FROZEN 1986 AFTER TAX AMT BASIS RECOVERY POST 1986 AFTER-TAX CONTRIBUTION BASIS RECOVERY POST 1986 RETURNED ROLLOVER BASIS RECOVERY FROZEN 1986 AFTER TAX AMT ROLLOVER BASIS RECOVERY POST 1986 AFTER TAX CONTRIB. ROLLOVER BASIS RECOVERY AFTER TAX BASIS RETURNED TYPE OF DISTRIBUTION FOR TAX REPORTING FUNDS WIRED YES OR NO? FROM DETAIL 1 UNUSED (8 FIELDS, 5 CHARACTERS EACH) UNUSED (10 FIELDS, 8 CHARACTERS EACH) COMMENT ENTERED AT POSTING COMMENT ENTERED AT POSTING ADVICE INFO. ENTERED AT POSTING ADVICE INFO. ENTERED AT POSTING ADVICE INFO. ENTERED AT POSTING ID OF POSTING OPERATOR ME LINE ENTERED IN PLAN RECORD PAYMENT SYSTEM YES OR NO? DATE OF PAYMENT SYSTEM EXPORT EXTERL LINK TO ANOTHER SYSTEM PARTICIPANT ADDRESS 1 PARTICIPANT ADDRESS PARTICIPANT STREET PARTICIPANT CITY PARTICIPANT STATE PARTICIPANT ZIP TAX FORM STATUS ORDIRY INCOME IRA DISTRIBUTION OTHER DISTRIBUTION LDT File Layouts (July 014) Schwab Retirement Technologies 3

7 CHECK DATE FED MARITAL FED ALLOW FED WH METHOD STATE MARITAL STATE ALLOW STATE WH METHOD FLAT ST AMOUNT ADD ST AMOUNT ALT PAYEE ME ALT PAYEE ADDR1 ALT PAYEE ADDR ALT PAYEE CITY ALT PAYEE STATE ALT PAYEE ZIP ROLL ACCT NUMBER RECIP INST ME RECIP INST ME RECIP INST ADDR1 RECIP INST ADDR RECIP INST ADDR3 RECIP INST CITY RECIP INST STATE RECIP INST ZIP WITHHOLDING CODE 1 WITHHOLDING CODE BACK END LOAD WITHHOLDING CODE FORFEITURE AMOUNT PLAN TAX ID SHARES - STOCK 1 CASH STOCK 1 AST ID STOCK 1 COST STOCK 1 NON TAX SHARES STOCK 1 NON TAX COST STOCK 1 SHARES - STOCK CASH STOCK AST ID STOCK COST STOCK NON TAX SHARES STOCK NON TAX COST STOCK SHARES - STOCK 3 CASH STOCK 3 AST ID STOCK 3 COST STOCK 3 NON TAX SHARES STOCK 3 NON TAX COST STOCK 3 SHARES - STOCK CHECK DATE FEDERAL MARITAL STATUS FEDERAL WITHHOLDING ALLOWANCES FEDERAL WITHHOLDING METHOD STATE MARITAL STATUS STATE ALLOW STATE WITHHOLDING METHOD FLAT STATE WITHHOLDING AMOUNT ADDITIOL STATE AMOUNT ALTERTE PAYEE ME ALTERTE PAYEE ADDRESS 1 ALTERTE PAYEE ADDRESS ALTERTE PAYEE CITY ALTERTE PAYEE STATE ALTERTE PAYEE ZIP ACCOUNT NUMBER WHERE ROLLOVER IS GOING: DETAIL 1 ROLLOVER RECIPIENT INSTITUTION ME 1: DETAIL 1 ROLLOVER RECIPIENT INSTITUTION ME : DETAIL 1 ROLLOVER RECIPIENT INSTITUTION ADDRESS 1: DETAIL 1 ROLLOVER RECIPIENT INSTITUTION ADDRESS : DETAIL 1 ROLLOVER RECIPIENT INSTITUTION ADDRESS 3: DETAIL 1 ROLLOVER RECIPIENT INSTITUTION CITY: DETAIL 1 ROLLOVER RECIPIENT INSTITUTION STATE: DETAIL 1 ROLLOVER RECIPIENT INSTITUTION ZIP: DETAIL 1 SURRENDER CHARGES WITHHOLDING CODE MVA CHARGES WITHHOLDING CODE BACK_ END LOAD WITHHOLDING CODE TOTAL FORFEITURE AMOUNT FOR SOURCE/ FUND PLAN TAX ID ENTERED IN PLAN RECORD AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 1 CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 1 ASSET IDENTIFIER FOR STOCK # 1 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 1 NON TAXABLE PORTION OF SHARES OF STOCK # 1 NON TAXABLE PORTION OF COST OF STOCK # 1 AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # ASSET IDENTIFIER FOR STOCK # COST OF STOCK DISTRIBUTED IN KIND OF STOCK # NON TAXABLE PORTION OF SHARES OF STOCK # NON TAXABLE PORTION OF COST OF STOCK # AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 3 CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 3 ASSET IDENTIFIER FOR STOCK # 3 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 3 NON TAXABLE PORTION OF SHARES OF STOCK # 3 NON TAXABLE PORTION OF COST OF STOCK # 3 AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 4 LDT File Layouts (July 014) Schwab Retirement Technologies 4

8 CASH STOCK 4 AST ID STOCK 4 COST STOCK 4 NON TAX SHARES STOCK 4 NON TAX COST STOCK 4 SHARES - STOCK 5 CASH STOCK 5 AST ID STOCK 5 COST STOCK 5 NON TAX SHARES STOCK 5 NON TAX COST STOCK 5 AFTER TAX TAXABLE TOTAL REDEMPTION FEE AMOUNT SPECIAL MSG THIRD PARTY ADMINISTRATION FEES REASON ACH/WIRE/CHECK ABA ROUTING NUMBER (TRANSIT NUMBER) PAYEE ACCOUNT NUMBER BANK ACCOUNT TYPE NUM NUM NUM NUM CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 4 ASSET IDENTIFIER FOR STOCK # 4 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 4 NON TAXABLE PORTION OF SHARES OF STOCK # 4 NON TAXABLE PORTION OF COST OF STOCK # 4 AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 5 CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 5 ASSET IDENTIFIER FOR STOCK # 5 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 5 NON TAXABLE PORTION OF SHARES OF STOCK # 5 NON TAXABLE PORTION OF COST OF STOCK # 5 EARNINGS ATTRIBUTABLE TO AFTER TAX TAXABLE AMOUNT TOTAL REDEMPTION FEE S TEXT FOR SPECIAL INSTRUCTIONS WITH BLANK SPACES AT THE END THIRD PARTY FEE INCLUDING LOAN FEE: DETAIL 1 DESCR. OF DISTRIBUTION/WITHDRAWAL A (ACH), W (WIRE) OR C (CHECK) : FROM DETAIL 1 ABA NUMBER FOR ACH OR WIRE: FROM DETAIL 1 BANK NUMBER FOR ACH OR WIRE (SAMPLE: ) C (CHECKING) OR S (SAVINGS) LDT File Layouts (July 014) Schwab Retirement Technologies 5

9 HEADER RECORD LDT IDENTIFIER LDT SYSTEM PATH PLAN IDENTIFIER SOCIAL SECURITY NUMBER SYSTEM DATE STATUS SEND STATUS SEND DATE ORIGIN PROCESS DATE PLAN TRUST IDENTIFIER PLAN ME PLAN ADDR1 PLAN ADDR PLAN ADDR3 PARTICIPANT ME PARTICIPANT ADDR1 PARTICIPANT ADDR PARTICIPANT CITY PARTICIPANT STATE PARTICIPANT ZIP CODE FEDERAL WITHHOLDING METHOD GROSS AMOUNT NET UNREALIZED G/ L AMOUNT CAPITAL GAINS AMOUNT FEDERAL WITHHOLDING AMOUNT STATE WITHHOLDING AMOUNT LOCAL WITHHOLDING AMOUNT WITHHOLDING AMOUNTS 4-15 CHECK NUMBER STATE IDENTIFIER FLAT FEDERAL AMOUNT ADDITIOL FEDERAL AMOUNT AFTER TAX MARKET VALUE OF STOCK AFTER TAX COST OF STOCK AFTER TAX NET OF STOCK PRE- TAX MARKET VALUE OF STOCK PRE- TAX COST OF STOCK PRE- TAX NET OF STOCK OTHER MARKET VALUE OF STOCK OTHER COST OF STOCK LDT FILE LAYOUT (Header/Detail) Release. and later (Export Distribution Detail Records Option Selected) DATA ELEMENT FIELD TYPE LENGTH DECIMALS COMMENTS CHAR Y/ N H UNIQUE LOAN/ DISTRIBUTION IDENTIFIER SCHWAB RT RECORDKEEPING SYSTEM OF ORIGIN PATH WHERE DATA WAS ORIGITED USER ASSIGNED 3 CHARACTER PLAN ID PARTICIPANT SSN W/ DASHES (-) DATE WHEN RECORD WAS CREATED 0= SHELL, 1= READY YES= EXPORTED, NO= NOT YET EXPORTED DATE WHEN EXPORTED IF APPLICABLE CODE WHICH IDENTIFIES THE MODULE OF ORIG PROCESS DATE WHEN RECORD WAS CREATED ID ENTERED IN PLAN RECORD ME LINE 1 ENTERED IN PLAN RECORD ADDRESS LINE 1 ENTERED IN PLAN RECORD ADDRESS LINE ENTERED IN PLAN RECORD ADDRESS LINE 3 ENTERED IN PLAN RECORD PARTICIPANT ME (LAST FIRST) ADDRESS LINE 1 ENTERED IN PART. RECORD ADDRESS LINE ENTERED IN PART. RECORD CITY ENTERED IN PART. RECORD STATE ABBREV. ENTERED IN PART. RECORD ZIP CODE ENTERED IN PART. RECORD CODE IDENTIFYING FED. TAX CALC. METHOD GROSS AMOUNT TOTAL OF ALL DETAIL RECORDS NET UNREALIZED GAIN/ LOSS FROM DISTRIBUTIONS. CAPITAL GAINS DUE FROM DISTRIBUTION AMOUNT OF FEDERAL TAX WITHHELD AMOUNT OF STATE TAX WITHHELD AMOUNT OF LOCAL TAX WITHHELD UNUSED FIELDS (1 FIELDS OF 15 CHAR EACH) UNUSED FIELD ABBREV. OF STATE TAX WITHHELD FOR FLAT FEDERAL AMOUNT ADDITIOL FEDERAL AMOUNT MARKET VALUE OF DISTR. FROM POST TAX AVG. COST OF DISTR. FROM POST TAX MKT. VAL. OF POST TAX STK. LESS UNR. G/ L MARKET VALUE OF STOCK FROM PRE- TAX AVERAGE COST OF STOCK FROM PRE- TAX MKT. VAL. OF PRE- TAX STK. LESS UNR. G/ L MARKET VALUE OF STOCK FROM OTHER SOURCE AVERAGE COST OF STOCK FROM OTHER SOURCE LDT File Layouts (July 014) Schwab Retirement Technologies 6

10 OTHER NET OF STOCK DATE OF PARTICIPATION DATE OF SERVICE DATE OF WITHDRAWAL DATE OF TERMITION DATE OF BIRTH DATE OF REHIRE DATE OF DEATH DATE OF RETIREMENT ROTH ESTABLISHMENT DATE DATE FIELD 10 EXTRA AMOUNT FIELDS 1-3 AFTER TAX ROLLOVER METHOD EXTRA SPACE FROZEN 1986 AMT POST 1986 AMT BASIS ROLLOVER FROZEN 1986 AMT ROLLOVER POST 1986 AMT ROLLOVER BASIS DISTRIBUTION CODE EXTRA FIELDS 1-8 EXTRA DATE FIELDS 1-10 COMMENT LINE 1 COMMENT LINE ADVICE LINE 1 ADVICE LINE ADVICE LINE 3 OPERATOR IDENTIFIER PLAN ME PAY SEND STATUS PAY SEND DATE LDT EXT ID PART ADDR1 PART ADDR PART STREET PART CITY PART STATE PART ZIP TAX FORM STATUS ORDIRY INCOME IRA DIST OTHER DIST CHECK DATE FED MARITAL FED ALLOW FED WH METHOD STATE MARITAL Y/ N MARKET VALUE OF STOCK FROM OTH. LESS UNR. G/ L DATE OF PARTICIPATION DATE OF SERVICE DATE OF WITHDRAWAL DATE PARTICIPANT TERMITED EMPLOYMENT DATE OF BIRTH DATE OF REHIRE DATE OF DEATH DATE OF RETIREMENT ROTH ESTABLISHMENT DATE UNUSED UNUSED (3 FIELDS, 15 CHARACTERS EACH) AFTER TAX ROLLOVER METH. UNUSED BASIS RECOVERY FROZEN 1986 AFTER TAX AMT BASIS RECOVERY POST 1986 AFTER-TAX CONTRIBUTION BASIS RECOVERY POST 1986 RETURNED ROLLOVER BASIS RECOVERY FROZEN 1986 AFTER TAX AMT ROLLOVER BASIS RECOVERY POST 1986 AFTER TAX CONTRIB. ROLLOVER BASIS RECOVERY AFTER TAX BASIS RETURNED TYPE OF DISTRIBUTION FOR TAX REPORTING UNUSED (8 FIELDS, 5 CHARACTERS EACH) UNUSED (10 FIELDS, 8 CHARACTERS EACH) COMMENT ENTERED AT POSTING COMMENT ENTERED AT POSTING ADVICE INFO. ENTERED AT POSTING ADVICE INFO. ENTERED AT POSTING ADVICE INFO. ENTERED AT POSTING ID OF POSTING OPERATOR ME LINE ENTERED IN PLAN RECORD PAYMENT SYSTEM YES OR NO? DATE OF PAYMENT SYSTEM EXPORT EXTERL LINK TO ANOTHER SYSTEM PARTICIPANT ADDRESS 1 PARTICIPANT ADDRESS PARTICIPANT STREET PARTICIPANT CITY PARTICIPANT STATE PARTICIPANT ZIP TAX FORM STATUS ORDIRY INCOME IRA DISTRIBUTION OTHER DISTRIBUTION CHECK DATE FEDERAL MARITAL STATUS FEDERAL WITHHOLDING ALLOWANCES FEDERAL WITHHOLDING METHOD STATE MARITAL STATUS LDT File Layouts (July 014) Schwab Retirement Technologies 7

11 STATE ALLOW STATE WH METHOD FLAT ST AMOUNT ADD ST AMOUNT ALT PAYEE ME ALT PAYEE ADDR1 ALT PAYEE ADDR ALT PAYEE CITY ALT PAYEE STATE ALT PAYEE ZIP FORFEITURE AMOUNT PLAN TAX ID SHARES - STOCK 1 CASH STOCK 1 AST ID STOCK 1 COST STOCK 1 NON TAX SHARES STOCK 1 NON TAX COST STOCK 1 SHARES - STOCK CASH STOCK AST ID STOCK COST STOCK NON TAX SHARES STOCK NON TAX COST STOCK SHARES - STOCK 3 CASH STOCK 3 AST ID STOCK 3 COST STOCK 3 NON TAX SHARES STOCK 3 NON TAX COST STOCK 3 SHARES - STOCK 4 CASH STOCK 4 AST ID STOCK 4 COST STOCK 4 NON TAX SHARES STOCK 4 NON TAX COST STOCK 4 SHARES - STOCK 5 CASH STOCK 5 AST ID STOCK 5 COST STOCK 5 NON TAX SHARES STOCK 5 NON TAX COST STOCK 5 TOTAL REDEMPTION FEE AMOUNT SPECIAL INSTRUCTIONS REASON ROTH ROLLOVER METHOD NUM NUM.00 STATE ALLOW STATE WITHHOLDING METHOD FLAT STATE WITHHOLDING AMOUNT ADDITIOL STATE AMOUNT ALTERTE PAYEE ME ALTERTE PAYEE ADDRESS 1 ALTERTE PAYEE ADDRESS ALTERTE PAYEE CITY ALTERTE PAYEE STATE ALTERTE PAYEE ZIP TOTAL FORFEITURE AMOUNT FOR SOURCE/ FUND PLAN TAX ID ENTERED IN PLAN RECORD AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 1 CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 1 ASSET IDENTIFIER FOR STOCK # 1 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 1 NON TAXABLE PORTION OF SHARES OF STOCK # 1 NON TAXABLE PORTION OF COST OF STOCK # 1 AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # ASSET IDENTIFIER FOR STOCK # COST OF STOCK DISTRIBUTED IN KIND OF STOCK # NON TAXABLE PORTION OF SHARES OF STOCK # NON TAXABLE PORTION OF COST OF STOCK # AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 3 CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 3 ASSET IDENTIFIER FOR STOCK # 3 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 3 NON TAXABLE PORTION OF SHARES OF STOCK # 3 NON TAXABLE PORTION OF COST OF STOCK # 3 AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 4 CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 4 ASSET IDENTIFIER FOR STOCK # 4 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 4 NON TAXABLE PORTION OF SHARES OF STOCK # 4 NON TAXABLE PORTION OF COST OF STOCK # 4 AMOUNT OF STOCK DISTRIBUTED IN KIND STOCK # 5 CASH AMOUNT FROM FRACTIOL SHARE OF STOCK # 5 ASSET IDENTIFIER FOR STOCK # 5 COST OF STOCK DISTRIBUTED IN KIND OF STOCK # 5 NON TAXABLE PORTION OF SHARES OF STOCK # 5 NON TAXABLE PORTION OF COST OF STOCK # 5 TOTAL REDEMPTION FEE S FLUSH LEFT, TEXT FOR SPECIAL INSTRUCTIONS WITH BLANK SPACES AT THE END FLUSH LEFT, DESCR. OF DISTRIBUTION/WITHDRAWAL 1 DIGIT CODE (SAMPLE: 1 ) ROTH ROLLOVER METHOD LDT File Layouts (July 014) Schwab Retirement Technologies 8

12 QUALIFIED ROTH INDICATOR QUALIFIED ROTH INDICATOR DETAIL RECORD LDT IDENTIFIER DETAIL ID PATH PLAN IDENTIFIER SOCIAL SECURITY NUMBER PROCESS DATE D NUM UNIQUE LOAN/ DISTRIBUTION IDENTIFIER ND: NORMAL DISTRIBUTION AT: AFTER TAX DL: DEFAULT LOAN FEE: FEE EAT: EARNINGS ON AFTER TAX OL: ORIGITED LOAN RTH: ROTH ERT: EARNING ROTH PATH PLAN IDENTIFIER SOCIAL SECURITY NUMBER PROCESS DATE AMOUNT DISTRIBUTION CODE 1 DISTRIBUTION CODE DISTRIBUTION CODE 3 ROLLOVER ACCOUNT NUMBER RECIPIENT INSTITUTION ME LINE 1 RECIPIENT INSTITUTION ME LINE RECIPIENT INSTITUTION ADDRESS LINE 1 RECIPIENT INSTITUTION ADDRESS LINE RECIPIENT INSTITUTION ADDRESS LINE 3 RECIPIENT INSTITUTION CITY RECIPIENT INSTITUTION STATE RECIPIENT INSTITUTION ZIP CODE ACH/WIRE/CHECK ABA ROUTING NUMBER (TRANSIT NUMBER) PAYEE ACCOUNT NUMBER BANK ACCOUNT TYPE FEE TAX TYPE CODE FEE EIN NUM NUM NUM NUM NUM NUM B B NUM NUM NUM NUM NUM One of the following: DISTRIBUTION AMOUNT AFTER TAX AMOUNT DEFAULT LOAN AMOUNT FEE AMOUNT EARNINGS ON AT AMOUNT LOAN AMOUNT ROTH AMOUNT EARNING ROTH AMOUNT 1st CHARACTER OF LDT DISTRIBUTION CODE nd CHARACTER OF LDT DISTRIBUTION CODE 3rd CHARACTER OF LDT DISTRIBUTION CODE (NOT USED) ROLLOVER ACCOUNT NUMBER (SAMPLE: ) RECIPIENT INSTITUTION ME LINE 1 RECIPIENT INSTITUTION ME LINE RECIPIENT INSTITUTION ADDRESS LINE 1 RECIPIENT INSTITUTION ADDRESS LINE RECIPIENT INSTITUTION ADDRESS LINE 3 RECIPIENT INSTITUTION CITY RECIPIENT NSTITUTION STATE ABREVIATION RECIPIENT INSTITUTION ZIP CODE A (ACH), W (WIRE) OR C (CHECK) APPEARS ABA NUMBER FOR ACH OR WIRE BANK NUMBER FOR ACH OR WIRE (SAMPLE: ) PAYEE ACCOUNT NUMBER C (CHECKING) OR S (SAVINGS) APPEARS FEE TAX CODE TYPE FEE EIN (EMPLOYER IDENTIFICATION NUMBER) LDT File Layouts (July 014) Schwab Retirement Technologies 9

13 FOR FURTHER CREDIT SPECIAL HANDLING MAIL CODE SPECIAL HANDLING INSTRUCTIONS CHAR CHAR CHAR FOR FURTHER CREDIT SPECIAL HANDLING MAIL CODE SPECIAL HANDLING INSTRUCTIONS LDT File Layouts (July 014) Schwab Retirement Technologies 10