Back to top

Overview

Plan Information

  • Plan Year01/01/2009 — 12/31/2009
  • Date of Plan07/01/1965
  • Net Assets as of 12/31/2009 $5,864,282,124
  • Plan Number2
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding Arrangement Trust
  • Plan Benefit Arrangement Trust

Participant Information as of 12/31/2009

  • Active (Eligible) Participants26,685
  • Retired or separated participants receiving benefits530
  • Other retired or separated participants entitled to future benefits17,856
  • Subtotal45,071
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits240
  • Total45,311
  • Total number of participants as of 01/01/200947,848
  • Number of participants with account balances42,630
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address100 Route 206 North
  • CityPeapack
  • StateNJ
  • Zip07977-0000
  • Telephone(908) 901-6110
  • EIN13-5315170
  • Industry Code325410
  • Named AdministratorSteve First
  • Named Plan SponsorSteve First

Plan Administrator Information

  • Administrator NameThe Savings Plan Committee
  • Address235 East 42nd Street
  • CityNew York
  • StateNY
  • Zip10017-0000
  • Telephone(866) 476-8723
  • Administrator EIN13-2875255

Audit Information

  • Audit StatusAudited
  • AuditorKpmg, LLP
  • Auditor EIN13-5565207
  • Audit OpinionUnqualified
  • Audit Type Full Audit

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2H Partial participant-directed account plan Participants have the opportunity to direct the investment of a portion 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 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.
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 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.
2O ESOP other than a leveraged ESOP An Employee Stock Ownership Plan (ESOP) is a type of employee benefit plan designed to invest primarily in employer stock.
3F Leased Employees Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $25,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? Yes
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $1,398,300,136
Contributions $420,369,259
Cash Contributions $420,369,259
Cash from Employers $137,493,853
Cash from Participants $282,875,406
Others (including rollovers) $0
Noncash Contributions $0
Total Earnings on Investments $936,515,839
Total Interest $7,431,100
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $4,329,003
Interest from Other Investments $3,102,097
Total Dividends $58,277,920
Preferred Stock $4,039,648
Common Stock $54,238,272
Rents $0
Net gain (loss) on sale of assets $-15,529,968
Aggregate Proceeds $216,647,732
Aggregate Carrying Amount $232,177,700
Total Unrealized Appreciation (depreciation) of assets $121,603,979
Real Estate $0
Other $121,603,979
Net investment gain (loss) from common/collective trusts $404,876,463
Net investment gain (loss) from pooled separate accounts $0
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $359,856,345
Other Income $41,415,038
Expenses $661,527,022
Total Benefit Payments $660,027,739
Directly to participants or beneficiaries, including direct rollovers $660,027,739
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $-169,123
Interest expense $0
Total Administrative Expenses $1,668,406
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $0
Other Administrative Fees $1,668,406
Net Income $736,773,114
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2009 12/31/2008 Change YOY
Total Assets $5,866,647,573 $5,124,830,935 14.47%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $12,564,118 $1,012,823 1140.50%
Employer Contributions $3,705,477 $0 0.0%
Participant Contributions $7,924,260 $0 0.0%
Other Contributions $934,381 $1,012,823 -7.74%
General Investments $0 $0 0.0%
Interest-bearing cash $0 $0 0.0%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $1,255,975,674 -100.00%
Preferred $0 $78,028,071 -100.00%
Common $0 $1,177,947,603 -100.00%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $63,676,273 $72,009,550 -11.57%
Value of interest in common/collective trusts $2,126,424,644 $1,847,606,321 15.09%
Value of interest in pooled separate accounts $0 $0 0.0%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $1,350,623,665 $1,008,123,540 33.97%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $1,020,486,154 $940,103,027 8.55%
Employer-related Investments $1,292,872,719 $0 0.0%
Employer Securities $1,292,872,719 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $2,365,449 $1,264,105 87.12%
Benefit Claims Payable (1) $1,241,631 $773,648 60.49%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $1,123,818 $490,457 129.14%
Net Assets $5,864,282,124 $5,123,566,830 14.46%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Pfizer Inc
  • Blackrock
  • Dodge and Cox
  • Eaton Vance

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Capital Guardian Trust Company Investment management Investment Manager $1,278,129 $0 $1,278,129
Northern Trust Company Securities brokerage commissions and fees Sec Brokerage $0 $712,610 $712,610
T Rowe Price Stable Val Asset Man Investment management Investment Management $360,009 $0 $360,009
Cantor Fitzgerald and Company Securities brokerage commissions and fees Sec Brokerage $0 $16,496 $16,496
Fiioc Sub-transfer agency fees NONE $0 $0 $0
Total $1,638,138 $729,106 $2,367,244

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Fiioc Dodge and Cox Intl Sub-transfer agency fees .10% $0
Fiioc Victory Captial Mgt Sub-transfer agency fees .20% $0
Aston Asset Management Funds Aston River Rd Dividend All Cap N Sub-transfer agency fees .40% $0
Aston Asset Management Funds Aston Tch Fixed Inc Cl N Sub-transfer agency fees .40% $0
Aston Asset Management Funds Aston Smart Portfolios Cl N Sub-transfer agency fees .40% $0
Invesco Aim Family of Funds Aim Diversified Dividend Investor C Sub-transfer agency fees .35% $0
Invesco Aim Family of Funds Aim China Fd Cl C Sub-transfer agency fees 10.00 $0
Invesco Aim Family of Funds Aim Energy Investor Class Sub-transfer agency fees .35% $0
Invesco Aim Family of Funds Aim Gold Precious Metals Inv Clas Sub-transfer agency fees .35% $0
Aberdeen Funds Aberdeen Global Small Cap Fund Cl A Sub-transfer agency fees 0.25% and 12.00 $0
Rice Hall James Funds Rice Hall James Micro Cap Port Inst Sub-transfer agency fees .40% $0
Cambiar Funds Cambiar Opportunity Investor Cl Sub-transfer agency fees .40% $0
Champlain Funds Champlain Mid Cap Advisor Share Sub-transfer agency fees .40% $0
Invesco Aim Family of Funds Aim International Core Equity Inv C Sub-transfer agency fees .35% $0
Alger Funds Alger Smallmidcap Growth Fund C Sub-transfer agency fees 12.00 $0
Alliancebernstein Funds Alliance Bernstein High Income Advi Sub-transfer agency fees 6.00 $0
Pimco Funds Allianz Nfj Dividend Value Fd Cl D Sub-transfer agency fees .35% $0
Pimco Funds Allianz Nfj Large Value Fd Class D Sub-transfer agency fees .35% $0
Pimco Funds Allianz Ccm Mid Cap L D Sub-transfer agency fees .35% $0
Pimco Funds Allianz Nacm Pacific Rim Fund Cl D Sub-transfer agency fees .35% $0
Pimco Funds Allianz Nacm Pacific Rim Fund Cl D Sub-transfer agency fees .35% $0
Pimco Funds Allianz Nacm Income & Growth Cl D Sub-transfer agency fees .35% $0
Pimco Funds Allianz Nacm Emrging Markets Opport Sub-transfer agency fees .35% $0
Pimco Funds Allianz Nacm Emerg Mkts Opp Cl C Sub-transfer agency fees 6.00 $0
Pimco Funds Allianz Rcm Global Resources Fd D Sub-transfer agency fees .35% $0
Pimco Funds Allianz Nfj Intl Value Fd Class D Sub-transfer agency fees .35% $0
Alpine Funds Alpine Dynamic Divid Fund Sub-transfer agency fees 12.00 $0
Alpine Funds Alpine International Real Estate Eq Sub-transfer agency fees 12.00 $0
Alpine Funds Cyclical Advantage Property Y Sub-transfer agency fees 12.00 $0
Alpine Funds Alpine Realty Income Growth Y Sub-transfer agency fees 12.00 $0
Amana Funds Amana Mutual Fund Trust Income Sub-transfer agency fees .40% $0
Amana Funds Amana Mutual Fund Trust Growth Sub-transfer agency fees .40% $0
American Beacon Funds American Beacon Intl Equity Investo Sub-transfer agency fees .40% $0
American Funds American Balanced Class A Sub-transfer agency fees 10.00 $0
American Century Funds American Century Diversified Bond Sub-transfer agency fees .28% $0
American Century Funds American Cen Infla Protection Bd In Sub-transfer agency fees .25% $0
American Century Funds Amer Century Target Maturities Tr 2 Sub-transfer agency fees .25% $0
American Century Funds Amer Century Target Maturities Tr 2 Sub-transfer agency fees .25% $0
American Century Funds Amer Century Target Maturities Tr 2 Sub-transfer agency fees .25% $0
American Century Funds American Century Equity Income Sub-transfer agency fees .35% $0
American Century Funds American Century Mid Cap Value Inv Sub-transfer agency fees .35% $0
American Century Funds American Century Equity Growth Sub-transfer agency fees .30% $0
American Century Funds American Century Utilities Sub-transfer agency fees .30% $0
American Century Funds American Century Government Bond Sub-transfer agency fees .25% $0
American Century Funds American Century Short Term Govt Sub-transfer agency fees .25% $0
American Century Funds American Century Inflation Adj Trea Sub-transfer agency fees .25% $0
American Century Funds American Century Small Cap Grwth In Sub-transfer agency fees .28% $0
American Century Funds American Century Capital Val Inv Sh Sub-transfer agency fees .35% $0
American Century Funds American Century Vista Sub-transfer agency fees .35% $0
Ameristock Funds Ameristock Mutual Fund Sub-transfer agency fees .35% $0
Arbitrage Funds Arbitrage Fund Class R Sub-transfer agency fees .40% $0
Ariel Funds Ariel Fund Sub-transfer agency fees .40% $0
Artisan Funds Artisan Internatl Investor Class Sub-transfer agency fees .40% $0
Artisan Funds Artisan Mid Cap Value Sub-transfer agency fees .40% $0
Artisan Funds Artisan Opp Istic Growth Investor S Sub-transfer agency fees .40% $0
Artisan Funds Artisan Intl Value Fund Inv Cl Sub-transfer agency fees .40% $0
Artio Global Investors Artio Total Return Bond Fund Cl A Sub-transfer agency fees .35% $0
Artio Global Investors Artio International Equity Fund Cl Sub-transfer agency fees .40% $0
Artio Global Investors Artio International Equity Fund II Sub-transfer agency fees .40% $0
Artio Global Investors Artio Global High Income Fund Cl A Sub-transfer agency fees .40% $0
Baird Mutual Funds Baird Core Plus Bond Institutional Sub-transfer agency fees 16.00 $0
Baron Asset Funds Baron Growth Sub-transfer agency fees .40% $0
Baron Asset Funds Baron Small Cap Fd Sub-transfer agency fees .40% $0
Baron Asset Funds Baron I Opportunity Sub-transfer agency fees .40% $0
Baron Asset Funds Baron Partners Fund Sub-transfer agency fees .40% $0
Berwyn Funds Berwyn Income Fund Sub-transfer agency fees 16.00 $0
Blackrock Funds Blackrock Internatl Opport Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
Blackrock Funds Blackrock High Yield Bond Serv Shr Sub-transfer agency fees 12.00 $0
Blackrock Funds Blackrock Us Opport Cl A Sub-transfer agency fees 0.25% Plus 12.00 $0
Blackrock Funds Blackrock Energy Resources Port C Sub-transfer agency fees 12.00 $0
Blackrock Funds Blackrock Energy Resources A Sub-transfer agency fees 0.25% Plus 12.00 $0
Blackrock Funds Blackrock Health Sciences Opp Prt A Sub-transfer agency fees 0.25% Plus 12.00 $0
Blackrock Funds Blackrock Inflation Pro Bond Port I Sub-transfer agency fees 0.25% Plus 12.00 $0
Blackrock Funds Blackrock Latin America Fd Cl C Sub-transfer agency fees 12.00 $0
Blackrock Funds Blackrock Equity Dividend Fd Cl A Sub-transfer agency fees 0.25% Plus 12.00 $0
Blackrock Funds Blackrock Equity Dividend Fd Instl Sub-transfer agency fees 12.00 $0
Blackrock Funds Blackrock Global Allocation Cl A Sub-transfer agency fees 0.25% Plus 12.00 $0
Blackrock Funds Blackrock Global Allocation Fd Cl C Sub-transfer agency fees 12.00 $0
William Blair Funds William Blair Growth Class N Sub-transfer agency fees .40% $0
William Blair Funds William Blair Intl Small Cap Grw N Sub-transfer agency fees .40% $0
William Blair Funds William Blair Small Cap Grwth Cl N Sub-transfer agency fees .40% $0
William Blair Funds William Blair Small Cap Fd Class I Sub-transfer agency fees 16.00 $0
Queens Road Funds Queens Road Small Cap Value Fund Sub-transfer agency fees .40% $0
Brandywine Funds Brandywine Blue Sub-transfer agency fees 16.00 $0
Brandywine Funds Brandywine Sub-transfer agency fees 16.00 $0
Bridgeway Funds Bridgeway Ultra Small Co Market Sub-transfer agency fees 16.00 $0
Bridgeway Funds Bridgeway Aggressive Investor 2 Sub-transfer agency fees 16.00 $0
Buffalo Funds Buffalo Science & Technology Fd Sub-transfer agency fees .40% $0
Buffalo Funds Buffalo Mid Cap Fund Sub-transfer agency fees .40% $0
Buffalo Funds Buffalo Large Cap Sub-transfer agency fees .40% $0
Buffalo Funds Buffalo Small Cap Growth Sub-transfer agency fees .40% $0
Calamos Funds Calamos Growth Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
Davis Funds Clipper Sub-transfer agency fees .35% $0
Cohen & Steers Funds Cohen & Steers Realty Shares Sub-transfer agency fees .40% $0
Croft Funds Croft Value Fund Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly Nas Bull 2.5X Invt Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly Latin Am Bull X2 I Sub-transfer agency fees .40% $0
Direxion Funds Direixion Monthly China Bull 2X Inv Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly Emerg Mkrts Bear 2 Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly Eme Mkts Bull 2Xin Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly Com Bull 2X Invt Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly Dollar Bear 2.5X I Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly 10 Yr Note Bukk 2. Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly S & P 500 Bull Fd Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly 10 Yr Bear 2.5X In Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly S & P Bear 2.5X In Sub-transfer agency fees .40% $0
Direxion Funds Direxion Monthly Small Cap Bear 2.5 Sub-transfer agency fees .40% $0
Dreyfus Funds Dreyfus Bond Market Index Invs Sub-transfer agency fees .10% $0
Dreyfus Funds Dreyfus Intertnatl Bond Fund Cl I Sub-transfer agency fees .40% $0
Dreyfus Funds Dreyfus Greater China Cl A Sub-transfer agency fees 11.00 $0
Dreyfus Funds Dreyfus Small Company Value Fund Sub-transfer agency fees .15% $0
Dreyfus Funds Dreyfus Small Cap Stock Index Sub-transfer agency fees .35% $0
Driehaus Capital Management Driehaus Emerging Markets Sub-transfer agency fees .40% $0
Driehaus Capital Management Driehaus Internatl Discovery Sub-transfer agency fees .40% $0
Dreyfus Funds Dreyfus Research Grwth Cl Z Sub-transfer agency fees .35% $0
Eaton Vance Funds Eaton Vance Multi Cap Growth Fd Cl Sub-transfer agency fees 10.00 $0
Eaton Vance Funds Eaton Vance Dividend Builder Cl A Sub-transfer agency fees 0.25% Plus 10.00 $0
American Funds American Europacific Growth Class A Sub-transfer agency fees 10.00 $0
Fbr Funds Fbr Large Cap Financial Sub-transfer agency fees .40% $0
Fbr Funds Fbr Small Cap Financial Sub-transfer agency fees .40% $0
Fbr Funds Fbr Focus Fund Sub-transfer agency fees .40% $0
Fbr Funds Fbr Gas Utility Index Sub-transfer agency fees .40% $0
Fmi Funds Fmi Common Stock Sub-transfer agency fees .40% $0
Fmi Funds Fmi Provident Trust Strategy Fund Sub-transfer agency fees .40% $0
Fpa Funds Fpa Crescent Instl Sub-transfer agency fees 6.00 $0
Fmi Funds Fmi Focus Fund Sub-transfer agency fees .40% $0
Fmi Funds Fmi Large Cap Fund Sub-transfer agency fees .40% $0
Federated Funds Federated Clover Small Value Fund A Sub-transfer agency fees 12.00 $0
Federated Funds Federated Prudent Bear Fund Class A Sub-transfer agency fees 0.05% Plus 12.00 $0
Federated Funds Federated Kaufmann Class K Sub-transfer agency fees .35% $0
Federated Funds Federated Prudent Global Inc Fd A Sub-transfer agency fees 0.05% Plus 12.00 $0
Federated Funds Federated Us Govt Secs 2, 5 Yr Inst Sub-transfer agency fees .10% $0
Fifth Third Funds Fifth Third Micro Cap Value Instl Sub-transfer agency fees 12.00 $0
First Eagle Funds First Eagle Overseas Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
First Eagle Funds First Eagle Gold Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
First Eagle Funds First Eagle Global Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
First Eagle Funds First Eagle Global Class C Sub-transfer agency fees 12.00 $0
First Eagle Funds First Eagle Overseas Class C Sub-transfer agency fees 12.00 $0
Firsthand Funds Firsthand Technology Value Sub-transfer agency fees .40% $0
Firsthand Funds Firsthand Alternative Energy Sub-transfer agency fees .40% $0
Forester Funds Forester Value Fund Sub-transfer agency fees .40% $0
Merk Funds Merk Hard Currency Fund Investor Cl Sub-transfer agency fees .40% $0
Merk Funds Merk Asian Currency Fund Investor Sub-transfer agency fees .40% $0
Forward Funds Forward Interntl Small Co Investor Sub-transfer agency fees .40% $0
Franklin Funds Franklin Gold and Precious Metals C Sub-transfer agency fees 9.00 $0
Franklin Funds Franklin Small-Mid Cap Growth Class Sub-transfer agency fees 9.00 $0
Franklin Funds Franklin Founding Fd Portfolio Cl C Sub-transfer agency fees 9.00 $0
Gabelli Funds Gamco Westwood Mighty Mites Fd Aaa Sub-transfer agency fees .35% $0
Gabelli Funds Gabelli Asset Fund Sub-transfer agency fees .35% $0
Gabelli Funds Gabelli Small Cap Growth Sub-transfer agency fees .35% $0
Gabelli Funds Gabelli Equity Income Fund Sub-transfer agency fees .35% $0
Gabelli Funds Gabelli Blue Chip Value Sub-transfer agency fees .40% $0
Gabelli Funds Gabelli Utilities Sub-transfer agency fees .35% $0
Gabelli Funds Gamco Gold Fund Sub-transfer agency fees .40% $0
Gardner Lewis Chesapeake Funds Chesapeake Core Growth Fund Sub-transfer agency fees .40% $0
Natixis Global Asset Management Fun Gateway Fund Cl A Sub-transfer agency fees 0.25% Plus 12.00 $0
Goldman Sachs Funds Goldman Sachs Short Duration Gov'T Sub-transfer agency fees .50% $0
Goldman Sachs Funds Goldman Sachs Real Estate Sec Fd Cl Sub-transfer agency fees .50% $0
Goldman Sachs Funds Goldman Sachs Grwth Opport Fd Cl Sv Sub-transfer agency fees .50% $0
Goldman Sachs Funds Goldman Sachs Emerging Mrkts C Sub-transfer agency fees 9.00 $0
Goldman Sachs Funds Goldman Sachs Absolu Return Tracker Sub-transfer agency fees 0.25% Plus 9.00 $0
Greenspring Fund Greenspring Fund Sub-transfer agency fees .40% $0
American Funds American Growth Fund of America Cla Sub-transfer agency fees 10.00 $0
Guinness Atkinson Funds Guinness Atkinson Asia Focus Sub-transfer agency fees .40% $0
Guinness Atkinson Funds Guinness Atkinson China & Hong Kong Sub-transfer agency fees .40% $0
Guinness Atkinson Funds Guinness Atkinson Global Energy Sub-transfer agency fees .40% $0
Guinness Atkinson Funds Guinness Atkinson Alternative Energ Sub-transfer agency fees .40% $0
Harbor Funds Harbor Bond Inst Sub-transfer agency fees 15.00 $0
Harbor Funds Harbor International Institutional Sub-transfer agency fees 15.00 $0
Harbor Funds Harbor High Yield Bond Investor Fd Sub-transfer agency fees .35% $0
Harbor Funds Harbor International Growth Inv Cla Sub-transfer agency fees .35% $0
Harbor Funds Harbor International Investor Share Sub-transfer agency fees .35% $0
Harding Loevner Funds Harding Loevner Emerging Mkt Port Sub-transfer agency fees .40% $0
Natixis Global Asset Management Fun Oakmark Fund I Sub-transfer agency fees .35% $0
Natixis Global Asset Management Fun Oakmark Internatl I Sub-transfer agency fees .35% $0
Natixis Global Asset Management Fun Oakmark Equity Income Fd I Sub-transfer agency fees .35% $0
Natixis Global Asset Management Fun Oakmark Internatl Small Cap I Sub-transfer agency fees .35% $0
Natixis Global Asset Management Fun Oakmark Select I Sub-transfer agency fees .35% $0
Natixis Global Asset Management Fun Oakmark Global Fund I Sub-transfer agency fees .35% $0
Hartford Funds Hartford Growth Opportunity Class A Sub-transfer agency fees 0.25% Plus 11.00 $0
Hartford Funds Hartford Capital Appreciation Cl A Sub-transfer agency fees 0.25% Plus 11.00 $0
Hartford Funds Hartford Mid Cap Class A Sub-transfer agency fees 0.25% Plus 11.00 $0
Heartland Funds Heartland Value Plus Sub-transfer agency fees .40% $0
Heartland Funds Heartland Select Value Sub-transfer agency fees .40% $0
Heartland Funds Heartland Value Sub-transfer agency fees .40% $0
Hennessy Funds Hennessy Cornerstone Growth Sub-transfer agency fees .40% $0
Hennessy Funds Hennessy Focus 30 Fund Sub-transfer agency fees .40% $0
Hussman Funds Hussman Strategic Growth Sub-transfer agency fees 12.00 $0
Hussman Funds Hussman Strategic Total Return Sub-transfer agency fees 12.00 $0
Mainstay Funds Mainstay Icap Select Equity Fd Cl I Sub-transfer agency fees 12.00 $0
Mainstay Funds Mainstay Icap International Fd I Sub-transfer agency fees 12.00 $0
Icon Funds Icon Materials Sub-transfer agency fees .40% $0
Icon Funds Icon Consumer Discretionary Sub-transfer agency fees .40% $0
Icon Funds Icon Energy Sub-transfer agency fees .40% $0
Icon Funds Icon Bond Class I Sub-transfer agency fees .40% $0
Intrepid Funds Intrepid Small Cap Fund Sub-transfer agency fees .40% $0
W & R Funds Ivy Asset Strategy Cl A Sub-transfer agency fees 0.25% Plus 12.00 $0
James Advantage Funds James Balanced Golden Rainbow Fund Sub-transfer agency fees .40% $0
Janus Funds Janus Triton Fund Class J Shares Sub-transfer agency fees .33% $0
Janus Funds Perkins Small Cap Value Fund Cl J Sub-transfer agency fees .33% $0
Janus Funds Perkins Mid Cap Value Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Flexible Bond Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Orion Fund Class J Shares Sub-transfer agency fees .33% $0
Janus Funds Janus Contrarian Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Global Technology Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Global Life Sciences Fund Cl Sub-transfer agency fees .33% $0
Janus Funds Janus Research Core Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus High Yield Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Enterprise Fund Class J Share Sub-transfer agency fees .33% $0
Janus Funds Janus Overseas Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Research Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Balanced Fund Class J Sub-transfer agency fees .33% $0
Janus Funds Janus Short Term Bond Fund Class J Sub-transfer agency fees .33% $0
Jennison Dryden Funds Jennison Natural Resources Cl B Sub-transfer agency fees 12.00 $0
Jensen Fund Jensen Portfolio Class J Sub-transfer agency fees .40% $0
J.P. Morgan Funds Jpmorgan Us Real Estate Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
Keeley Funds Keeley Small Cap Value Class A Sub-transfer agency fees 0.25% Plus 6.00 $0
Kinetics Funds The Medical Fund Sub-transfer agency fees .40% $0
Kinetics Funds Kinetics Paradigm Fund Sub-transfer agency fees .40% $0
Kinetics Funds Kinetics Small Cap Opportunities Sub-transfer agency fees .40% $0
Lazard Funds Lazard Emerging Mkts Open Class Sub-transfer agency fees .40% $0
Leuthold Funds Leuthold Asset Allocation Fd Sub-transfer agency fees .40% $0
Leuthold Funds Leuthold Global Clean Techn Retail Sub-transfer agency fees .40% $0
Natixis Global Asset Management Fun Loomis Sayles Global Bond Retail Sub-transfer agency fees .35% $0
Natixis Global Asset Management Fun Loomis Sayles Bond Retail Shares Sub-transfer agency fees .35% $0
Lord Abbett Funds Lord Abbett Fundmntl Equity Cl A Sub-transfer agency fees 0.35% Plus 6.00 $0
Lord Abbett Funds Lord Abbett Mid Cap Value Class A Sub-transfer agency fees 0.35% Plus 6.00 $0
Mfs Funds Mfs Global Total Return Class A Sub-transfer agency fees 0.25% Plus 11.00 $0
Mfs Funds Mfs Utilities Class C Sub-transfer agency fees 11.00 $0
Madison Mosaic Funds Madison Mosaic Mid Cap Fd Sub-transfer agency fees .35% $0
Madison Mosaic Funds Madison Mosaic Core Bond Sub-transfer agency fees .35% $0
Mainstay Funds Mainstay Intl Equity Fund Class I Sub-transfer agency fees .40% $0
Managers Funds Managers Bond Sub-transfer agency fees .40% $0
Managers Funds Managers Pimco Bond Fund Sub-transfer agency fees 16.00 $0
Managers Funds Managers Emerging Markets Equity Sub-transfer agency fees .40% $0
Manning Napier Funds Manning Napier World Oppt Ser Cl Sub-transfer agency fees .40% $0
Manning Napier Funds Manning Napier Pro Blend Max Term Sub-transfer agency fees .40% $0
Manning Napier Funds Manning Napier Equity Series Sub-transfer agency fees .40% $0
Manning Napier Funds Manning Napier Pro Blend Consv Cl Sub-transfer agency fees .40% $0
Manning Napier Funds Manning Napier Pro Blend Mod Cl S Sub-transfer agency fees .40% $0
Marshall Funds Marshall Short Intermediate Bd Y Sub-transfer agency fees .35% $0
Marsico Funds Marsico Growth Fund Sub-transfer agency fees .40% $0
Marsico Funds Marsico 21st Century Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews Asia Dividend Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews Asia Small Companies Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews Pacific Tiger Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews Asian Growth Income Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews Korea Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews China Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews India Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews Asia Pacific Fund Sub-transfer agency fees .40% $0
Matthews Asian Funds Matthews Asian Technology Fund Sub-transfer agency fees .40% $0
Merger Fund U.S. Bancorp Fund Services, LLC, Sub-transfer agency fees .40% $0
Metzler Payden Funds Metzler Payden Euro Emerging Mkts C Sub-transfer agency fees .40% $0
Metropolitan West Funds Metropolitan West Tot Return Bond C Sub-transfer agency fees .35% $0
Metropolitan West Funds Metropolitan West Total Return Clas Sub-transfer agency fees 16.00 $0
Metropolitan West Funds Metropolitan West High Yield Bond C Sub-transfer agency fees .40% $0
Motley Fool Funds Motley Fool Independence Fd Sub-transfer agency fees .40% $0
Munder Funds Munder Energy Fund Class B Sub-transfer agency fees 12.00 $0
Franklin Funds Mutual Series Global Discovery Cl C Sub-transfer agency fees 9.00 $0
Franklin Funds Mutual Series Global Discovery Cl A Sub-transfer agency fees 0.28% Plus 9.00 $0
Franklin Funds Mutual Series Mutual Beacon Class C Sub-transfer agency fees 9.00 $0
Needham Funds Needham Aggressive Growth Sub-transfer agency fees .40% $0
Neiman Funds Neiman Large Cap Value Fund Sub-transfer agency fees .40% $0
Neuberger Berman Funds Neuberger Berman Genesis Trust Clas Sub-transfer agency fees .40% $0
Neuberger Berman Funds Neuberger Berman Real Estate Trust Sub-transfer agency fees .40% $0
New Alternatives Funds New Alternatives Fd Sub-transfer agency fees 12.00 $0
American Funds American New Perspective Class A Sub-transfer agency fees 10.00 $0
Northern Funds Northern Small Cap Value Sub-transfer agency fees .40% $0
Northern Funds Northern High Yield Fixed Income Sub-transfer agency fees .40% $0
Northern Funds Northern Global Fixed Income Sub-transfer agency fees .40% $0
Sierra Core Funds Sierra Core Retirement Class I Sub-transfer agency fees .40% $0
Arrow Funds Arrow Dwa Balanced Fund Class C Sub-transfer agency fees 12.00 $0
Cmg Funds Cmg Absolute Return Strategies Clas Sub-transfer agency fees 0.40% Plus 12.00 $0
Brown Capital Management Funds Brown Capital Mgmt Small Company In Sub-transfer agency fees 12.00 $0
Oak Associates Funds Pin Oak Aggressive Stock Sub-transfer agency fees .40% $0
Oberweis Funds Oberweis China Opportunities Fund Sub-transfer agency fees .40% $0
Oppenheimer Funds Oppenheimer Intl Small Company Cl C Sub-transfer agency fees 10.00 $0
Oppenheimer Funds Oppenheimer Commod Stra Tot Return Sub-transfer agency fees 0.25% Plus 10.00 $0
Oppenheimer Funds Oppenheimer Gold Spec Min Cl A Sub-transfer agency fees 0.24% Plus 10.00 $0
Oppenheimer Funds Oppenheimer Gold Spec Min Cl C Sub-transfer agency fees 10.00 $0
Oppenheimer Funds Oppenheimer Gold Spl Min Cl N Sub-transfer agency fees 10.00 $0
Oppenheimer Funds Oppenheimer Global Opportun Cl C Sub-transfer agency fees 10.00 $0
Oppenheimer Funds Oppenheimer Champion Income Class A Sub-transfer agency fees 0.24% Plus 10.00 $0
Oppenheimer Funds Oppenheimer Dev Markets Fd Class A Sub-transfer agency fees 0.25% Plus 10.00 $0
Oppenheimer Funds Oppenheimer Dev Markets Fd Class C Sub-transfer agency fees 10.00 $0
Allianz Global Investors Pimco Total Return Class A Sub-transfer agency fees 6.00 $0
Pimco Real Return Class C Allianz Global Investors Sub-transfer agency fees 6.00 $0
Pimco Total Return Class Allianz Global Investors Sub-transfer agency fees .35% $0
Pimco Real Return Class D Allianz Global Investors Sub-transfer agency fees .35% $0
Pimco Low Duration Class D Allianz Global Investors Sub-transfer agency fees .35% $0
Parnassus Funds Parnassus Fund Sub-transfer agency fees .40% $0
Parnassus Funds Parnassus Workplace Sub-transfer agency fees .40% $0
Parnassus Funds Parnassus Small Cap Sub-transfer agency fees .40% $0
Parnassus Funds Parnassus Equity Income Portfolio Sub-transfer agency fees .40% $0
Pax World Funds Pax World Balanced Individual Inv C Sub-transfer agency fees .40% $0
Pax World Funds Pax World High Yield Bond Indiv Inv Sub-transfer agency fees .40% $0
Paydenfunds Payden Global Fxed Inc Sub-transfer agency fees .35% $0
Paydenfunds Payden Gnma Sub-transfer agency fees .25% $0
Paydenfunds Payden Emerg Markets Sub-transfer agency fees .40% $0
Permanent Portfolio Family of Fds Pacific Heights Asset Management Sub-transfer agency fees .40% $0
Perritt Funds Perritt Microcap Opportunities Sub-transfer agency fees .40% $0
Pimco Funds Pimco Foreign Bond Fund Cl D Unhed Sub-transfer agency fees .35% $0
Pimco Funds Pimco Global Bond Fund Unhedged C Sub-transfer agency fees .35% $0
Pimco Funds Pimco Commodity Real Return Cl D Sub-transfer agency fees .35% $0
Pimco Funds Pimco Emerging Mkts Bond Class D Sub-transfer agency fees .35% $0
Pimco Funds Pimco Investment Grade Corp Bond Cl Sub-transfer agency fees .35% $0
Pimco Funds Pimco All Assets All Authority Cl D Sub-transfer agency fees .35% $0
Pimco Funds Pimco Gnma Fund Class D Sub-transfer agency fees .35% $0
Pimco Funds Pimco Diversified Income Fund Cl D Sub-transfer agency fees .35% $0
Pimco Funds Pimco All Asset Fund Class D Sub-transfer agency fees .35% $0
Pimco Funds Pimco All Asset Fund Class A Sub-transfer agency fees 6.00 $0
Pimco Funds Pimco Developing Local Mkts D Sub-transfer agency fees .35% $0
Pimco Funds Pimco Unconstrained Bond Fund Cl D Sub-transfer agency fees .35% $0
Pioneer Investments Pioneer High Yield Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
T. Rowe Price Funds T Rowe Price Growth Stock Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Health Sciences Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Strategic Income Fd Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Ret 2040 Fd Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Retirement 2025 Fd Sub-transfer agency fees .02% $0
Primecap Odyssey Funds Primecap Odyssey Aggressive Grwth F Sub-transfer agency fees 15.00 $0
Hodges Funds Hodges Fund Sub-transfer agency fees .40% $0
Jordan Funds Jordan Opportunity Fund Sub-transfer agency fees 12.00 $0
Osterweis Funds The Osterweis Fund Sub-transfer agency fees 16.00 $0
Can Slim Funds Can Slim Select Growth Fund Sub-transfer agency fees .40% $0
Fundx Upgrader Funds Fundx Flexible Income Fund Sub-transfer agency fees .40% $0
Fundx Upgrader Funds Fundx Conservative Upgrader Fund Sub-transfer agency fees .40% $0
Profunds Oil & Gas Ultra Sect Pro Fds Inves Sub-transfer agency fees .40% $0
Profunds Precious Metals Ultra Sec Pro Invst Sub-transfer agency fees .40% $0
Profunds Financials Ultra Sector Pro Fd Invs Sub-transfer agency fees .40% $0
Profunds Basic Material Ultra Sec Pro Fd Inv Sub-transfer agency fees .40% $0
Profunds Ultra Short Nasdaq 100 Profund Inv Sub-transfer agency fees .40% $0
Profunds Ultra Nasdaq 100 Pro Fund Investor Sub-transfer agency fees .40% $0
Profunds Ultra Bear Pro Fund Investors Share Sub-transfer agency fees .40% $0
Profunds Rising Rates Oppty Pro Fund Investo Sub-transfer agency fees .40% $0
Profunds Pro Funds Short Real Estate Investo Sub-transfer agency fees .40% $0
Profunds Pro Funds Ultra Latin America Invst Sub-transfer agency fees .40% $0
Profunds Ultra Emerging Mrkts Pro Fd Invt Cl Sub-transfer agency fees .40% $0
Putnam Funds Putnam Global Income Trust Class A Sub-transfer agency fees 0.25% Plus 10.00 $0
Quaker Funds Quaker Strategic Growth Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
Quant Funds Quantitative Emrg Mkts Fd Ordinary Sub-transfer agency fees .40% $0
Robeco Investment Management Robeco Boston Prtns Sm Cap Val 11 I Sub-transfer agency fees .40% $0
Robeco Investment Management Robeco Sam Sustainab Le Climate Inv Sub-transfer agency fees .40% $0
Robeco Investment Management Robeco Sam Sustain Water Investor Sub-transfer agency fees .40% $0
Rs Investments Rs Value Fund Cl A Sub-transfer agency fees .25% $0
Rs Investments Rs Global Natural Resources Cl A Sub-transfer agency fees .25% $0
Rainier Investment Funds Rainier Large Cap Equity Portfolio Sub-transfer agency fees .40% $0
Rainier Investment Funds Rainier Mid Cap Eq Portfolio Sub-transfer agency fees .40% $0
River North Funds Rivernorth Core Oppportunity Fund Sub-transfer agency fees .40% $0
T. Rowe Price Funds T Rowe Price Equity Income Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Cap Appreciation Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Financial Services Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Mid Cap Growth Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price New Era Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price International Bond Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Intl Discovery Fund Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price New Asia Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Intl Japan Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Africa Middle East F Sub-transfer agency fees .02% $0
T. Rowe Price Funds T-Rowe Price Emerg Euro Mediterra Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Global Stock Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Emerging Mkts Stock Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Intl Emerging Market Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Latin America Fund Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Small Cap Value Fund Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Spectrum Income Sub-transfer agency fees .02% $0
T. Rowe Price Funds T Rowe Price Real Estate Fund Sub-transfer agency fees .02% $0
Royce Funds Royce Microcap Investment Class Sub-transfer agency fees 15.00 $0
Royce Funds Royce Value Fund Service Cl Sub-transfer agency fees .40% $0
Royce Funds Royce Value Plus Service Class Sub-transfer agency fees .40% $0
Royce Funds Royce Special Equity Investment Cl Sub-transfer agency fees 15.00 $0
Royce Funds Royce Low Priced Stock Fd Service C Sub-transfer agency fees .40% $0
Royce Funds Royce Opportunity Fund Invest Class Sub-transfer agency fees 15.00 $0
Royce Funds Royce Pennsylvania Mutual Invst Cla Sub-transfer agency fees 15.00 $0
Royce Funds Royce Total Return Fd Investment Cl Sub-transfer agency fees 15.00 $0
Rydex Funds Rydex Precious Metals Investor Cl Sub-transfer agency fees .35% $0
Rydex Funds Rydex Inverse Nasdaq 1002X Cl H Sub-transfer agency fees .35% $0
Rydex Funds Rydex Inverse S & P 500 Strategy In Sub-transfer agency fees .35% $0
Rydex Funds Rydex Inverse S & P 500 2X Strategy Sub-transfer agency fees .35% $0
Rydex Funds Rydex Nasdaq 100 Inv Class Sub-transfer agency fees .35% $0
Rydex Funds Rydex Inverse Govt Long Bond Strat Sub-transfer agency fees .35% $0
Rydex Funds Rydex Energy Svcs Investor Class Sub-transfer agency fees .35% $0
Rydex Funds Rydex Basic Materials Inv Class Sub-transfer agency fees .35% $0
Rydex Funds Rydex Real Estate H Class Sub-transfer agency fees .35% $0
Rydex Funds Rydex Mid Cap Value H Class Sub-transfer agency fees .35% $0
Rydex Funds Rydex Dow 2X Strategy Cl H Sub-transfer agency fees .35% $0
Rydex Funds Rydex Inverse Dow 2X Strategy Cl H Sub-transfer agency fees .35% $0
Rydex Funds Rydex Commodities Strategy Cl H Sub-transfer agency fees .35% $0
Rydex Funds Rydex Weakening Dollar 2X Strat Cl Sub-transfer agency fees .35% $0
Ssga Funds Ssga Emerging Markets Sub-transfer agency fees .40% $0
Ssga Funds Ssga S P 500 Index Sub-transfer agency fees 16.00 $0
Sextant Funds Sextant Intrnational Fund Sub-transfer agency fees .40% $0
Schwab Funds Laudus International Marketmasters Sub-transfer agency fees .40% $0
Schwartz Funds Ave Maria Catholic Values Sub-transfer agency fees .40% $0
Schwartz Funds Ave Maria Growth Sub-transfer agency fees .40% $0
Schwartz Funds Ave Maria Bond Cl R Sub-transfer agency fees 12.00 $0
Schwartz Funds Ave Maria Rising Dividend Fund Sub-transfer agency fees .40% $0
Schwartz Funds Ave Maria Opportunity Fund Sub-transfer agency fees .40% $0
Scout Funds Scout Small Cap Fund Sub-transfer agency fees .40% $0
Scout Funds Scout International Fund Sub-transfer agency fees .40% $0
Davis Funds Selected American Shares Cl D Sub-transfer agency fees 16.00 $0
Sound Shore Funds Sound Shore Fd Inc Sub-transfer agency fees .40% $0
Stratton Funds Stratton Small Cap Value Fund Sub-transfer agency fees 16.00 $0
Sunamerica Funds Sunamerica Focused Small Cap Growth Sub-transfer agency fees 12.00 $0
Tcw Galileo Funds Tcw Emerging Markets Income Cl N Sub-transfer agency fees .40% $0
Tcw Galileo Funds Tcw Dividend Focused Fund Cl N Sub-transfer agency fees .40% $0
Tcw Galileo Funds Tcw Total Return Bond Class N Sub-transfer agency fees .40% $0
Tcw Galileo Funds Tcw Small Cap Growth Class N Sub-transfer agency fees .40% $0
Tcw Galileo Funds Tcw Core Fixed Income Class N Sub-transfer agency fees .40% $0
Tcw Galileo Funds Tcw Emerging Mkts Income Cl I Sub-transfer agency fees 12.00 $0
Tcw Galileo Funds Tcw Small Cap Growth Class I Sub-transfer agency fees 12.00 $0
Turner Funds Turner Emerging Growth Inv Cl Sub-transfer agency fees .40% $0
Turner Funds Turner New Enterprise Inv Cl Sub-transfer agency fees .40% $0
Franklin Funds Templeton Global Bond Class A Sub-transfer agency fees 0.25% Plus 9.00 $0
Franklin Funds Templeton Global Bond Class C Sub-transfer agency fees 9.00 $0
Third Avenue Funds Third Avenue Value Sub-transfer agency fees 16.00 $0
Third Avenue Funds Third Avenue Small Cap Value Sub-transfer agency fees 16.00 $0
Third Avenue Funds Third Avenue Real Estate Value Sub-transfer agency fees 16.00 $0
Third Avenue Funds Third Avenue Intl Value Sub-transfer agency fees 16.00 $0
Third Avenue Funds Third Avenue Focsed Credit Fund Inv Sub-transfer agency fees .40% $0
Thompson Plumb Funds Thompson Plumb Bond Fund Sub-transfer agency fees .25% $0
Thornburg Funds Thornburg Intl Value Class C Sub-transfer agency fees 12.00 $0
Tocqueville Trust Tocqueville Fund Sub-transfer agency fees .40% $0
Tocqueville Trust The Delafield Fund Sub-transfer agency fees .40% $0
Tocqueville Trust Tocqueville Gold Fund Sub-transfer agency fees .40% $0
Touchstone Family of Funds Touchstone Short Dur Fix Inc Cl Z Sub-transfer agency fees .35% $0
Us Global Investors Us Global Region East European Sub-transfer agency fees .40% $0
Us Global Investors Global Emerging Markets Sub-transfer agency fees .40% $0
Sound Mind Funds Sound Mind Investing Fund Sub-transfer agency fees 16.00 $0
Us Global Investors Us Global Resources Sub-transfer agency fees .40% $0
Us Global Investors Us World Precious Minerals Sub-transfer agency fees .40% $0
Us Global Investors Us Global Investors China Region Fd Sub-transfer agency fees .40% $0
Us Global Investors Us Gold and Precious Metals Sub-transfer agency fees 16.00 $0
Value Line Mutual Funds Value Line Income Sub-transfer agency fees .40% $0
Value Line Mutual Funds Value Line Emerging Opportunity Sub-transfer agency fees .40% $0
Van Kampen Funds Van Kampen Growth Income Class A Sub-transfer agency fees 0.25% Plus 12.00 $0
Virtus Funds Virtus Alternative D Iversifier Fd Sub-transfer agency fees 12.00 $0
Wasatch Funds Wasatch Small Cap Growth Sub-transfer agency fees .40% $0
Wasatch Funds Wasatch Global Science Technology Sub-transfer agency fees .40% $0
Wasatch Funds Wasatch International Growth Sub-transfer agency fees .40% $0
Wasatch Funds Wasatch Micro Cap Value Fund Sub-transfer agency fees .40% $0
Wasatch Funds Wasatch 1st Source Income Equity Fu Sub-transfer agency fees .40% $0
Weitz Funds Weitz Short Intermed Income Fund Sub-transfer agency fees .35% $0
Wells Fargo Funds Wells Fargo Small Mid Cap Val Fd-I Sub-transfer agency fees .35% $0
Wells Fargo Funds Wells Fargo Short Term Hi Yield Bd- Sub-transfer agency fees .35% $0
Westcore Funds Westcore Select Sub-transfer agency fees .40% $0
Westcore Funds Westcore Plus Bond Fund Sub-transfer agency fees .30% $0
Westport Funds Westport Fund Class R Sub-transfer agency fees .40% $0
Muhlenkamp Fund Muhlenkamp Fund Sub-transfer agency fees .40% $0
Yacktman Fund Yacktman Fund Sub-transfer agency fees .40% $0
Yacktman Fund Yacktman Focused Fd Sub-transfer agency fees .40% $0
Dws Funds Dws Gold Precious Metals Cl A Sub-transfer agency fees 0.24% Plus 12.00 $0
Aston Asset Management Funds Aston River Rd Dividend All Cap N Sub-transfer agency fees .40% $0
Aston Asset Management Funds Aston Montag Caldwell Grth Cl N Sub-transfer agency fees .40% $0
Aston Asset Management Funds Aston Optimim Mid Cap Cl N Sub-transfer agency fees .40% $0
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
S & P 500 Eqty Index Fund The Northern Trust Company DFE: Common/Collective Trust $521,485,286
All Country World Fund Capital Guardian DFE: Common/Collective Trust $356,385,213
Lifepath Retirement Fund Barclays Global Investors DFE: Common/Collective Trust $291,787,396
Mfo Bgi Us Debt Index Fd K Barclay Global Investors DFE: Common/Collective Trust $257,592,844
Lifepath 2020 Barclays Global Investors DFE: Common/Collective Trust $252,750,605
Lifepath 2030 Barclays Global Investors DFE: Common/Collective Trust $183,955,854
Us Tips Fund K Barclay Global Investors DFE: Common/Collective Trust $93,497,050
Lifepath 2040 Barclays Global Investors DFE: Common/Collective Trust $70,309,168
Collective Short Term Inv Fund The Northern Trust DFE: Common/Collective Trust $55,677,771
Daily Russell 2000 The Northern Trust Company DFE: Common/Collective Trust $42,983,457
Lifepath 2010 Barclay Global Investors DFE: Common/Collective Trust $0
Lifepath 2000 Barclays Global Investors DFE: Common/Collective Trust $0
Collective Short Term The Northern Trust DFE: Common/Collective Trust $0
Total $2,126,424,644

Insurance Information

Insurance Information

There are no insurance carriers listed for this plan.