Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the...

212
Form 5500 Department of the Treasury Internal Revenue Service Department of Labor Employee Benefits Security Administration Pension Benefit Guaranty Corporation Annual Return/Report of Employee Benefit Plan This form is required to be filed for employee benefit plans under sections 104 and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and sections 6057(b) and 6058(a) of the Internal Revenue Code (the Code). Complete all entries in accordance with the instructions to the Form 5500. OMB Nos. 1210-0110 1210-0089 2016 This Form is Open to Public Inspection Part I Annual Report Identification Information For calendar plan year 2016 or fiscal plan year beginning and ending A This return/report is for: X a multiemployer plan X a multiple-employer plan (Filers checking this box must attach a list of participating employer information in accordance with the form instructions.) X a single-employer plan X a DFE (specify) _C_ B This return/report is: X the first return/report X the final return/report X an amended return/report X a short plan year return/report (less than 12 months) C If the plan is a collectively-bargained plan, check here. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X D Check box if filing under: X Form 5558 X automatic extension X the DFVC program X special extension (enter description) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Part II Basic Plan Informationenter all requested information 1a Name of plan ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1b Three-digit plan number (PN) 001 1c Effective date of plan YYYY-MM-DD 2a Plan sponsor’s name (employer, if for a single-employer plan) Mailing address (include room, apt., suite no. and street, or P.O. Box) City or town, state or province, country, and ZIP or foreign postal code (if foreign, see instructions) 2b Employer Identification Number (EIN) 012345678 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI D/B/A ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c/o ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 ABCDEFGHI ABCDEFGHI ABCDE 123456789 ABCDEFGHI ABCDEFGHI ABCDE CITYEFGHI ABCDEFGHI AB, ST 012345678901 UK 2c Plan Sponsor’s telephone number 0123456789 2d Business code (see instructions) 012345 Caution: A penalty for the late or incomplete filing of this return/report will be assessed unless reasonable cause is established. Under penalties of perjury and other penalties set forth in the instructions, I declare that I have examined this return/report, including accompanying schedules, statements and attachments, as well as the electronic version of this return/report, and to the best of my knowledge and belief, it is true, correct, and complete. SIGN HERE YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Signature of plan administrator Date Enter name of individual signing as plan administrator SIGN HERE YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Signature of employer/plan sponsor Date Enter name of individual signing as employer or plan sponsor SIGN HERE YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Signature of DFE Date Enter name of individual signing as DFE Preparer’s name (including firm name, if applicable) and address (include room or suite number) ABCDEFGHI Preparer’s telephone number For Paperwork Reduction Act Notice, see the Instructions for Form 5500. Form 5500 (2016) v. 160205 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN X 07/01/2016 2121 K STREET N.W. SUITE 350 WASHINGTON, DC 20037-1879 UMWA 1974 PENSION TRUST BOARD OF TRUSTEES X Filed with authorized/valid electronic signature. X 12/06/1974 800-291-1425 06/30/2017 52-1050282 03/26/2018 002 525920 MICHAEL H. HOLLAND

Transcript of Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the...

Page 1: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Form 5500

Department of the Treasury Internal Revenue Service

Department of Labor Employee Benefits Security

Administration

Pension Benefit Guaranty Corporation

Annual Return/Report of Employee Benefit Plan This form is required to be filed for employee benefit plans under sections 104

and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and sections 6057(b) and 6058(a) of the Internal Revenue Code (the Code).

Complete all entries in accordance with the instructions to the Form 5500.

OMB Nos. 1210-0110 1210-0089

2016

This Form is Open to Public Inspection

Part I Annual Report Identification Information For calendar plan year 2016 or fiscal plan year beginning and ending

A This return/report is for: X a multiemployer plan X a multiple-employer plan (Filers checking this box must attach a list of

participating employer information in accordance with the form instructions.)

X a single-employer plan X a DFE (specify) _C_

B This return/report is: X the first return/report X the final return/report

X an amended return/report X a short plan year return/report (less than 12 months)

C If the plan is a collectively-bargained plan, check here. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X

D Check box if filing under: X Form 5558 X automatic extension X the DFVC program

X special extension (enter description) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

Part II Basic Plan Information—enter all requested information

1a Name of plan

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

1b Three-digit plan

number (PN) 001

1c Effective date of plan

YYYY-MM-DD

2a Plan sponsor’s name (employer, if for a single-employer plan)

Mailing address (include room, apt., suite no. and street, or P.O. Box) City or town, state or province, country, and ZIP or foreign postal code (if foreign, see instructions)

2b Employer Identification

Number (EIN)

012345678

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

D/B/A ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c/o ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

123456789 ABCDEFGHI ABCDEFGHI ABCDE

123456789 ABCDEFGHI ABCDEFGHI ABCDE

CITYEFGHI ABCDEFGHI AB, ST 012345678901

UK

2c Plan Sponsor’s telephone

number

0123456789

2d Business code (see

instructions)

012345

Caution: A penalty for the late or incomplete filing of this return/report will be assessed unless reasonable cause is established.

Under penalties of perjury and other penalties set forth in the instructions, I declare that I have examined this return/report, including accompanying schedules, statements and attachments, as well as the electronic version of this return/report, and to the best of my knowledge and belief, it is true, correct, and complete.

SIGN HERE

YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

Signature of plan administrator Date Enter name of individual signing as plan administrator

SIGN HERE

YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

Signature of employer/plan sponsor Date Enter name of individual signing as employer or plan sponsor

SIGN HERE

YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

Signature of DFE Date Enter name of individual signing as DFE

Preparer’s name (including firm name, if applicable) and address (include room or suite number) ABCDEFGHI Preparer’s telephone number

For Paperwork Reduction Act Notice, see the Instructions for Form 5500. Form 5500 (2016) v. 160205

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

X

07/01/2016

2121 K STREET N.W. SUITE 350WASHINGTON, DC 20037-1879

UMWA 1974 PENSION TRUST BOARD OF TRUSTEES

X

Filed with authorized/valid electronic signature.

X

12/06/1974

800-291-1425

06/30/2017

52-1050282

03/26/2018

002

525920

MICHAEL H. HOLLAND

Page 2: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Form 5500 (2016) Page 2

3a Plan administrator’s name and address X Same as Plan Sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

c/o ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

123456789 ABCDEFGHI ABCDEFGHI ABCDE

123456789 ABCDEFGHI ABCDEFGHI ABCDE

CITYEFGHI ABCDEFGHI AB, ST 012345678901

UK

3b Administrator’s EIN

012345678

3c Administrator’s telephone

number

0123456789

4 If the name and/or EIN of the plan sponsor has changed since the last return/report filed for this plan, enter the name,

EIN and the plan number from the last return/report: 4b EIN

012345678

a Sponsor’s name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

4c PN

012

5 Total number of participants at the beginning of the plan year 5 123456789012

6 Number of participants as of the end of the plan year unless otherwise stated (welfare plans complete only lines 6a(1),

6a(2), 6b, 6c, and 6d).

a(1) Total number of active participants at the beginning of the plan year................................................................................ 6a(1)

a(2) Total number of active participants at the end of the plan year ....................................................................................... 6a(2)

b Retired or separated participants receiving benefits ............................................................................................................. 6b 123456789012

c Other retired or separated participants entitled to future benefits ......................................................................................... 6c 123456789012

d Subtotal. Add lines 6a(2), 6b, and 6c. .................................................................................................................................. 6d 123456789012

e Deceased participants whose beneficiaries are receiving or are entitled to receive benefits. ............................................... 6e 123456789012

f Total. Add lines 6d and 6e. ................................................................................................................................................. 6f 123456789012

g Number of participants with account balances as of the end of the plan year (only defined contribution plans

complete this item) .............................................................................................................................................................. 6g 123456789012 h Number of participants that terminated employment during the plan year with accrued benefits that were

less than 100% vested ........................................................................................................................................................ 6h 123456789012

7 Enter the total number of employers obligated to contribute to the plan (only multiemployer plans complete this item) ........ 7

8a If the plan provides pension benefits, enter the applicable pension feature codes from the List of Plan Characteristics Codes in the instructions:

b If the plan provides welfare benefits, enter the applicable welfare feature codes from the List of Plan Characteristics Codes in the instructions:

9a Plan funding arrangement (check all that apply) 9b Plan benefit arrangement (check all that apply)

(1) X Insurance (1) X Insurance

(2) X Code section 412(e)(3) insurance contracts (2) X Code section 412(e)(3) insurance contracts

(3) X Trust (3) X Trust

(4) X General assets of the sponsor (4) X General assets of the sponsor

10 Check all applicable boxes in 10a and 10b to indicate which schedules are attached, and, where indicated, enter the number attached. (See instructions)

a Pension Schedules b General Schedules

(1) X R (Retirement Plan Information)

(1) X H (Financial Information)

(2) X MB (Multiemployer Defined Benefit Plan and Certain Money

Purchase Plan Actuarial Information) - signed by the plan actuary

(2) X I (Financial Information – Small Plan)

(3) X ___ A (Insurance Information)

(4) X C (Service Provider Information)

(3) X SB (Single-Employer Defined Benefit Plan Actuarial

Information) - signed by the plan actuary

(5) X D (DFE/Participating Plan Information)

(6) X G (Financial Transaction Schedules)

X

41

6264

X X

69675

26315

X

95990

X

X

X

6084

59925

99758

3486

1B

X

Page 3: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Form 5500 (2016) Page 3

Part III Form M-1 Compliance Information (to be completed by welfare benefit plans)

11a If the plan provides welfare benefits, was the plan subject to the Form M-1 filing requirements during the plan year? (See instructions and 29 CFR

2520.101-2.) ........................………..…. X Yes X No

If “Yes” is checked, complete lines 11b and 11c.

11b Is the plan currently in compliance with the Form M-1 filing requirements? (See instructions and 29 CFR 2520.101-2.) ……..... X Yes X No

11c Enter the Receipt Confirmation Code for the 2016 Form M-1 annual report. If the plan was not required to file the 2016 Form M-1 annual report, enter the

Receipt Confirmation Code for the most recent Form M-1 that was required to be filed under the Form M-1 filing requirements. (Failure to enter a valid Receipt Confirmation Code will subject the Form 5500 filing to rejection as incomplete.)

Receipt Confirmation Code______________________

Page 4: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

SCHEDULE MB

(Form 5500)

Department of the Treasury Internal Revenue Service

Department of Labor Employee Benefits Security Administration

Pension Benefit Guaranty Corporation

Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information

This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA) and section 6059 of the

Internal Revenue Code (the Code).

File as an attachment to Form 5500 or 5500-SF.

OMB No. 1210-0110

2016

This Form is Open to Public Inspection

For calendar plan year 2016 or fiscal plan year beginning and ending

Round off amounts to nearest dollar.

Caution: A penalty of $1,000 will be assessed for late filing of this report unless reasonable cause is established. A Name of plan

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

B Three-digit

plan number (PN) 001

C Plan sponsor’s name as shown on line 2a of Form 5500 or 5500-SF

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

D Employer Identification Number (EIN)

012345678

E Type of plan: (1) X Multiemployer Defined Benefit (2) X Money Purchase (see instructions)

1a Enter the valuation date: Month _________ Day _________ Year _________

b Assets

(1) Current value of assets ..................................................................................................................... 1b(1)

(2) Actuarial value of assets for funding standard account ...................................................................... 1b(2)

c (1) Accrued liability for plan using immediate gain methods .................................................................... 1c(1)

(2) Information for plans using spread gain methods:

(a) Unfunded liability for methods with bases ................................................................................... 1c(2)(a) -123456789012345

(b) Accrued liability under entry age normal method ......................................................................... 1c(2)(b) -123456789012345

(c) Normal cost under entry age normal method ............................................................................... 1c(2)(c) -123456789012345

(3) Accrued liability under unit credit cost method ................................................................................... 1c(3) -123456789012345

d Information on current liabilities of the plan:

(1) Amount excluded from current liability attributable to pre-participation service (see instructions) ....... 1d(1) -123456789012345

(2) “RPA ‘94” information:

(a) Current liability ............................................................................................................................ 1d(2)(a) -123456789012345

(b) Expected increase in current liability due to benefits accruing during the plan year ..................... 1d(2)(b) -123456789012345

(c) Expected release from “RPA ‘94” current liability for the plan year .............................................. 1d(2)(c) -123456789012345

(3) Expected plan disbursements for the plan year ................................................................................. 1d(3) -123456789012345

Statement by Enrolled Actuary To the best of my knowledge, the information supplied in this schedule and accompanying schedules, statements and attachments, if any, is complete and accurate. Each prescribed assumption was applied

in accordance with applicable law and regulations. In my opinion, each other assumption is reasonable (taking into account the experience of the plan and reasonable expectations) and such other assumptions, in combination, offer my best estimate of anticipated experience under the plan.

SIGN HERE

Signature of actuary Date

Type or print name of actuary Most recent enrollment number

Firm name Telephone number (including area code)

123456789 ABCDEFGHI ABCDEFGHI ABCDE

123456789 ABCDEFGHI ABCDEFGHI ABCDE

UK

Address of the firm

If the actuary has not fully reflected any regulation or ruling promulgated under the statute in completing this schedule, check the box and see instructions

X

For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205

609275952

07

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

X

614-264-4762

3140357000

17-03137

3623831610

002

01

07/01/2016

6150444696

11590 N. MERIDIAN STREET, SUITE 610, CARMEL, IN 46032-4529

01/10/2018

UNITED ACTUARIAL SERVICES, INC.

UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 52-1050282

25302660

06/30/2017

9469205752

6150444696

618963440

2016

WILLIAM J. RUSCHAU, FSA, EA, MAAA

Page 5: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule MB (Form 5500) 2016 Page 2 - 1- x 2 Operational information as of beginning of this plan year: a Current value of assets (see instructions)

2a -123456789012345

b “RPA ‘94” current liability/participant count breakdown: (1) Number of participants (2) Current liability (1) For retired participants and beneficiaries receiving payment ................................... 12345678 -123456789012345 (2) For terminated vested participants .......................................................................... 12345678 -123456789012345 (3) For active participants: (a) Non-vested benefits ......................................................................................... -123456789012345 (b) Vested benefits ................................................................................................ -123456789012345 (c) Total active ...................................................................................................... -123456789012345 (4) Total ....................................................................................................................... 12345678 -123456789012345 c If the percentage resulting from dividing line 2a by line 2b(4), column (2), is less than 70%, enter such

percentage .......................................................................................................................................................... 2c 123.12%

3 Contributions made to the plan for the plan year by employer(s) and employees: (a) Date

(MM-DD-YYYY) (b) Amount paid by

employer(s) (c) Amount paid by

employees (a) Date

(MM-DD-YYYY) (b) Amount paid by

employer(s) c) Amount paid by

employees

Totals ► 3(b) 3(c)

4 Information on plan status: a Funded percentage for monitoring plan’s status (line 1b(2) divided by line 1c(3)) .............................................. 4a %

b Enter code to indicate plan’s status (see instructions for attachment of supporting evidence of plan’s status). If code is “N,” go to line 5 ……………………………………………………………………………………………….. 4b

c Is the plan making the scheduled progress under any applicable funding improvement or rehabilitation plan?.............................................................. X Yes X No

d If the plan is in critical status or critical and declining status, were any benefits reduced (see instructions)? ................................................. X Yes X No

e If line d is “Yes,” enter the reduction in liability resulting from the reduction in benefits (see instructions), measured as of the valuation date ....................................................................................................................

4e -123456789012345

f If the rehabilitation plan projects emergence from critical status or critical and declining status, enter the plan year in which it is projected to emerge.

If the rehabilitation plan is based on forestalling possible insolvency, enter the plan year in which insolvency is expected and check here …………………………….......................................................................................

4f

5 Actuarial cost method used as the basis for this plan year’s funding standard account computations (check all that apply): a X Attained age normal e X Frozen initial liability

b X Entry age normal f X Individual level premium

c X Accrued benefit (unit credit) g X Individual aggregate

d X Aggregate h X Shortfall

i X Other (specify):________________________________________________________________________________ ________________________________________________________________________________ j If box h is checked, enter period of use of shortfall method ............................................................................... 5j YYYY-MM-DD

k Has a change been made in funding method for this plan year? ................................................................................................................... X Yes X No

l If line k is “Yes,” was the change made pursuant to Revenue Procedure 2000-40 or other automatic approval? .......................................... X Yes X No

m If line k is “Yes,” and line l is “No,” enter the date (MM-DD-YYYY) of the ruling letter (individual or class) approving the change in funding method ...........................................................................................................

5m YYYY-MM-DD

X

3140357000

D

2022

19347247

X

7077

1

0

706856854

33.16

2228614

X

2595393

2106393

1991615

1918615

7192393

2770393

2422393

5370

1870393

31326000

03/15/2017

04/15/2017

1977393

2157392

01/15/2017 2095013

02/15/2017

9469205752

07/15/2017

06/15/2017

05/15/2017

88272 8236471290

58.9

X

687509607

X

100719

08/15/2016

10/15/2016

09/15/2016

12/15/2016

11/15/2016

525877608

Page 6: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule MB (Form 5500) 2016 Page 3 - 1- x

6 Checklist of certain actuarial assumptions:

a Interest rate for “RPA ‘94” current liability. ................................................................................................................................

6a 123.12%

Pre-retirement Post-retirement

b Rates specified in insurance or annuity contracts .................................... X Yes X No X N/A X Yes X No X N/A

c Mortality table code for valuation purposes:

(1) Males ................................................................................. 6c(1)

(2) Females ............................................................................. 6c(2)

d Valuation liability interest rate ................................................... 6d 123.12% 123.12%

e Expense loading ....................................................................... 6e 123.12% X N/A 123.12% X N/A

f Salary scale ............................................................................. 6f 123.12% X N/A

g Estimated investment return on actuarial value of assets for year ending on the valuation date ................. 6g -123.1%

h Estimated investment return on current value of assets for year ending on the valuation date .................... 6h -123.1%

7 New amortization bases established in the current plan year:

(1) Type of base (2) Initial balance (3) Amortization Charge/Credit

A -123456789012345 -123456789012345

A -123456789012345 -123456789012345

A -123456789012345 -123456789012345

8 Miscellaneous information:

a If a waiver of a funding deficiency has been approved for this plan year, enter the date (MM-DD-YYYY) of

the ruling letter granting the approval ......................................................................................................... 8a

YYYY-MM-DD

b(1) Is the plan required to provide a projection of expected benefit payments? (See the instructions.) If “Yes,”

attach a schedule. .................................................................................................................................................. X Yes X No

b(2) Is the plan required to provide a Schedule of Active Participant Data? (See the instructions.) If “Yes,” attach a

schedule. .............................................................................................................................................................. X Yes X No

c Are any of the plan’s amortization bases operating under an extension of time under section 412(e) (as in effect

prior to 2008) or section 431(d) of the Code? ............................................................................................................ . X Yes X No

d If line c is “Yes,” provide the following additional information:

(1) Was an extension granted automatic approval under section 431(d)(1) of the Code? .......................... X Yes X No

(2) If line 8d(1) is “Yes,” enter the number of years by which the amortization period was extended .......... 8d(2) 12

(3) Was an extension approved by the Internal Revenue Service under section 412(e) (as in effect prior to 2008) or 431(d)(2) of the Code? ....................................................................................................... X Yes X No

(4) If line 8d(3) is “Yes,” enter number of years by which the amortization period was extended (not including the number of years in line (2)) ..............................................................................................

8d(4) 12

(5) If line 8d(3) is “Yes,” enter the date of the ruling letter approving the extension .................................... 8d(5) YYYY-MM-DD

(6) If line 8d(3) is “Yes,” is the amortization base eligible for amortization using interest rates applicable under section 6621(b) of the Code for years beginning after 2007? ................................................................................ X Yes X No

e If box 5h is checked or line 8c is “Yes,” enter the difference between the minimum required contribution

for the year and the minimum that would have been required without using the shortfall method or extending the amortization base(s) .............................................................................................................

8e

-123456789012345

9 Funding standard account statement for this plan year:

Charges to funding standard account:

a Prior year funding deficiency, if any ............................................................................................................ 9a -123456789012345

b Employer’s normal cost for plan year as of valuation date .......................................................................... 9b -123456789012345

c Amortization charges as of valuation date: Outstanding balance

(1) All bases except funding waivers and certain bases for which the amortization period has been extended..........................................

9c(1) -123456789012345 -123456789012345

(2) Funding waivers ............................................................................. 9c(2) -123456789012345 -123456789012345

(3) Certain bases for which the amortization period has been extended ........................................................................................

9c(3) -123456789012345 -123456789012345

d Interest as applicable on lines 9a, 9b, and 9c ............................................................................................. 9d -123456789012345

e Total charges. Add lines 9a through 9d ...................................................................................................... 9e -123456789012345

11P+2

21762255

0

12800330

4P-3

X

209262484

69.9

123086000

1

1

X

35197545

7.25

3.18

0

X

4

0

0

828731937

0

56021509

11P+1

4.4

4P-3

-0.4

7375128834395482761

X

X

X

X

7.25

Page 7: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule MB (Form 5500) 2016 Page 4

Credits to funding standard account:

f Prior year credit balance, if any .................................................................................................................. 9f -123456789012345

g Employer contributions. Total from column (b) of line 3 .............................................................................. 9g -123456789012345

Outstanding balance

h Amortization credits as of valuation date ............................................. 9h -123456789012345 -123456789012345

i Interest as applicable to end of plan year on lines 9f, 9g, and 9h ................................................................ 9i -123456789012345

j Full funding limitation (FFL) and credits:

(1) ERISA FFL (accrued liability FFL)........................................................ 9j(1) -123456789012345

(2) “RPA ‘94” override (90% current liability FFL) ..................................... 9j(2) -123456789012345

(3) FFL credit ........................................................................................................................................... 9j(3) -123456789012345

k (1) Waived funding deficiency .................................................................................................................. 9k(1) -123456789012345

(2) Other credits ....................................................................................................................................... 9k(2) -123456789012345

l Total credits. Add lines 9f through 9i, 9j(3), 9k(1), and 9k(2) ....................................................................... 9l -123456789012345

m Credit balance: If line 9l is greater than line 9e, enter the difference ........................................................... 9m -123456789012345

n Funding deficiency: If line 9e is greater than line 9l, enter the difference..................................................... 9n -123456789012345

9 o Current year’s accumulated reconciliation account:

(1) Due to waived funding deficiency accumulated prior to the 2016 plan year......................................... 9o(1) -123456789012345

(2) Due to amortization bases extended and amortized using the interest rate under section 6621(b) of the Code:

(a) Reconciliation outstanding balance as of valuation date ............................................................... 9o(2)(a) -123456789012345

(b) Reconciliation amount (line 9c(3) balance minus line 9o(2)(a)) ..................................................... 9o(2)(b) -123456789012345

(3) Total as of valuation date .................................................................................................................... 9o(3) -123456789012345

10 Contribution necessary to avoid an accumulated funding deficiency. (See instructions.) ............................ 10 -123456789012345

11 Has a change been made in the actuarial assumptions for the current plan year? If “Yes,” see instructions. ............... .. X Yes X No

0

315945193

71830079

3976957325

662803326

0

5033263448

1081904598

31326000

0

253172661

0

0

0

X

1206066349

0

0

Page 8: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2011 Page 1

SCHEDULE C

(Form 5500)

Department of the Treasury Internal Revenue Service

Department of Labor Employee Benefits Security Administration

Pension Benefit Guaranty Corporation

Service Provider Information

This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA).

File as an attachment to Form 5500.

OMB No. 1210-0110

2016

This Form is Open to Public Inspection.

For calendar plan year 2016 or fiscal plan year beginning and ending

A Name of plan

ABCDEFGHI

B Three-digit

plan number (PN) 001

C Plan sponsor’s name as shown on line 2a of Form 5500

ABCDEFGHI

D Employer Identification Number (EIN)

012345678

Part I Service Provider Information (see instructions) You must complete this Part, in accordance with the instructions, to report the information required for each person who received, directly or indirectly, $5,000 or more in total compensation (i.e., money or anything else of monetary value) in connection with services rendered to the plan or the person's position with the plan during the plan year. If a person received only eligible indirect compensation for which the plan received the required disclosures, you are required to answer line 1 but are not required to include that person when completing the remainder of this Part.

1 Information on Persons Receiving Only Eligible Indirect Compensation a Check "Yes" or "No" to indicate whether you are excluding a person from the remainder of this Part because they received only eligible

indirect compensation for which the plan received the required disclosures (see instructions for definitions and conditions).. . . . . . . . . . . . . . . X Yes X No

b If you answered line 1a “Yes,” enter the name and EIN or address of each person providing the required disclosures for the service providers who

received only eligible indirect compensation. Complete as many entries as needed (see instructions).

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

For Paperwork Reduction Act Notice, see the Instructions for Form 5500. Schedule C (Form 5500) 2016 v.160205

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

GRANTHAM,MAYO,VAN OTTERLOO & CO LLC

06/30/2017

04-3568347

20-3929631

52-1050282

CHARTERHOUSE CAPITAL PARTNERS LLP

X

BRIDGEWATER ASSOCIATES, LP

07/01/2016

KTR CAPITAL PARTNERS

002

ONE GLENDINNING PLACEWESTPORT, CT 06880

7TH FLOOR WARRICK COURT PATERNOSTER SQUARELONDON, ENGLAND EC4M7DX GB

UMWA 1974 PENSION TRUST BOARD OF TRUSTEES

Page 9: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 2- 1 x

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

SNOW PHIPPS GROUP, LLC

K2D & S MANAGEMENT CO., LLC

86-1154144

THE VANGUARD GROUP, INC

94-3205364

27-1459361

HARVEST PARTNERS V, LP

HARVEST ADVISORS V, LLC

SV LIFE SCIENCES ADVISERS, LLC

20-8031906

23-1945930

13-3970786

20-4202660

BLUM CAPITAL PARTNERS, LP

20-2706360

MADISON INTERNATIONAL REALTY

1

Page 10: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 2- 1 x

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

CLP 2014-LT LP

CLP 2014-A LP

13-3967414

CAPITAL INTERNATIONAL, INC.

98-0533178

27-3203566

CLP 2014-B LP

KOHLBERG & CO., LLC

AQR CAPITAL MANAGEMENT LLC

13-3850539

95-4154361

47-2538349

47-2551206

PHOENIX EQUITY PARTNERS 2006 FUND A

47-2527054

QS INVESTORS, LLC

2

Page 11: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 2- 1 x

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation

WELLSPRING CAPITAL MANAGEMENT LLC

THOMAS, MCNERNEY & PARTNERS LP

TERRA FIRMA CAPITAL PARTNERS LIMITE 2 MORE LONDON RIVERSIDELONDON, ENGLAND SE12AP GB

390 PARK AVENUENEW YORK, NY 10022

ONE STAMFORD PLAZASTAMFORD, CT 06901

3

Page 12: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

29 50

10 15 25 2728 29 30 3649 50

19 50

JP MORGAN INVESTMENT MANAGEMENT INC

52-6150908

NONE

NONE

13-3200244

EMPLOYEES

23-0891050

X

1

X

X

MORGAN LEWIS & BOCKIUS LLP

1974 PENSION TRUST

1272627

2774878

7586716

Page 13: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

29 50

29 50

27 28 50 51

UBS GLOBAL ASSET MANANGEMENT

71-0914820

NONE

NONE

36-3718331

NONE

04-3661951

X

2

X

X

PROTIVITI INC

DENTON CANADA LLP

1028074

1095442

1231680

Page 14: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

28 51 21 2427 50 52

29 50

19 65 72 99

NORTHERN TRUST COMPANY THE

52-1182494

NONE

NONE

36-1561860

NONE

X

94-3112180

X

3

X

X

BLACKROCK INST TRUST CO NA

MOONEY GREEN SAINDON

0

685665

903932

X

922324

Page 15: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

28 50 51

28 50

19 28 50 5152 68 99

STATE STREET BANK & TRUST CO

X

58-1707262

NONE

NONE

04-1867445

NONE

22-2370029

X

4

X

DIMENSIONAL FUND ADVISORS LP

INVESCO CAPITAL MANAGEMENT

X

0370212

379552

X

431019

Page 16: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

28 50 51

28 50 51

28 50 51

ARGUS INV COUNSEL INC

01-0614895

NONE

NONE

13-1931123

NONE

23-2772200

X

5

X

X

LSV ASSET MANAGEMENT

INTECH INVESTMENT MANAGEMENT LLC

230175

276001

360325

Page 17: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

28 50 51

49 50

28 50 51

GOLDMAN SACHS ASSET MANAGEMENT

47-0751768

NONE

NONE

13-3575636

NONE

75-2403190

X

6

X

X

BARROW HANLEY MEWHINNEY & STRAUSS L

VERIZON

202150

214454

226440

Page 18: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

27 28 50 51

10 50

29 50

AMERICAN ARBITRATION ASSOC

22-2027092

NONE

NONE

13-0429745

NONE

33-0123114

X

7

X

X

AMERICAN REALTY ADVISORS

WITHUMSMITHBROWN P.C.

148950

192131

195044

Page 19: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

11 50

28 50 51

20 50

1974 PENSION TRUST

04-3200030

TRUSTEES

NONE

52-6150908

NONE

X

35-2156428

X

8

X

X

UNITED ACTUARIAL SERVICES INC

LOOMIS SAYLES

133690

141222

X

148439 0

Page 20: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

72 50

28 50 51

T ROWE PRICE STABLE ASSET MGMT INC

13-3417984

NONE

NONE

52-0556948

NONE

52-0975591

X

9

X

X

KELLY PRESS INC

BLOOMBERG FINANCE LP

91342

102432

121603

Page 21: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

28 50 51

49 50

INSIGHT DIRECT USA INC

13-3379970

NONE

NONE

36-3948996

NONE

91-1144442

X

10

X

X

MICROSOFT CORPORATION

CLARION PARTNERS

62083

74636

81043

Page 22: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

16 29 49 50

11 50

49 50

SOVO COMPLIANCE LLC

91-0675641

NONE

NONE

46-1379693

NONE

X

11

X

X

600 BOURKE STREET LEVEL 50MELBOURNE, AUSTRALIA 3000 VI

KING & WOOD MALLESONS

MILLIMAN INC

55460

59036

59945

Page 23: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

11 50

22 50

49 50

DATABANK IMX INC

36-1436000

NONE

NONE

52-1729143

NONE

X

12

X

X

DBA ETHAN E. KRA ACRTUARIAL SERVS26 SWAYZE STREETWEST ORANGE, NJ 07052-2026

KRA ETHAN E

MARSH USA INC

48691

49496

55321

Page 24: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

16 50

72 50

29 50

SUMMERS COMPTON WELLS

22-3693659

NONE

NONE

46-3084251

NONE

X

13

X

X

7826 ORCHID STREETWASHINGTON, DC 20012

MAZO JUDITH F

BURGISS GROUP LLC THE

42243

42750

44530

Page 25: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

29 50

72 50

WILSHIRE ASSOCIATES INC

52-1212890

NONE

NONE

95-2755361

NONE

77-0440621

X

14

X

X

CISCO SYSTEMS CAPITAL CORP IN

MILLER & CHEVALIER

35177

36299

38343

Page 26: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

16 50

49 50

16 50

AON CONSULTING INC

20-5093831

NONE

NONE

22-2232264

NONE

X

15

X

X

1111 EAST CAPITAL STREETWASHINGTON, DC 20003

ALLEN DAVID W

VONAGE BUSINESS

33383

33900

34703

Page 27: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

49 50

15 16 50

ASCENTIS

74-2947183

NONE

NONE

91-1630801

NONE

53-0191325

X

16

X

X

DOYLE PRINTING & OFFSET CO IN

BLACKBAUD FUNDWARE

29582

30372

31728

Page 28: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

16 29 49

49 50

19 65 72 9950

GLOBAL TRADING ANALYTICS

52-1471842

NONE

NONE

20-2368007

NONE

04-3515240

X

17

X

X

CAMBRIDGE ASSOCIATES

LEXIS NEXIS

25000

25000

27510

Page 29: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

29 50

16 50

49 50

C I T

NONE

NONE

04-2547678

NONE

54-1740922

X

18

PO BOX 4567STNA, TORONTO M5WOJ1 OM

X

X

CROWLEY LIBERATORE RYAN & BROG

DELOITTE MANAGEMENT SERVICES L

17094

19733

22151

Page 30: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

49 50

49 50

K & R INDUSTRIES

26-2521148

NONE

NONE

54-1490546

NONE

84-1256502

X

19

X

X

HEAT SOFTWARE USA INC

AUTOMON LLC

15428

16212

17091

Page 31: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

49 50

49 50

EIQ NETWORKS INC

NONE

NONE

41-2096085

NONE

47-2563621

X

20

PO BOX 7247-0244PHILADEPHIA, PA 19170-0001

X

X

KAUFMAN HALL & ASSOC LLC

UNITED PARCEL SERVICE INC

13620

14552

14996

Page 32: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

29 50

50 72

49 50

ALLIED TELECOM GROUP LLC

20-4530702

NONE

NONE

52-1738021

NONE

31-4373657

X

21

X

X

PORTER WRIGHT MORRIS & ARTHU

THOMSON REUTERS (MARKET) LLC

12599

12730

13500

Page 33: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

16 50

49 50

AT&T

NONE

NONE

13-4924710

NONE

52-0913097

X

22

1308 STAMFORD WAYRESTON, VA 20194

X

X

NMS IMAGING INC

SOKOLOW JONATHAN

12353

12447

12478

Page 34: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

29 50

49 50

PROTRAK INTERNATIONAL INC

NONE

NONE

13-3458861

NONE

52-2056410

X

23

PO BOX 5779TAKOMA PARK, MD 20913

X

X

CEB INC

STRONGIN ANDREW M ESQ

11564

11592

12000

Page 35: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

15 50

49 50

49 50

XIOTECH CORP

77-0548319

NONE

NONE

52-1668212

NONE

23-1580985

X

24

X

X

AUTOMATIC DATA PROCESSING INC

WEBEX CISCO LLC

8002

8856

11330

Page 36: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

16 29 49 50

16 50

MCLAGAN PARTNERS INC

22-2232264

NONE

NONE

13-3975524

NONE

46-0525483

X

25

X

X

XPEDITE SYSTEMS LLC

HEWITT ASSOCIATES LLC

7500

7803

7966

Page 37: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

15 50

49 50

72 50

THOMSON WEST

30-0596329

NONE

NONE

75-1297386

NONE

94-3389460

X

26

X

X

LIFE STATUS 360 LLC

BASSWARE TECHNOLOGIES LLC

6731

6961

7428

Page 38: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

49 50

49 50

EATON ELECTRICAL INC

76-0662481

NONE

NONE

34-0196300

NONE

36-3580100

X

27

X

X

BELL & HOWELL LLC

IDERA INC

6157

6367

6409

Page 39: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

16 49 50

49 50

49 50

INFOLOCK TECHNOLOGIES LLC

59-2798492

NONE

NONE

73-1724401

NONE

X

28

X

X

10882 FINSBURY ALYWALDORF, MD 20603

SHORTER MICHAEL

ROSETTA TECHNOLOGIES CORPORATI

5580

5709

5983

Page 40: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

49 50

49 50

AUTOSCRIBE CORPORATION

NONE

NONE

52-1731666

NONE

41-1960004

X

29

1011 WESTERN AVE SW700SEATTLE, WA 98104

X

X

SHAVLIK TECHNOLOGIES

LANDESK SOFTWARE

5503

5555

5555

Page 41: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 3 - 1 x

2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you

answered “Yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation

(i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions).

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345

Yes X No X Yes X No X

123456789012345

Yes X No X

(a) Enter name and EIN or address (see instructions)

(b) Service Code(s)

(c) Relationship to

employer, employee organization, or

person known to be a party-in-interest

(d) Enter direct

compensation paid by the plan. If none,

enter -0-.

(e) Did service provider

receive indirect compensation? (sources other than plan or plan

sponsor)

(f) Did indirect compensation

include eligible indirect compensation, for which the plan received the required

disclosures?

(g) Enter total indirect

compensation received by service provider excluding

eligible indirect compensation for which you answered “Yes” to element

(f). If none, enter -0-.

(h) Did the service

provider give you a formula instead of

an amount or estimated amount?

ABCDEFGHI

ABCDEFGHI

ABCD

123456789012

345 Yes X No X Yes X No X

Yes X No X

49 50

43-1869684

NONE

X

30

KNOWLEDGELAKE INC

5261

Page 42: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 4 - 1 x

Part I Service Provider Information (continued)

3. If you reported on line 2 receipt of indirect compensation, other than eligible indirect compensation, by a service provider, and the service provider is a fiduciary

or provides contract administrator, consulting, custodial, investment advisory, investment management, broker, or recordkeeping services, answer the following questions for (a) each source from whom the service provider received $1,000 or more in indirect compensation and (b) each source for whom the service provider gave you a formula used to determine the indirect compensation instead of an amount or estimated amount of the indirect compensation. Complete as many entries as needed to report the required information for each source.

(a) Enter service provider name as it appears on line 2 (b) Service Codes

(see instructions)

(c) Enter amount of indirect

compensation

(d) Enter name and EIN (address) of source of indirect compensation (e) Describe the indirect compensation, including any

formula used to determine the service provider’s eligibility for or the amount of the indirect compensation.

(a) Enter service provider name as it appears on line 2 (b) Service Codes

(see instructions)

(c) Enter amount of indirect

compensation

(d) Enter name and EIN (address) of source of indirect compensation (e) Describe the indirect compensation, including any

formula used to determine the service provider’s eligibility for or the amount of the indirect compensation.

(a) Enter service provider name as it appears on line 2 (b) Service Codes

(see instructions)

(c) Enter amount of indirect

compensation

(d) Enter name and EIN (address) of source of indirect compensation (e) Describe the indirect compensation, including any

formula used to determine the service provider’s eligibility for or the amount of the indirect compensation.

1

Page 43: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 5 - 1 x

Part II Service Providers Who Fail or Refuse to Provide Information

4 Provide, to the extent possible, the following information for each service provider who failed or refused to provide the information necessary to complete

this Schedule.

(a) Enter name and EIN or address of service provider (see

instructions)

(b) Nature of

Service Code(s)

(c) Describe the information that the service provider failed or refused to

provide

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 10 11

12 13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

1234567890

(a) Enter name and EIN or address of service provider (see

instructions) (b) Nature of

Service Code(s)

(c) Describe the information that the service provider failed or refused to

provide

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 10 11

12 13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

1234567890

(a) Enter name and EIN or address of service provider (see

instructions) (b) Nature of

Service Code(s)

(c) Describe the information that the service provider failed or refused to

provide

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 10 11 12

13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

1234567890

(a) Enter name and EIN or address of service provider (see

instructions) (b) Nature of

Service Code(s)

(c) Describe the information that the service provider failed or refused to

provide

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 10 11 12

13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

1234567890

(a) Enter name and EIN or address of service provider (see

instructions) (b) Nature of

Service Code(s)

(c) Describe the information that the service provider failed or refused to

provide

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 10 11 12

13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

1234567890

(a) Enter name and EIN or address of service provider (see

instructions) (b) Nature of

Service Code(s)

(c) Describe the information that the service provider failed or refused to

provide

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

1234567890

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE

1

Page 44: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule C (Form 5500) 2016 Page 6 - 1 x

a Name: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b EIN: 123456789

c Position: ABCDEFGHI ABCDEFGHI ABCD

d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

e Telephone: 1234567890

Explanation: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI a Name: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b EIN: 123456789

c Position: ABCDEFGHI ABCDEFGHI ABCD

d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

e Telephone: 1234567890

Explanation: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI a Name: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b EIN: 123456789

c Position: ABCDEFGHI ABCDEFGHI ABCD

d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

e Telephone: 1234567890

Explanation: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI a Name: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b EIN: 123456789

c Position: ABCDEFGHI ABCDEFGHI ABCD

d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

e Telephone: 1234567890

Explanation: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI a Name: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b EIN: 123456789

c Position: ABCDEFGHI ABCDEFGHI ABCD

d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

e Telephone: 1234567890

Explanation: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

Part III Termination Information on Accountants and Enrolled Actuaries (see instructions)

(complete as many entries as needed)

301-272-6000

BOND BEEBE, P.C. 52-1044197

1

AUDITOR

4600 EAST WEST HWYSUITE 900BETHESDA, MD 20814

BOND BEEBE P.C. COMBINED THEIR ACCOUNTING PRACTICE WITH WITHUMSMITH+BROWN

Page 45: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

SCHEDULE D

(Form 5500)

Department of the Treasury Internal Revenue Service

Department of Labor

Employee Benefits Security Administration

DFE/Participating Plan Information

This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA).

File as an attachment to Form 5500.

OMB No. 1210-0110

2016

This Form is Open to Public Inspection.

For calendar plan year 2016 or fiscal plan year beginning and ending

A Name of plan

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

B Three-digit

plan number (PN) 001

C Plan or DFE sponsor’s name as shown on line 2a of Form 5500

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

D Employer Identification Number (EIN)

012345678

Part I Information on interests in MTIAs, CCTs, PSAs, and 103-12 IEs (to be completed by plans and DFEs) (Complete as many entries as needed to report all interests in DFEs)

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345 For Paperwork Reduction Act Notice, see the Instructions for Form 5500.

Schedule D (Form 5500) 2016

v.160205

13-6038770-001

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

94-6052285-001

04-0025081-240

04-0025081-069

94-6746903-001

002

26-6399613-001

26-2540371-023

07/01/2016

SEI TRUST COMPANY

BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.

INVESCO TRUST COMPANY

STATE STREET BANK AND TRUST COMPANY

JPMORGAN CHASE BANK, N.A.

BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.

STATE STREET BANK AND TRUST COMPANY

UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 52-1050282

MSCI EAFE INDEX SL FUND

CORE ACTIVE BOND FUND

C

C

C

06/30/2017

35169672

89134807

91237000

126289969C

C

C

C

LMCG COLLECTIVE TRUST

154091167

EQUITY INDEX FUND

184497266

INVESCO BALANCED RISK ALLOCATION TR

US AGGREGATE BOND INDEX SL

192220644

JP MORGAN STRATEGIC PROPERTY TRUST

Page 46: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule D (Form 5500) 2016 Page 2 - 1 x

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

a Name of MTIA, CCT, PSA, or 103-12 IE: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD

b Name of sponsor of entity listed in (a): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

c EIN-PN 123456789-123

d Entity

code 1 e Dollar value of interest in MTIA, CCT, PSA, or

103-12 IE at end of year (see instructions) -123456789012345

94-6507863-001

04-0025081-204

22794988

E

C

E

STATE STREET BANK AND TRUST COMPANY

E

E

E

BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.

1

94

56078822

85458473

79904040

6007629423-6819730-001

98-0501381-001

23-6819730-004

94-6450621-001

98-0501379-001

98-0674465-001

C

DFA GROUP TRUST THE MICRO CAP

C

BRIDGEWATER PURE ALPHA FUNDS, LTD.

BRIDGEWATER PURE ALPHA MAJOR MARKET

DFA GROUP TRUST THE SMALL CAP

SHORT-TERM INVESTMENT FUND

ALL WEATHER PORTFOLIO LIMITED

17208740

23866159

CANADA MSCI INDEX

BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.

ALL WEATHER PORTFOLIO LIMITED

BRIDGEWATER PURE ALPHA MAJOR MARKETS, LTD

DFA GROUP TRUST

EXTENDED EQUITY MARKET FUND

BRIDGEWATER PURE ALPHA FUNDS, LTD.

DFA GROUP TRUST

Page 47: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule D (Form 5500) 2016 Page 3 - 1 x

6

Part II Information on Participating Plans (to be completed by DFEs) (Complete as many entries as needed to report all participating plans)

a Plan name ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

a Plan name

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

b Name of

plan sponsor

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

c EIN-PN

123456789-123

1

Page 48: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

SCHEDULE H

(Form 5500) Department of the Treasury

Internal Revenue Service

Department of Labor Employee Benefits Security Administration

Pension Benefit Guaranty Corporation

Financial Information

This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA), and section 6058(a) of the

Internal Revenue Code (the Code).

File as an attachment to Form 5500.

OMB No. 1210-0110

2016

This Form is Open to Public Inspection

For calendar plan year 2016 or fiscal plan year beginning and ending

A Name of plan

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

B Three-digit

plan number (PN) 001

C Plan sponsor’s name as shown on line 2a of Form 5500

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

D Employer Identification Number (EIN)

012345678

Part I Asset and Liability Statement

1 Current value of plan assets and liabilities at the beginning and end of the plan year. Combine the value of plan assets held in more than one trust. Report

the value of the plan’s interest in a commingled fund containing the assets of more than one plan on a line-by-line basis unless the value is reportable on lines 1c(9) through 1c(14). Do not enter the value of that portion of an insurance contract which guarantees, during this plan year, to pay a specific dollar benefit at a future date. Round off amounts to the nearest dollar. MTIAs, CCTs, PSAs, and 103-12 IEs do not complete lines 1b(1), 1b(2), 1c(8), 1g, 1h, and 1i. CCTs, PSAs, and 103-12 IEs also do not complete lines 1d and 1e. See instructions.

Assets (a) Beginning of Year (b) End of Year

a Total noninterest-bearing cash ...................................................................... 1a -123456789012345 -123456789012345

b Receivables (less allowance for doubtful accounts):

(1) Employer contributions .......................................................................... 1b(1) -123456789012345 -123456789012345

(2) Participant contributions ........................................................................ 1b(2) -123456789012345 -123456789012345

(3) Other ..................................................................................................... 1b(3) -123456789012345 -123456789012345

c General investments:

(1) Interest-bearing cash (include money market accounts & certificates of deposit) ............................................................................................

1c(1) -123456789012345 -123456789012345

(2) U.S. Government securities .................................................................. 1c(2) -123456789012345 -123456789012345

(3) Corporate debt instruments (other than employer securities):

(A) Preferred ........................................................................................ 1c(3)(A) -123456789012345 -123456789012345

(B) All other .......................................................................................... 1c(3)(B) -123456789012345 -123456789012345

(4) Corporate stocks (other than employer securities):

(A) Preferred ........................................................................................ 1c(4)(A) -123456789012345 -123456789012345

(B) Common ......................................................................................... 1c(4)(B) -123456789012345 -123456789012345

(5) Partnership/joint venture interests ......................................................... 1c(5) -123456789012345 -123456789012345

(6) Real estate (other than employer real property) ..................................... 1c(6) -123456789012345 -123456789012345

(7) Loans (other than to participants) .......................................................... 1c(7) -123456789012345 -123456789012345

(8) Participant loans .................................................................................... 1c(8) -123456789012345 -123456789012345

(9) Value of interest in common/collective trusts ......................................... 1c(9) -123456789012345 -123456789012345

(10) Value of interest in pooled separate accounts ....................................... 1c(10) -123456789012345 -123456789012345

(11) Value of interest in master trust investment accounts ............................ 1c(11) -123456789012345 -123456789012345

(12) Value of interest in 103-12 investment entities ....................................... 1c(12) -123456789012345 -123456789012345

(13) Value of interest in registered investment companies (e.g., mutual funds) ....................................................................................

1c(13) -123456789012345 -123456789012345

(14) Value of funds held in insurance company general account (unallocated contracts) ..............................................................................................

1c(14) -123456789012345 -123456789012345

(15) Other ..................................................................................................... 1c(15) -123456789012345 -123456789012345

For Paperwork Reduction Act Notice, see the Instructions for Form 5500. Schedule H (Form 5500) 2016 v.160205

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

876988

978140

16368147

874508

199186755

002

555802270

330977640

993780723

71256132

124218876

628693139

07/01/2016

304312617

1042740

UMWA 1974 PENSION TRUST BOARD OF TRUSTEES

45137942

52-1050282

291689744

1642146

947384

661805273

0

317493141

1597961

06/30/2017

913715518

191267922

49798788

52370204

3154699

496190329

530122

Page 49: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule H (Form 5500) 2016 Page 2

(5) Unrealized appreciation (depreciation) of assets: (A) Real estate ........................ 2b(5)(A) -123456789012345

(B) Other ................................................................................................ 2b(5)(B) -123456789012345 (C) Total unrealized appreciation of assets.

Add lines 2b(5)(A) and (B) ................................................................ 2b(5)(C) -123456789012345

1d Employer-related investments: (a) Beginning of Year (b) End of Year

(1) Employer securities .................................................................................. 1d(1) -123456789012345 -123456789012345

(2) Employer real property ............................................................................. 1d(2) -123456789012345 -123456789012345

1e Buildings and other property used in plan operation ....................................... 1e -123456789012345 -123456789012345

1f Total assets (add all amounts in lines 1a through 1e) ..................................... 1f -123456789012345 -123456789012345

Liabilities

1g Benefit claims payable .................................................................................... 1g -123456789012345 -123456789012345

1h Operating payables ........................................................................................ 1h -123456789012345 -123456789012345

1i Acquisition indebtedness ................................................................................ 1i -123456789012345 -123456789012345

1j Other liabilities ................................................................................................ 1j -123456789012345 -123456789012345

1k Total liabilities (add all amounts in lines 1g through1j) .................................... 1k -123456789012345 -123456789012345

Net Assets

1l Net assets (subtract line 1k from line 1f) ......................................................... 1l -123456789012345 -123456789012345

Part II Income and Expense Statement

2 Plan income, expenses, and changes in net assets for the year. Include all income and expenses of the plan, including any trust(s) or separately maintained

fund(s) and any payments/receipts to/from insurance carriers. Round off amounts to the nearest dollar. MTIAs, CCTs, PSAs, and 103-12 IEs do not complete lines 2a, 2b(1)(E), 2e, 2f, and 2g.

Income (a) Amount (b) Total

a Contributions:

(1) Received or receivable in cash from: (A) Employers ................................. 2a(1)(A) -123456789012345

(B) Participants ....................................................................................... 2a(1)(B) -123456789012345

(C) Others (including rollovers) ............................................................... 2a(1)(C) -123456789012345

(2) Noncash contributions .............................................................................. 2a(2) -123456789012345

(3) Total contributions. Add lines 2a(1)(A), (B), (C), and line 2a(2) ................. 2a(3) -123456789012345

b Earnings on investments:

(1) Interest:

(A) Interest-bearing cash (including money market accounts and certificates of deposit) .......................................................................

2b(1)(A) -123456789012345

(B) U.S. Government securities .............................................................. 2b(1)(B) -123456789012345

(C) Corporate debt instruments ............................................................... 2b(1)(C) -123456789012345

(D) Loans (other than to participants) ...................................................... 2b(1)(D) -123456789012345

(E) Participant loans ............................................................................... 2b(1)(E) -123456789012345

(F) Other ................................................................................................ 2b(1)(F) -123456789012345

(G) Total interest. Add lines 2b(1)(A) through (F) .................................... 2b(1)(G) -123456789012345

(2) Dividends: (A) Preferred stock .................................................................. 2b(2)(A) -123456789012345

(B) Common stock .................................................................................. 2b(2)(B) -123456789012345

(C) Registered investment company shares (e.g. mutual funds) ............. 2b(2)(C)

(D) Total dividends. Add lines 2b(2)(A), (B), and (C) 2b(2)(D)

-123456789012345

(3) Rents ........................................................................................................ 2b(3) -123456789012345

(4) Net gain (loss) on sale of assets: (A) Aggregate proceeds....................... 2b(4)(A) -123456789012345

(B) Aggregate carrying amount (see instructions) ................................... 2b(4)(B) -123456789012345

(C) Subtract line 2b(4)(B) from line 2b(4)(A) and enter result ................. 2b(4)(C) -123456789012345 117917689

86136509

14887

21161542

111016764

31159056

3140278373

150893298

198697678

3338976051

240867

24880255

99899817

172054840

3731203

-34830266

108137824

644087316

27635431

18883866

16286824

1079267

11333720

3035517480

36442

3453894

90559854

2924500716

65989322

762005005

Page 50: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule H (Form 5500) 2016 Page 3

(a) Amount (b) Total

(6) Net investment gain (loss) from common/collective trusts ......................... 2b(6) -123456789012345

(7) Net investment gain (loss) from pooled separate accounts ....................... 2b(7) -123456789012345

(8) Net investment gain (loss) from master trust investment accounts ............ 2b(8) -123456789012345

(9) Net investment gain (loss) from 103-12 investment entities ...................... 2b(9) -123456789012345 (10) Net investment gain (loss) from registered investment

companies (e.g., mutual funds) ................................................................. 2b(10) -123456789012345

c Other income .................................................................................................. 2c -123456789012345

d Total income. Add all income amounts in column (b) and enter total ..................... 2d -123456789012345

Expenses

e Benefit payment and payments to provide benefits:

(1) Directly to participants or beneficiaries, including direct rollovers .............. 2e(1) -123456789012345

(2) To insurance carriers for the provision of benefits ..................................... 2e(2) -123456789012345

(3) Other ........................................................................................................ 2e(3) -123456789012345

(4) Total benefit payments. Add lines 2e(1) through (3) .................................. 2e(4)

-123456789012345

f Corrective distributions (see instructions) ....................................................... 2f -123456789012345 g Certain deemed distributions of participant loans (see instructions) ................ 2g -123456789012345

h Interest expense ............................................................................................. 2h -123456789012345

i Administrative expenses: (1) Professional fees .............................................. 2i(1) -123456789012345

(2) Contract administrator fees ....................................................................... 2i(2) -123456789012345

(3) Investment advisory and management fees .............................................. 2i(3) -123456789012345

(4) Other ........................................................................................................ 2i(4) -123456789012345

(5) Total administrative expenses. Add lines 2i(1) through (4) ........................ 2i(5) -123456789012345

j Total expenses. Add all expense amounts in column (b) and enter total ........ 2j -123456789012345

Net Income and Reconciliation

k Net income (loss). Subtract line 2j from line 2d ........................................................... 2k -123456789012345

l Transfers of assets:

(1) To this plan ............................................................................................... 2l(1) -123456789012345 (2) From this plan ........................................................................................... 2l(2) -123456789012345

Part III Accountant’s Opinion

3 Complete lines 3a through 3c if the opinion of an independent qualified public accountant is attached to this Form 5500. Complete line 3d if an opinion is not

attached.

a The attached opinion of an independent qualified public accountant for this plan is (see instructions):

(1) X Unqualified (2) X Qualified (3) X Disclaimer (4) X Adverse

b Did the accountant perform a limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)? X Yes X No

c Enter the name and EIN of the accountant (or accounting firm) below:

(1) Name: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (2) EIN: 123456789

d The opinion of an independent qualified public accountant is not attached because:

(1) X This form is filed for a CCT, PSA, or MTIA. (2) X It will be attached to the next Form 5500 pursuant to 29 CFR 2520.104-50.

Part IV Compliance Questions

4 CCTs and PSAs do not complete Part IV. MTIAs, 103-12 IEs, and GIAs do not complete lines 4a, 4e, 4f, 4g, 4h, 4k, 4m, 4n, or 5.

103-12 IEs also do not complete lines 4j and 4l. MTIAs also do not complete line 4l.

During the plan year: Yes No Amount

a Was there a failure to transmit to the plan any participant contributions within the time

period described in 29 CFR 2510.3-102? Continue to answer “Yes” for any prior year failures until

fully corrected. (See instructions and DOL’s Voluntary Fiduciary Correction Program.) ....................

4a

b Were any loans by the plan or fixed income obligations due the plan in default as of the

close of the plan year or classified during the year as uncollectible? Disregard participant loans

secured by participant’s account balance. (Attach Schedule G (Form 5500) Part I if “Yes” is

checked.) ........................................................................................................................................

4b

X

15821409

22-2027092

662028791

17837234

X

13835904

X

475410060

29158926

WITHUMSMITH & BROWN, P.C.

691187717

12192165

77967271

6387560

X

6949957

662028791

-215777657

Page 51: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule H (Form 5500) 2016 Page 4- 1 x

Yes No Amount

c Were any leases to which the plan was a party in default or classified during the year as

uncollectible? (Attach Schedule G (Form 5500) Part II if “Yes” is checked.) ........................................ 4c -123456789012345d Were there any nonexempt transactions with any party-in-interest? (Do not include transactions

reported on line 4a. Attach Schedule G (Form 5500) Part III if “Yes” is

checked.) ................................................................................................................................................... 4d -123456789012345

e Was this plan covered by a fidelity bond?................................................................................................ 4e -123456789012345f Did the plan have a loss, whether or not reimbursed by the plan’s fidelity bond, that was caused by

fraud or dishonesty? ................................................................................................................................ 4f -123456789012345

g 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? .................................................... 4g -123456789012345

h 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? ................... 4h -123456789012345

i Did the plan have assets held for investment? (Attach schedule(s) of assets if “Yes” is checked, and

see instructions for format requirements.) ............................................................................................... 4i

j Were any plan transactions or series of transactions in excess of 5% of the current

value of plan assets? (Attach schedule of transactions if “Yes” is checked, and

see instructions for format requirements.) ............................................................................................... 4j

k Were all the plan assets either distributed to participants or beneficiaries, transferred to another

plan, or brought under the control of the PBGC? .................................................................................... 4k

l Has the plan failed to provide any benefit when due under the plan? .................................................... 4l -123456789012345

m If this is an individual account plan, was there a blackout period? (See instructions and 29 CFR

2520.101-3.) .............................................................................................................................................. 4m

n If 4m was answered “Yes,” check the “Yes” box if you either provided the required notice or one of

the exceptions to providing the notice applied under 29 CFR 2520.101-3. ............................................ 4n

o Defined Benefit Plan or Money Purchase Pension Plan Only:

Were any distributions made during the plan year to an employee who attained age 62 and had not

separated from service? …………………………………………………………………............................. 4o

5a Has a resolution to terminate the plan been adopted during the plan year or any prior plan year?

If “Yes,” enter the amount of any plan assets that reverted to the employer this year........................... X Yes X No Amount:-

5b If, during this plan year, any assets or liabilities were transferred from this plan to another plan(s), identify the plan(s) to which assets or liabilities were

transferred. (See instructions.)

5b(1) Name of plan(s) 5b(2) EIN(s) 5b(3) PN(s)

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

123456789 123

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

123456789 123

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

123456789 123

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

123456789 123

5c If the plan is a defined benefit plan, is it covered under the PBGC insurance program (See ERISA section 4021.)? ...... X Yes X No X Not determined

If “Yes” is checked, enter the My PAA confirmation number from the PBGC premium filing for this plan year________________________. (See instructions.)

Part V Trust Information

6a Name of trust

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

6b Trust’s EIN

6c Name of trustee or custodian

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

6d Trustee’s or custodian’s telephone number

+12345678901234567890123456

X

X

X

1

X

1593131000

4042990

555556

X

X

X

X

X

X

X

X

Page 52: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

SCHEDULE R

(Form 5500)

Department of the Treasury Internal Revenue Service

Department of Labor Employee Benefits Security Administration

Pension Benefit Guaranty Corporation

Retirement Plan Information

This schedule is required to be filed under sections 104 and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and section

6058(a) of the Internal Revenue Code (the Code).

File as an attachment to Form 5500.

OMB No. 1210-0110

2016

This Form is Open to Public Inspection.

For calendar plan year 2016 or fiscal plan year beginning and ending

A Name of plan

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI ABCDEFGHI

B Three-digit

plan number

(PN) 001

C Plan sponsor’s name as shown on line 2a of Form 5500

ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

ABCDEFGHI

D Employer Identification Number (EIN)

012345678

Part I Distributions

1 Total value of distributions paid in property other than in cash or the forms of property specified in the

instructions .................................................................................................................................................................................................. 1

-123456789012345

Part II Funding Information (If the plan is not subject to the minimum funding requirements of section of 412 of the Internal Revenue Code or

ERISA section 302, skip this Part.)

If you completed line 5, complete lines 3, 9, and 10 of Schedule MB and do not complete the remainder of this schedule.

If you completed line 6c, skip lines 8 and 9.

7 Will the minimum funding amount reported on line 6c be met by the funding deadline? ................................................................................. X Yes X No X N/A

8 If a change in actuarial cost method was made for this plan year pursuant to a revenue procedure or other

authority providing automatic approval for the change or a class ruling letter, does the plan sponsor or plan administrator agree with the change? ..........................................................................................................................................................

X Yes X No X N/A

Part III Amendments

9 If this is a defined benefit pension plan, were any amendments adopted during this plan

year that increased or decreased the value of benefits? If yes, check the appropriate box. If no, check the “No” box. ......................................................................................................................................................................

X Increase X Decrease X Both X No

Part IV ESOPs (see instructions). If this is not a plan described under Section 409(a) or 4975(e)(7) of the Internal Revenue Code, skip this Part.

10 Were unallocated employer securities or proceeds from the sale of unallocated securities used to repay any exempt loan? ...................... X Yes X No

11 a Does the ESOP hold any preferred stock? ................................................................................................................................. X Yes X No

b If the ESOP has an outstanding exempt loan with the employer as lender, is such loan part of a “back-to-back” loan?

(See instructions for definition of “back-to-back” loan.) ............................................................................................................... X Yes X No

12 Does the ESOP hold any stock that is not readily tradable on an established securities market? ....................................................... X Yes X No

For Paperwork Reduction Act Notice, see the Instructions for Form 5500. Schedule R (Form 5500) 2016 v. 160205

All references to distributions relate only to payments of benefits during the plan year.

2 Enter the EIN(s) of payor(s) who paid benefits on behalf of the plan to participants or beneficiaries during the year (if more than two, enter EINs of the two

payors who paid the greatest dollar amounts of benefits):

EIN(s): _______________________________ _______________________________

Profit-sharing plans, ESOPs, and stock bonus plans, skip line 3.

3 Number of participants (living or deceased) whose benefits were distributed in a single sum, during the plan

year ............................................................................................................................................................................................................. 3

12345678

4 Is the plan administrator making an election under Code section 412(d)(2) or ERISA section 302(d)(2)? ..................................................................... X Yes X No X N/A

If the plan is a defined benefit plan, go to line 8.

5 If a waiver of the minimum funding standard for a prior year is being amortized in this

plan year, see instructions and enter the date of the ruling letter granting the waiver. Date: Month _________ Day _________ Year _________

6 a Enter the minimum required contribution for this plan year (include any prior year accumulated funding

deficiency not waived) ........................................................................................................................................................................... 6a -123456789012345

b Enter the amount contributed by the employer to the plan for this plan year ........................................................................................... 6b -123456789012345

c Subtract the amount in line 6b from the amount in line 6a. Enter the result

(enter a minus sign to the left of a negative amount) .............................................................................................................................. 6c -123456789012345

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN002

0

07/01/2016

UMWA 1974 PENSION TRUST BOARD OF TRUSTEES

X

52-1050282

X

06/30/2017

0

X

Page 53: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule R (Form 5500) 2016 Page 2 - 1- x

Part V Additional Information for Multiemployer Defined Benefit Pension Plans

13 Enter the following information for each employer that contributed more than 5% of total contributions to the plan during the plan year (measured in

dollars). See instructions. Complete as many entries as needed to report all applicable employers.

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify):

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

X

X

X

12

12

2017

1

2021

2021

2021

12

2021

12

12

12

5.00

46-4067864

46-4067631

46-4054000

46-4067755

63-0653224

46-4064123

5.00

5.00

5.00

5.00

X

X

MARSHALL COUNTY COAL COMPANY (THE)

DRUMMOND COMPANY, INC.

31

31

HARRISON COUNTY COAL COMPANY (THE)

31

31

MONONGALIA COUNTY COAL COMPANY (THE)

MARION COUNTY COAL COMPANY (THE)

31

OHIO COUNTY COAL COMPANY (THE)

31

X

3056182

2913534

2751485

2119829

4441738

3588302

2021

Page 54: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule R (Form 5500) 2016 Page 2 - 1- x

Part V Additional Information for Multiemployer Defined Benefit Pension Plans

13 Enter the following information for each employer that contributed more than 5% of total contributions to the plan during the plan year (measured in

dollars). See instructions. Complete as many entries as needed to report all applicable employers.

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify):

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise,

complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________

(2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

X

2

07

5.50

84-1521723

CUMBERLAND COAL RESOURCES, LP

24

1409866

2016

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Schedule R (Form 5500) 2016 Page 3

14 Enter the number of participants on whose behalf no contributions were made by an employer as an employer of the participant for:

a The current year ................................................................................................................................................

123456789012345

14a

b The plan year immediately preceding the current plan year .............................................................................. 14b 123456789012345

c The second preceding plan year ...................................................................................................................... 14c 123456789012345

15 Enter the ratio of the number of participants under the plan on whose behalf no employer had an obligation to make an employer contribution during the current plan year to:

a The corresponding number for the plan year immediately preceding the current plan year ............................... 15a 123456789012345

b The corresponding number for the second preceding plan year ....................................................................... 15b 123456789012345

16 Information with respect to any employers who withdrew from the plan during the preceding plan year:

a Enter the number of employers who withdrew during the preceding plan year ............................................... 16a 123456789012345

b If line 16a is greater than 0, enter the aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers ................................................................................................... 16b 123456789012345

17 If assets and liabilities from another plan have been transferred to or merged with this plan during the plan year, check box and see instructions regarding supplemental information to be included as an attachment. ....................................................................................................................... X

Part VI Additional Information for Single-Employer and Multiemployer Defined Benefit Pension Plans 18 If any liabilities to participants or their beneficiaries under the plan as of the end of the plan year consist (in whole or in part) of liabilities to such participants

and beneficiaries under two or more pension plans as of immediately before such plan year, check box and see instructions regarding supplemental information to be included as an attachment ....................................................................................................................................................................... X

19 If the total number of participants is 1,000 or more, complete lines (a) through (c)

a Enter the percentage of plan assets held as: Stock: _____% Investment-Grade Debt: _____% High-Yield Debt: _____% Real Estate: _____% Other: _____%

b Provide the average duration of the combined investment-grade and high-yield debt: X 0-3 years X 3-6 years X 6-9 years X 9-12 years X 12-15 years X 15-18 years X 18-21 years X 21 years or more

c What duration measure was used to calculate line 19(b)? X Effective duration X Macaulay duration X Modified duration X Other (specify):

Part VII IRS Compliance Questions 20a Is the plan a 401(k) plan? If “No,” skip b ..................................................................................................... X Yes X No

20b How did the plan satisfy the nondiscrimination requirements for employee deferrals under section 401(k)(3) for the plan year? Check all that apply: ......................................................................................

X Design-based safe harbor X “Prior year”

ADP test

X “Current year” ADP test X N/A

21a What testing method was used to satisfy the coverage requirements under section 410(b) for the plan year? Check all that apply: ........................................................................................................................

X

Ratio percentage test

X Average benefit test X N/A

21b Did the plan satisfy the coverage and nondiscrimination requirements of sections 410(b) and 401(a)(4) for the plan year by combining this plan with any other plan under the permissive aggregation rules? .......

X Yes X No

22a If the plan is a master and prototype plan (M&P) or volume submitter plan that received a favorable IRS opinion letter or advisory letter, enter the date of the letter _____/_____/_____ and the serial number ______________.

22b If the plan is an individually-designed plan that received a favorable determination letter from the IRS, enter the date of the most recent determination letter _____/_____/______.

2 34

X

1879323859

45570

64075

11

46537

X

1.41

12 1141

1.38

Page 56: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

United Mine Workers of America1974 Pension Plan

Financial Statements

For the Years Ended June 30, 2017 and 2016

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Management's Responsibility for the Financial Statements

Auditor's Responsibility

MEMBER OF HLB INTERNATIONAL. A WORLD-WIDE NETWORK OF INDEPENDENT PROFESSIONAL ACCOUNTING FIRMS AND BUSINESS ADVISORS.

WithumSmith+Brown, PC 4600 East West Highway, Suite 900, Bethesda, Maryland 20814-3423 T (301) 272 6000 F (301) 272 6100 withum.com

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Opinion

Other Matter - June 30, 2016 Financial Statements

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MEMBER OF HLB INTERNATIONAL. A WORLD-WIDE NETWORK OF INDEPENDENT PROFESSIONAL ACCOUNTING FIRMS AND BUSINESS ADVISORS.

WithumSmith+Brown, PC 4600 East West Highway, Suite 900, Bethesda, Maryland 20814-3423 T (301) 272 6000 F (301) 272 6100 withum.com

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Form 5500, Schedule H, Part IV, Line 4iSchedule of Assets (Held At End of Year)

(a) (d) (e)

CurrentCost value

Interest bearing-cash see attached 876,988$ 876,988$

US Government Securities see attached 1,042,681 1,042,740

Corporate debt instruments - preferred see attached 978,140 947,384

Corporate debt instruments - other see attached 40,766,319 45,137,942

Corporate stocks - preferred see attached 469,269 530,122

Corporate stocks - common see attached 437,898,980 496,190,329

Partnership/joint venture interests see attached 319,211,732 291,689,744

Real estate see attached 51,198,413 16,368,147

Other see attached 117,817,437 124,218,876

Common collective trustsBR CORE ACTIVE BOND 7,261,160 shares 192,077,091 192,220,644BR EQUITY INDEX FD A 106,194,170 shares 43,748,724 91,237,000BR EXTENDED MRKT 51,069,280 shares 147,109,362 23,866,159BR SHORT-TERM INVESTMENT FUND 94 shares 94 94INVESCO BALANCED RISK ALLOCATION TRUST FUND 97,884,580 shares 97,884,580 89,134,807JP MORGAN STRATEGIC PROPERTY FUND 107,588,975 shares 116,375,260 126,289,969LMCG COLLECTIVE TRUST 3,640,753 shares 28,434,279 35,169,672SSGA MSCI EAFE INDEX SL FUND 2,021,533,380 shares 152,872,004 184,497,266SSGA AGGREGATE BOND INDX SL 5,175,186 shares 154,566,298 154,091,167SSGA MSCI CANADA INDEX SL 194,662,400 shares 15,341,200 17,208,740

948,408,891 913,715,518

103-12 investment entitiesBRIDGEWATER PURE ALPHA MAJOR MARKETS LLC SERIES 3 44,453 shares 51,365,386 56,078,822BRIDGEWATER PURE ALPHA FD SER CLXXXIV 23,655 shares 74,113,449 79,904,040BW ALL WEATHER PORTFOLIO CL B SER 2000-165 80,609 shares 81,223,541 85,458,473DFA U.S. MICRO CAP TR 3,010 shares 18,128,687 22,794,988DFA U.S. SMALL CAP TR 21,612 shares 48,841,463 60,076,294

273,672,526 304,312,617

Registered investment companies see attached 385,890,271 397,449,101NTGI COLTV GOVT STIF REGISTERED 233,970,325 231,244,038 231,244,038

617,134,309 628,693,139

2,809,475,685$ 2,823,723,546$

Description of investment includingIdentity of issue, borrower, maturity date, rate of interest

lessor, or similar party collateral, par, or maturity value

United Mine Workers of America 1974 Pension PlanEIN 52-1050282

Plan No. 002Plan Year Ended June 30, 2017

(b) (c)

Page 88: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 92: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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Page 93: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 94: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 95: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 96: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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Page 97: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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Page 98: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆ ꢂꢁꢜꢅꢘ!ꢆꢊꢆꢀꢇꢋ

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ꢕꢊꢍꢜꢝꢂꢄꢌ ꢍꢐ-ꢂꢗꢍꢜꢍꢐ!ꢂꢞꢂꢄꢗ+ ꢁ%ꢁꢁ ꢁ%ꢁꢁ ꢁ%ꢁꢁ ꢁ%ꢁꢁ

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Page 99: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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)/*/-'())'(''ꢅꢈ'*6+)(+-60/*)0ꢈ(66/(-ꢅ,/*+ꢅ+('''ꢐ=:7ꢜꢝꢄꢜꢐꢖꢄ#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/-/,,0+

-*-/+(ꢈ0'(''ꢈ+*--6(//ꢈ0*ꢈ'/(/+/(ꢈ-ꢅ)*+ꢈ6('''ꢐ$#$;"ꢝ=$ꢀꢄ#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5+ꢘ#-ꢀ,

.ꢅꢅ*/ꢈ+(,6'(''+,)*+'ꢈ(),+-/*/ꢅ/(++6+(+0ꢅꢈ*++/('''85ꢄ1ꢖ.2ꢖꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/0'6/6+

+-*6ꢅꢈ(/''(''ꢅ66*ꢈ6+(ꢅ0ꢅ,0*ꢅ-6(006(-'),*+/ꢅ('''ꢚꢜ@ꢞꢕꢉ1ꢄ#ꢖꢚꢖ@ꢜꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5'0--:-

.ꢅ-*+'/(ꢈ''(''ꢅ0+*)0-(',ꢅ,ꢈ*,/0(ꢅ,ꢅ'(),ꢅꢈ*ꢅ0+('''ꢚꢖ7ꢜꢝꢕ#ꢄꢝꢜꢉ=$ꢝꢞꢜꢉꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5ꢅ0>#,/

,'*ꢅꢅꢅ(+)'(''/,*0/6(60ꢅꢅ,*)0+(/,ꢅ+(ꢈꢈꢅ'*0ꢈ)('''ꢚ=7ꢕꢐꢜ#ꢀ1=$ꢉꢄ"ꢝ=$ꢀꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ//''-0ꢅ

.ꢅꢅ*-)/(ꢅꢅ'(''ꢅ60*0')(/-ꢅꢅ/*666(,+-(),+ꢅ*6-ꢅ('''7ꢕꢘꢖ@ꢕꢉꢄ#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5'-ꢈ)80

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.+*0ꢅ0(ꢈ/'(''ꢅ'ꢈ*ꢅ)+(ꢅꢅꢅ',*-/,(ꢅ,6()/-)*'0,('''=ꢝ=ꢝꢕꢄ#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ51-@ꢞ:0

6)*+6+(,6'(''ꢅ6+*)//(ꢈꢈꢅ,6*ꢅꢈ'(,ꢅ0(-ꢅ6/*00/('''=>ꢄꢚꢖ7ꢜꢝꢕ#ꢉꢄ#@ꢐꢄꢞ=ꢚꢉ@4ꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/+ꢈ0)6,

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+)*)ꢅ+(6-'(''6)'*6ꢈ0(6ꢅ+ꢅꢈ*ꢅꢅ'(-,+(0)ꢅꢅ'*',ꢈ('''ꢝꢜ"ꢖꢉꢄꢝꢜꢉ=$ꢝꢞꢜꢉꢄ#@ꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/-0/,-6

.ꢈ*,--(/ꢅ'(''0)*+,6()0/)*)')(6/,(/,ꢅ,*)00('''ꢉꢕ7ꢐ2ꢖꢝꢜꢄꢝꢜꢉ=$ꢝꢞꢜꢉꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/0+ꢈ0+ꢈ

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢌꢍꢉꢃꢎꢈꢏꢂꢈꢆꢊꢆꢌꢀꢋ

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+'*+')(,ꢅ'(''ꢅꢅ6*-/-(ꢈ+ꢅ-6*00+(--ꢅ'(ꢈ-ꢅ0*'ꢅ-('''ꢉꢜꢘꢜ7ꢄ"ꢝ=$ꢀꢄ1#ꢐ"ꢉꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5-+6B:-

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.ꢅ'*/+/(),'(''-ꢈ*ꢈ6ꢅ(0,+ꢈ*6)-(ꢈ'ꢅ(6-,-ꢅ*ꢅ+0('''ꢉ=$@17ꢄꢞꢝ=ꢉꢉꢄꢚꢜꢐꢖꢕꢄ"ꢝ=$ꢀꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5,ꢚ0+0ꢅ

6,*+ꢈ'(+0'(''ꢅ,)*6ꢅ)(ꢈ)ꢅ)+*/'ꢈ(+,6(ꢈꢅ)6*6,)('''ꢉ@ꢄ5ꢕꢝ5ꢕꢝꢕꢄ#ꢖꢚꢖ@ꢜꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/+ꢅ0'06

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6*6+ꢅ(6,'(''/+*'ꢅ0('-/,*6-)(6ꢈ6()06ꢈ*/+ꢈ(''':1ꢖ@ꢜ1ꢕꢘꢜ7ꢄꢞ=ꢕ#ꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5ꢅ;B;ꢞ-

ꢕꢊꢍꢜꢝꢂꢈꢋ!ꢍꢑꢜꢝ ꢜꢂꢞꢂꢈꢄ+ ꢀ#&ꢓ&#"'"%&ꢇ ꢀ#ꢀ'ꢓ#ꢆ""%ꢀꢆ ꢁ%ꢁꢁ ꢀ''#&ꢓꢁ%ꢀ&

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ꢕꢊꢍꢜꢝꢂꢈꢋ!ꢍꢑꢜꢝ ꢜꢂꢞꢂꢄꢗ+ 'ꢒꢇ#ꢁ'ꢓ%ꢇꢓ 'ꢆ"#ꢒꢆꢁ%ꢇꢓ ꢁ%ꢁꢁ ꢇ"#ꢆꢆꢓ%ꢁꢁ

ꢐꢄꢏꢜꢂꢍ!ꢆꢊꢆꢝꢀꢞ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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6ꢅ*,ꢈ0(//'('')/*66ꢈ(-/ꢅ'0*)60(ꢅ6/(/ꢈ6'*ꢈ+6('''ꢖꢕꢚ"=#ꢐꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ6--//-/

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Page 102: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 103: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 104: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 105: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂ*ꢈ+ꢈꢁꢆꢊꢆ*ꢛ,

./*/6)(/-'(''-0*-//(ꢅ+-'*)+0(-ꢈ6*ꢅ),(''6*ꢅ''('''5ꢚ#ꢄꢖ7ꢞꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/ꢅꢈ0)0/

.+*,'0(/''(''6ꢈ'*')/(-,6)/*,0)(),ꢅ*6))(''6,*'''('''ꢞꢕ#ꢉ=7ꢖꢞꢄ4ꢕ7ꢉꢜꢖꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ//+ꢈ)-'

6ꢅ*-ꢈ-(+0'(''-+*ꢈ)'()ꢈ/,*-0,(6/6*6ꢈꢈ(''+*6''('''ꢞꢕ7=7ꢄꢜ#ꢜꢞ@ꢝ=7ꢖꢞꢉꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/ꢅ06+ꢈ'

ꢅ*,0/(ꢅ/'(''ꢅ'-*)6ꢅ(ꢅ+ꢅ'/*+ꢈ0(6ꢈ6*0ꢅ0(''-*-''('''ꢞꢕ:ꢕꢞ1ꢖꢄ#ꢖꢚꢖ@ꢜꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/6)ꢈ0)-

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6'*60)(ꢈ6'(''ꢈ6*6/)(6,ꢅꢅ6*,-0(ꢅ06*+)/('',*+''('''ꢐ=$@=ꢝꢄ7ꢖꢞ1ꢖꢝꢜꢉꢄ1=ꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ56-ꢈ"2+

ꢅ'*/'-()ꢈ'(''-+*+ꢈ'(+',+*ꢈꢈ,(ꢅꢈ6*))ꢈ(''6*ꢅ''('''ꢐ$ꢉ4ꢖ7ꢄꢞ=(#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5ꢅ"ꢘ80+

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6)*+//()ꢈ'('')0*ꢅ6+(,'ꢅꢅ,*-ꢈ'(+ꢈ+*ꢅ/,(''-*ꢅ''('''ꢜ;ꢜꢐ9ꢄꢞ=ꢝꢀꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/6,'-ꢅ6

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ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂ*ꢈ+ꢈꢁꢆꢊꢆ*ꢛ,

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,,*)ꢅ+(ꢅ/'(''6')*ꢈ-6(ꢈ)6/-*0,/(ꢅ-)'-(''+0*'''('''1ꢕ7:ꢕꢄꢞ=ꢄ#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/-'))6-

6*ꢅ+,(-/'(''6,6*'6'()66,-*ꢅ,/(6)6*,',(''ꢅꢅ*-''('''1ꢜꢖ:ꢕꢄꢞ=ꢝꢀꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/-ꢅꢈ,)ꢅ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂ*ꢈ+ꢈꢁꢆꢊꢆ*ꢛ,

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6/*)-ꢈ(6ꢈ'(''ꢅ,6*0+-(ꢅꢈꢅ0ꢈ*,)+(-)6*6-6(''ꢈ*'''('''ꢚꢕꢜꢐꢕꢄꢝ=ꢕꢐꢄꢞ=7ꢉ@ꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/,,-060

-6*0/ꢅ(6)'(''ꢈ0*-ꢈ+(6/ꢅ-'*6,-(,-ꢈ60(''ꢅ0*'''('''ꢚꢕ4ꢖ7=ꢄꢚꢖ##ꢖ7"ꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ/,,,0')

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+ꢅ*''ꢈ(,/'(''ꢅ6ꢈ*/))(6'ꢅ/'*/ꢈ0(0/6*--'(''0*-''('''7ꢜꢞꢄ7ꢜ@:=ꢝ4ꢉꢄꢕ7ꢐꢄꢉ9ꢉ@ꢜꢚꢄꢖ7@ꢜ"ꢝꢕ@ꢖ=7ꢄꢞ=ꢝꢀ=ꢝꢕ@ꢖ=7ꢄꢄꢉꢜꢐ=#ꢄ?ꢄ//ꢅꢈ-66

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++*ꢅ00(00'(''ꢅꢅ6*+0ꢈ(+0ꢅ-,*,,0(ꢅ-6*,ꢈ/(''/*+''('''7ꢖ44=7ꢄ1=#ꢐꢖ7"ꢉꢄꢞ=ꢄ#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ//-66'6

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢅ+*6/)(/0'(''ꢅ06*+ꢅꢈ(/6ꢅ),*,))(6ꢈ6/0(''0)*ꢅ''('''7ꢖꢀꢀ=7ꢄ#ꢖ"1@ꢄꢚꢜ@ꢕ#ꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5,ꢅ:ꢀ6/

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+)*//,(+,'(''ꢅ,)*-ꢅ,(-/ꢅꢈ0*')'()ꢅ+*-/'(''/*-''('''=ꢀꢜ7ꢄ1=$ꢉꢜꢄꢞ=ꢄ#@ꢐꢄ7ꢀꢘꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5ꢐ+ꢐꢅ0'

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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Page 114: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 123: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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Page 124: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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6'*,-)('''('')6*-ꢅ6(''ꢅ'6*ꢈ/'(''ꢈ+(/'ꢅ*ꢅ''('''Dꢝꢜ=ꢝ"ꢔꢄ@ꢜꢉ=ꢝ=ꢄ7ꢕꢚꢜꢄꢞ1ꢕ7"ꢜꢄꢕ7ꢐꢜꢕꢘ=ꢝꢄ6"ꢅ"ꢕꢘ6ꢄ').'ꢅ.6'ꢅ0ꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ))ꢅ/'ꢈꢅ'ꢅ

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0ꢅ*'6'('''(''-ꢅ-*0ꢈ0(''-),*)ꢅ0(''06(,ꢅ/*0''('''ꢕ55ꢘꢖꢜꢄꢖ7ꢞꢄꢞ=ꢚꢄ$ꢉꢐ'('ꢅꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ''6)09ꢅ'ꢈ

ꢅ)-*ꢈ+)('''(''-ꢈ-*ꢈ-/(6,/0ꢈ*))-(6,ꢅꢅ(-0,ꢈ*60,('''ꢕ5ꢜꢝꢐꢜꢜ7ꢄ"@ꢝꢄꢞ1ꢖ7ꢕꢄ2ꢐꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢉꢜꢐ=#ꢄ?ꢄ5"9/+;ꢈ

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+ꢅꢈ*0-,(6,'(''0,ꢅ*/ꢈ'('6ꢅ*'0ꢅ*-+,(60,0(,0ꢅ)*/ꢅꢅ('''ꢕꢞ@ꢖꢘꢖꢉꢖ=7ꢄ5#ꢖ>>ꢕꢝꢐꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'','0ꢘꢅ'ꢈ

ꢅ/*ꢈ-6(--'(''6+0*ꢅ,0(,/6,-*ꢅ''(''6'+(6)ꢅ*6,'('''ꢕꢞ$ꢖ@9ꢄ5ꢝꢕ7ꢐꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'',')9ꢅ'6

++,*+/)(6-'(''00ꢈ*+6'(-'ꢅ*ꢅꢅ-*/))(/-ꢅ-ꢅ(--0*))ꢅ('''ꢕꢐ=5ꢜꢄꢉ9ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ''06-2ꢅ'ꢅ

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ꢅ'0*,-'(++'(''--6*')-(60,-ꢈ*/6-(/'ꢅ,ꢅ()++*/6'('''ꢕꢜ@7ꢕꢄꢖ7ꢞꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'')ꢅ09ꢅ')

,6*'+/(/,'(''/ꢅ/*'ꢅꢅ(+,//)*'-)(''00(/))*/''('''ꢕ2#ꢕꢞꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ''ꢅ',,ꢅ'6

,'*+ꢅ'(,6'(''6+0*0,)(ꢅ,6))*'/)(/0,ꢈ(+ꢅ-*),0('''ꢕ"ꢖ#ꢜ7@ꢄ@ꢜꢞ17=#="ꢖꢜꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'')-/$ꢅ'ꢅ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

/,*'/,(ꢈ6'(''-'+*ꢅ66(-0-/)*ꢅ))(+ꢈ6ꢅ(6ꢈ6ꢅ*ꢈꢈꢅ('''ꢕ"7ꢞꢄꢖ7ꢘ@ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ''ꢅ6+Bꢅ'-

6'-*60)(00'(''+*+)0*+),(,ꢈ+*,ꢈꢅ*//-(+/ꢅ-+('/6,*ꢅ'/('''ꢕꢖꢝꢄꢀꢝ=ꢐꢄEꢄꢞ1ꢜꢚꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ''ꢈꢅ,)ꢅ'/

.6,*/,-(6ꢅ'(''6,-*0)'(6ꢅ66ꢈ*ꢅ6/(''-ꢈ()ꢅ-*/''('''ꢕ4ꢕꢚꢕꢖꢄ@ꢜꢞ17=#="ꢖꢜꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ''ꢈ0ꢅ@ꢅ'ꢅ

/ꢈ*-++(0ꢅ'(''+))*+-6(6ꢈ-,0*00/('')ꢈ(0/,*ꢅ''('''ꢕ#ꢕꢉ4ꢕꢄꢕꢖꢝꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'ꢅꢅ/,ꢈꢅ'ꢈ

0/*+'ꢅ(+6'(''66ꢈ*0/-(/)+'/*'//(''ꢅ',(,-6*ꢈ''('''ꢕ#5ꢜꢚꢕꢝ#ꢜꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'ꢅ6/,+ꢅ'ꢅ

.6ꢈ+(6-'(''0'6*-,'()ꢅ0'6*ꢅ,0(,0ꢅ6ꢅ(/0,*00ꢅ('''ꢕ#ꢜ;ꢖ=7ꢄꢀ1ꢕꢝꢚꢕꢞꢜ$@ꢖꢞꢕ#ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'ꢅ,+,ꢅꢅ'ꢈ

/ꢅ*ꢈ6/(6''(''ꢅꢅ)*6ꢅ0()'ꢅ)'*ꢅ--(''ꢅ,'(ꢅ6ꢅ*6''('''ꢕ#ꢖ"7ꢄ@ꢜꢞ17=#="9ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'ꢅ/6,,ꢅ'ꢅ

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.0*ꢅ,,('''(''/)*ꢅ0,(''/ꢅ*'6'(''ꢅ+,(/'-,'('''ꢕ##ꢜ"ꢖꢕ7@ꢄ@ꢝꢕꢘꢜ#ꢄꢞ=ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'ꢅ0-);ꢅ'6

-)*+-0(ꢅ+'(''+'ꢅ*ꢅꢈ)(ꢈ,+-ꢈ*,-/('))ꢅ(ꢅ6-*+'ꢈ('''ꢕ##ꢜ"ꢖ=7ꢄꢀ#ꢞꢄꢞ=ꢚꢚ=7ꢄꢉ@=ꢞ4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ"'ꢅ0/8ꢅ'ꢈ

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0*ꢈ,-(/)'(''6),*6)/(+66ꢈ+*6-ꢅ(''-'(ꢅ00*+''('''ꢕ##ꢖꢕ7@ꢄꢜ7ꢜꢝ"9ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'ꢅ))'6ꢅ')

66ꢈ*/,ꢈ(/6'(''ꢈꢈꢈ*/,/(+)ꢅ*66ꢈ*+ꢅ/(''))(--ꢅ+*ꢈ''('''ꢕ##ꢉ@ꢕ@ꢜꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'6'''6ꢅ'ꢅ

,)*ꢅ/)(,ꢈ'(''+'-*0ꢅ)(ꢅꢅ+/6*))/(0'6'(ꢈ'ꢅ0*+/+('''ꢕ##9ꢄ2ꢖ7#ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'6'',7ꢅ''

6/*'')(-ꢅ'(''),*/,,(,ꢈꢅꢅꢅ*//-(''0ꢈ(0/ꢅ*-''('''ꢕ#79#ꢕꢚꢄꢀ1ꢕꢝꢚꢕꢞꢜ$@ꢖꢞꢕ#ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'6'-+Bꢅ'0

+))*6''(ꢈ/'(''ꢅ*6-'*6-+(6'ꢅ*/6)*---(ꢅ/ꢈ')(0+ꢅ*0ꢈ6('''ꢕ#ꢀ1ꢕ5ꢜ@ꢄꢖ7ꢞꢄꢞꢕꢀꢄꢉ@4ꢄ$ꢉꢐ'(''ꢅꢄꢞ#ꢄꢞꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ'6'0ꢈ4ꢅ'0

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢅ'*/ꢅ,('''(''//*60,(''0/*)ꢈ'(''60(ꢈ/6*0,'('''ꢞ2ꢄꢖ7ꢐꢉꢄ1#ꢐ"ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ6,6/ꢈꢅ''

ꢈꢅ*,)6(-+'('',-)*-+6(,0/-'*'ꢅ,(''++/(),ꢅ*ꢈ''('''ꢞ1ꢕꢝ@ꢜꢝꢄꢞ=ꢚꢚ$7ꢖꢞꢕ@ꢖ=7ꢉꢄꢖ7ꢞꢄ7ꢜ:ꢄꢞ#ꢄꢕꢄꢞ#ꢄꢕꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ/ꢅꢅꢈꢀꢅ')

.+0*,ꢅ0(,/'(''+*,-ꢅ*),0(ꢈ++*,'-*+-'(+0ꢅ'-(++++*,)ꢈ('''ꢞ1ꢜꢘꢝ=7ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ//0/-ꢅ''

+*')ꢅ(,-'(''ꢈ+*'+0(,/ꢈ/*ꢅꢅꢈ(ꢅ'-ꢅ/(ꢅ'6+ꢅ('''ꢞ1ꢖꢀ=@#ꢜꢄꢚꢜ;ꢖꢞꢕ7ꢄ"ꢝꢖ##ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ/ꢈ/,/ꢅ',

+/*,)/('''(''ꢅ'-*0/-(''ꢅ-ꢅ*+,'(''/-(6,6*6''('''ꢞ1=ꢖꢞꢜꢄ1=@ꢜ#ꢉꢄꢖ7@#ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ/ꢈꢈ',ꢅ'/

60*/6ꢈ(/ꢅ'(''666*,/ꢈ(+06,'*ꢅꢈ)(ꢈ)ꢅ-,(+)ꢅ*06ꢅ('''ꢞ1$55ꢄ#@ꢐꢄ=ꢝꢐꢄꢞ126-(ꢅ,ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ1ꢅ-/08ꢅ'-

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

6*ꢅ0,('''(''6,0*66,(''6,ꢈ*-''('',ꢅ()),*'''('''ꢞ1$ꢝꢞ1ꢄEꢄꢐ:ꢖ"1@ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ0ꢅ+-'ꢅ'6

ꢅꢈ-*ꢈ,,(6ꢅ'('')-ꢈ*06,(0)ꢅ*'--*/)'(ꢈꢈꢅ/0(+ꢈ/*6-ꢅ('''ꢞꢖ"7ꢕꢄꢞ=ꢝꢀ=ꢝꢕ@ꢖ=7ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ6,,'ꢈꢅ'ꢈ

.,,*)',('ꢅ'(''6+'*-0,(,ꢈꢅ0-*/0'(,)ꢈ-('ꢅꢅ*),)('''ꢞꢖꢚꢕꢝꢜ;ꢄꢜ7ꢜꢝ"9ꢄꢞ=ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ0ꢅ0ꢈ)ꢅ'ꢅ

.0*,/-('''(''6+6*ꢅ,ꢈ(''66-*,ꢈ,(''06(-,+*ꢅ''('''ꢞꢖ7ꢄ27ꢞ#ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ06'/6ꢅ'ꢅ

,'*-/ꢈ(,)'(''6ꢅ-*6ꢅ-(-66/-*/)-(''ꢅ6/('-6*ꢅ''('''ꢞꢖ7@ꢕꢉꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ06ꢈ')ꢅ',

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0)*ꢈ+ꢈ(ꢅꢈ'(''-6,*)+/(0,,'-*00,(ꢈ-0ꢈ(,)/*+-+('''ꢞꢖ@ꢝꢖ;ꢄꢉ9ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ00+0/ꢅ''

.ꢈ*+/,(6+'(''+'6*-ꢈ+(6+6ꢈ+*ꢅ6)(''ꢅ++(6-6*6''('''ꢞ#=ꢝ=;ꢄꢞ=ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ)ꢈ',-ꢅ'ꢈ

ꢅ60*/,)(0''(''0ꢅꢅ*--ꢈ(+')+ꢈ*ꢅ')(''ꢅ6,(6-/*0''('''ꢞꢚꢜꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ6,06Bꢅ',

-*/'/(6''(''-+0*,-+()'--6*ꢅ,'(''-/(6,ꢈ*,/'('''ꢞꢚꢉꢄꢜ7ꢜꢝ"9ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ6,)ꢈ/ꢅ''

++*ꢈ/ꢈ(-)'('',6'*)6,('6,,-*0ꢈ-(,'--(),ꢅ6*+0'('''ꢞ=ꢞꢕꢄꢞ=#ꢕꢄꢞ=ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅꢈꢅ6ꢅ/ꢅ''

,-*+-'('''('',/*'+'(''ꢅꢅ'*+0'('')-(ꢈ'ꢅ*+''('''ꢞ="7ꢜ;ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅꢈ6-66ꢅ'+

+6*60,('''(''//*ꢅ,'(''ꢈ)*-6,(''+ꢈ(+06*,''('''ꢞ=#2ꢕ;ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄ$ꢉꢄ('ꢅꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅꢈ-'ꢅ-ꢅ'/

ꢅꢅ*ꢅ)ꢈ(++'(''0ꢅ/*-0'(0,060*//'(')0-(ꢅ+ꢈ*)ꢅ/('''ꢞ=#"ꢕ@ꢜ.ꢀꢕ#ꢚ=#ꢖꢘꢜꢄꢞ=ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅꢈ-ꢅ/6ꢅ'+

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ꢅꢅ-*6-ꢈ()+'('')/0*'ꢈ6(ꢈ+ꢈ)ꢅ*+-6(0/0+(6-ꢅ+*+ꢈꢈ('''ꢞ=ꢚꢜꢝꢖꢞꢕꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ6''+-'ꢅ'0

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

Page 133: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

.0*ꢅꢅ6('''('',ꢈ*+,6('',6*6-'(''/,(+')''('''ꢞ=ꢚꢀꢕꢉꢉꢄꢚꢖ7ꢜꢝꢕ#ꢉꢄꢖ7@#ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ6'-,ꢅ7ꢅ'ꢅ

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)*6/0(ꢅ6'(''6*)ꢅ'*-))('/6*)ꢅ)*0,,(ꢅ))'(-/+,*'++('''ꢞꢘꢉꢄ1ꢜꢕ#@1ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢅ6//,'ꢅ''

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Page 134: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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0*)0,(ꢅ+'(''660*6/)()06+,*ꢅ--(''ꢈ'(--6*/''('''ꢐꢕꢝꢐꢜ7ꢄꢝꢜꢉ@ꢕ$ꢝꢕ7@ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ6+0ꢅꢈ-ꢅ',

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+'*ꢅ)/('''(''ꢈ6*006(''ꢅ66*ꢈ,)(''-,(,-6*0''('''ꢐ=7ꢕ#ꢐꢉ=7ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ6,0/,ꢅꢅ'ꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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6ꢈ*ꢈ''('''(''ꢅꢅ+*-ꢅ6(''ꢅ-+*+ꢅ6('',,(ꢅ66*/''('''ꢐ$74ꢖ7ꢄ5ꢝꢕ7ꢐꢉꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ6/,,'-ꢅ''

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Page 136: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

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Page 137: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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Page 138: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

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ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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.+'*/'-('''(''ꢅ+ꢈ*+''(''ꢅ')*/ꢈ/(''+)()66*)''('''1ꢕꢖ7ꢄꢞꢜ#ꢜꢉ@ꢖꢕ#ꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ-',6ꢅ0ꢅ''

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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/'*/6'('''(''ꢅ,)*-ꢅ'(''6ꢅꢈ*'+'(''+ꢅ(6ꢈ0*'''('''ꢚ"ꢚꢄꢝꢜꢉ=ꢝ@ꢉꢄꢖ7@ꢜꢝ7ꢕ@ꢖ=7ꢕ#ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ,,6ꢈ,+ꢅ'ꢅ

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

Page 145: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢅ*,ꢅ6*/00(--'(''-*+ꢈ+*ꢅ0/('+,*ꢈ',*),+(-0/)(ꢈ+),*/0ꢈ('''ꢚꢖꢞꢝ=ꢉ=2@ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ,ꢈ-ꢈꢅ)ꢅ'-

)*ꢅ,ꢅ(+)'(''ꢅ0-*ꢅꢅ+(/6ꢅ)6*6/,(''ꢅ6ꢅ(,ꢅꢅ*,''('''ꢚꢖꢐꢐ#ꢜ59ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ,ꢈ/60)ꢅ'ꢅ

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+*ꢅ6ꢅ(/6'('',/*',)(+),ꢈ*ꢅ)'(''ꢅꢅ)(+/,''('''ꢚ=7ꢉꢕ7@=ꢄꢞ=ꢄ7ꢜ:ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢅꢅ//:ꢅ'ꢅ

.ꢅ'*+/ꢈ(-ꢅ'(''++0*/ꢅꢅ(,0+60*6-6(ꢅ/-ꢈ(/)/*,)0('''ꢚ=7ꢉ@ꢜꢝꢄ5ꢜꢘꢜꢝꢕ"ꢜꢄꢞ=ꢝꢀꢄ7ꢜ:ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢅꢅ0-;ꢅ'ꢈ

/,*0'ꢅ(,+'(''66'*ꢅ6-(0ꢈ6),*)6/(+6ꢅ6ꢅ(/)6*+-ꢈ('''ꢚ==ꢐ9ꢉꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢅ,+/ꢈꢅ',

)')*-,ꢈ(ꢅ''(''ꢅ*0+ꢅ*-/'(ꢈ'6*,+ꢈ*ꢈ6'(''--(,/,0*'''('''ꢚ=ꢝ"ꢕ7ꢄꢉ@ꢕ7#ꢜ9ꢄꢞ=ꢚꢄꢉ@4ꢄ$ꢉꢐ'('ꢅꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢅ0--/--)

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-0*ꢈ''(,6'(''ꢅ+,*+',()-ꢅ)+*6'/(+/6*-ꢅ'(/ꢅ0/('''7ꢄꢘꢄꢝꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/6ꢈ--@ꢅ',

/*ꢅ+)('''('',)*6'+(''/-*+-ꢅ(''0ꢅ(-ꢈꢈ''('''7ꢕꢉꢐꢕBꢄꢖ7ꢞꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/+ꢅꢅ'+ꢅ')

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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/,*ꢅ/'(-ꢅ'(''0)6*06)(,ꢈ)-0*))ꢈ('',ꢈ(''ꢅ-*+0ꢅ('''7ꢖ4ꢜꢄꢖ7ꢞꢄꢞ#ꢄ5ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/,-ꢅ'/ꢅ'+

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+'*ꢅ/)('''(''//*)))(''ꢈ0*',/(''ꢅ6ꢅ(+6)''('''7=ꢝꢐꢉ=7ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/,,//+ꢅ'6

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Page 147: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

6/'*,/)('''(''ꢅ*,6ꢅ*)6)(''ꢅ*0)6*+ꢈ/('',0()0+'*)''('''7$ꢞ=ꢝꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/0'+-/ꢅ',

0-+*-'0(ꢈ+'('',6)*06'('0ꢅ*606*ꢅ6)(''ꢅ--(,/)*)''('''7ꢘꢖꢐꢖꢕꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/0'//"ꢅ'-

.ꢅ-6*ꢈ,'(ꢈ+'(''0,,*-66(ꢈ+/ꢅ6*-06(''6ꢅ)(0-6*)''('''=ꢄꢝꢜꢖ##9ꢄꢕ$@=ꢚ=@ꢖꢘꢜꢄꢖ7ꢞꢄ7ꢜ:ꢄꢞ=ꢚꢄ$ꢉꢐ'('ꢅꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/0ꢅ'+1ꢅ'0

./6/*/66()-'(''+*6,-*ꢈꢅ,()-6*/6)*6ꢈ+('',ꢈ()0-+*ꢈ''('''=ꢞꢞꢖꢐꢜ7@ꢕ#ꢄꢀꢜ@ꢝ=#ꢜ$ꢚꢄꢞ=ꢝꢀꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/0-,ꢈꢈꢅ',

.ꢅ,*/,0(ꢈꢈ'(''0ꢈ*/'ꢈ(ꢈꢈ/+*ꢈ,6(''66()-6*)''('''=ꢞꢜꢕ7ꢜꢜꢝꢖ7"ꢄꢖ7@#ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/0,6+6ꢅ'6

,ꢈ*+)ꢅ('''(''ꢅ'6*,60(''ꢅ/ꢅ*ꢈ')(''ꢈ,(6-ꢅ*0''('''=#ꢐꢄꢐ=ꢚꢖ7ꢖ=7ꢄ2"1@ꢄ#ꢖ7ꢜꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/0ꢈ,)'ꢅ''

6*ꢅ)-(0)'('')ꢅ0*/ꢅ+(+6)ꢅꢈ*0ꢈ)(ꢅ')6(ꢈ'ꢈ*))ꢈ('''=ꢚ7ꢖꢞ=ꢚꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/)ꢅꢈꢅꢈꢅ'/

.0*'+ꢈ()''(''-ꢅꢈ*ꢅ'+()'-ꢅ6*'/-('',6(ꢅ/0*ꢈ''('''=7ꢜ=4ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/)6/)'ꢅ'+

ꢅꢈ+*,/-()+'(''),ꢈ*+0,(ꢅ0ꢅ*',6*ꢈ-'('','(ꢅ-6ꢅ*'''('''=ꢝꢕꢞ#ꢜꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/)+)ꢈ;ꢅ',

.+*/0+(-0'(''6ꢈ+*)+,(-06ꢈ'*ꢅ/6(''ꢈ)(+/6*ꢈ,'('''=ꢝ5ꢖ@ꢕ#ꢄꢕ@4ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/),,07ꢅ'+

-,*0,ꢈ(/,'(''ꢅ-'*,,+(6+ꢅ)/*+ꢅ6())6+(ꢈ60*0)ꢈ('''=:ꢜ7ꢉꢄꢖ##ꢄꢖ7ꢞꢄꢞ=ꢚꢄ7ꢜ:ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ'0/)-'+

6ꢅ*6,,('''(''00*)',(''ꢈꢈ*'/'(''//('-ꢅ*,''('''ꢀꢕꢞꢞꢕꢝꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ+0ꢅ)ꢅ')

ꢅ,*+/0('''(''+0*ꢅ'+('',6*-0'(''-0(0'ꢅ*ꢅ''('''ꢀꢕꢞꢖꢝꢕꢄꢀ1ꢕꢝꢚꢕꢞꢜ$@ꢖꢞꢕ#ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ,ꢅ60ꢅ''

ꢅ,,*6--(+''(''6+-*/6'(0'+)ꢈ*)/,(''ꢅꢅꢅ(+ꢈ+*,''('''ꢀꢕꢞ4ꢕ"ꢖ7"ꢄꢞ=ꢝꢀꢄꢕꢚꢜꢝꢄꢞ=ꢚꢄꢖꢉꢖ7ꢄ$ꢉ/ꢈ,ꢅ,/ꢅ'ꢈ'ꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ,ꢅ,/ꢅ'ꢈ

+'*-,/(0-'(''6,ꢈ*6-ꢅ(ꢈꢅ6)ꢈ*/ꢈ)(/,ꢅ++()ꢅ6*ꢅ/,('''ꢀꢕ#=ꢄꢕ#@=ꢄ7ꢜ@:=ꢝ4ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄ$ꢉꢐ'('''ꢅꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ0-+,ꢅ',

/*'ꢅ/('''(''ꢅ')*)''(''ꢅꢅ-*)ꢅ/(''0ꢅ(0/ꢅ*/''('''ꢀꢕꢀꢕꢄ8=17ꢉꢄꢖ7@#ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ))ꢅ+ꢅ'6

+6*,,0(),'(''ꢅ0,*6')(ꢅ,6'0*0//(''ꢅ,ꢈ()6ꢅ*+''('''ꢀꢕꢝ4ꢜꢝ.1ꢕ77ꢖ2ꢖ7ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0'ꢅ'ꢈ-ꢅ'-

.ꢅ+*60-(--'('',-*)ꢈꢈ(---ꢅ*/6,(''60(0,ꢅ*,''('''ꢀꢕꢝꢉ#ꢜ9ꢄꢜ7ꢜꢝ"9ꢄꢖ7ꢞꢄꢞ#ꢄꢕꢄꢞ#ꢄꢕꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0'ꢅ)00ꢅ'6

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

Page 148: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

.ꢅꢅ*00/('''(''60+*0''(''6/ꢅ*ꢈ6-('',/(ꢈ--*/''('''ꢀꢕ9ꢞ1ꢜ;ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0'-+6/ꢅ'0

.)*0-0(ꢈꢅ'(''ꢅ0ꢈ*ꢈꢈ/(ꢈꢅꢅ0ꢅ*6-ꢈ(''-+(ꢈꢅ+*ꢈ''('''ꢀꢜ7ꢉ4ꢜꢄꢕ$@=ꢚ=@ꢖꢘꢜꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0'ꢈ,ꢈ:ꢅ'+

ꢅ,*-ꢅꢈ(ꢈꢅ'(''ꢅꢈ-*0+-('ꢈ6ꢅ'*ꢅ,-(''ꢅ0(//ꢅꢅ*ꢈ''('''ꢀꢜ=ꢀ#ꢜꢉꢄ$@ꢐꢄ2ꢖ7#ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0ꢅ60'-ꢅ',

ꢅꢈ+*ꢈ6)(+-'(''6*6-+*ꢅ-ꢅ(/-6*-+0*'/ꢈ(ꢈ)ꢅꢅ,(-ꢈ6ꢅ*ꢅ'6('''ꢀꢜꢀꢉꢖꢞ=ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0ꢅ+--)ꢅ')

.ꢅꢈꢈ*+'0(')'(''-*++ꢈ*0ꢅꢅ(6,-*ꢅ-'*-'-(ꢅ0++(,ꢈꢅ6+*6/+('''ꢀ2ꢖ>ꢜꢝꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0ꢅ0')ꢅꢅ'+

+)*/+)(66'(''0))*//+()+)60*+'6(',//(+0ꢅ6*-/,('''ꢀ"Eꢄꢜꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ++ꢅꢞꢅ')

++6*06/(ꢅ''(''6*ꢅ))*/ꢈ'(,'6*,6ꢅ*-ꢅ/(/'ꢅꢅ0(-,6ꢅ*-/)('''ꢀ1ꢖ#ꢖꢀꢄꢚ=ꢝꢝꢖꢉꢄꢖ7@#ꢄꢞ=ꢚꢄꢉ@4ꢄ7ꢀꢘꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0ꢅ)ꢅ06ꢅ'ꢈ

06*ꢈꢈꢈ(0ꢈ'(''6*',6*-/+(ꢈ06*ꢅ6,*-/+(0/)6(/ꢈ6,*0'-('''ꢀ1ꢖ##ꢖꢀꢉꢄ//ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0ꢅ),-/ꢅ'-

.-6*ꢈ-)(+ꢅ'(''+')*ꢅ)'(+ꢅ6/,*6+6(''6ꢅ(ꢈ6ꢅ6*ꢅ''('''ꢀꢖ#"ꢝꢖꢚꢉꢄꢀꢝꢖꢐꢜꢄꢞ=ꢝꢀꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ06ꢅ-04ꢅ')

6-*00/(','(''ꢅ6ꢈ*//+(ꢈ,ꢅ,-*--'('',ꢈ(-'6*/''('''ꢀꢖ77ꢕꢞ#ꢜꢄ2==ꢐꢉꢄꢖ7ꢞꢄꢐꢜ#ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ06+-)ꢀꢅ'-

ꢅꢅ*+ꢅ)(60'(''+/+*+),(0++0-*0'-(''),(ꢅ/-*-''('''ꢀꢖ77ꢕꢞ#ꢜꢄ:(ꢄꢞꢕꢀꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ06+-)-ꢅ'ꢅ

.60*,ꢅ,(ꢅꢅ'('',''*ꢅꢈꢅ('0-06*/0,(ꢈ/ꢅ,ꢈ(,)6*ꢈ/6('''ꢀꢖ=7ꢜꢜꢝꢄ7ꢕ@ꢄꢝꢜꢉꢄꢞ=ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ06+0)0ꢅ'0

-'-*-ꢅ,(,''(''ꢅ*6/)*)-6(,'ꢅ*/0+*6,)(''ꢅ6-()0ꢅ+*-''('''ꢀ7ꢞꢄ2ꢖ7ꢕ7ꢞꢖꢕ#ꢄꢉꢜꢝꢘꢖꢞꢜꢉꢄ"ꢝ=$ꢀꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ+-0,ꢅ',

ꢈ*-6+('''(''0+*,)-('')+*''0(''ꢈ6(6+ꢈ''('''ꢀ=#ꢕꢝꢖꢉꢄꢖ7ꢐꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0+ꢅ'/)ꢅ'6

0*+,'('''(''0-*''-('')ꢅ*+,-(''+)(0-6*ꢅ''('''ꢀ=#9=7ꢜꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0+ꢅ0ꢈꢀꢅ'/

6*6',('ꢈ'(''-)*',6(ꢈꢅ,'*6,)(''+)(//ꢅ*+''('''ꢀꢀ#ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢖꢉꢖ7ꢄ$ꢉ/ꢈ+,ꢅ@ꢅ'/'ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ/ꢈ+,ꢅ@ꢅ'/

.-*00/('''(''0-*),/(''0'*')'('')0(/')''('''ꢀꢝꢖꢞꢜꢉꢚꢕꢝ@ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0-ꢅ,ꢅꢅꢅ'ꢈ

+/*-+/(0ꢈ'('',,+*''0(6ꢅ,)ꢈ*---(''/-('0ꢈ*6''('''ꢀꢝꢖ7ꢞꢖꢀꢕ#ꢄ2ꢖ7#ꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0-6,ꢅꢘꢅ'6

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

Page 149: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

ꢅ',*ꢈ0-(,,'(''+*0ꢈ'*,)ꢈ(ꢅ'+*)ꢈ/*,/+(/,)0(ꢅ,--*0ꢅꢅ('''ꢀꢝ=ꢞ@ꢜꢝꢄEꢄ"ꢕꢚ5#ꢜꢄꢞ=ꢚꢄ7ꢀꢘꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0-60ꢅ)ꢅ'ꢈ

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6ꢅ*ꢅ/)('''('')ꢅ*),)(''ꢅ'+*'6/(''6-(,+-*6''('''ꢀ$#@ꢜꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ0-,)/0ꢅ'ꢅ

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ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢈ0*-/'()ꢈ'(''6ꢈ/*ꢅ-'(ꢅꢅ+ꢈ+*/'ꢅ(''6+ꢅ(,+ꢅ*0''('''ꢝ=ꢀꢜꢝꢄ@ꢜꢞ17=#="ꢖꢜꢉꢄ*ꢄꢖ7ꢞꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ00//ꢈ/ꢅ'/

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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/,*ꢈꢈꢅ()-'(''ꢅ/ꢅ*),,(ꢅ/660*)-0(''-6(ꢈꢈ,*+''('''@ꢐꢄꢕꢚꢜꢝꢖ@ꢝꢕꢐꢜꢄ1#ꢐ"ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ)06+/9ꢅ')

+*+ꢅ'(6,'(''ꢈ'*/++(/0ꢈ+*ꢈ-+(ꢈ60)(/)ꢅ*ꢅꢈ-('''@ꢜꢄꢞ=77ꢜꢞ@ꢖꢘꢖ@9ꢄ#@ꢐꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ1)-ꢈ)ꢈꢅ'-

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢅ'*)+-(6,'(''ꢈ0*ꢅ',(0,ꢅ'0*ꢈ-'(''ꢅ,-(6'0''(''':ꢕ@ꢉꢞ=ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ-6/666''

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

+0*))'('''(''+ꢈ*'''(''0/*))'(''0/())ꢅ*'''(''':ꢕ92ꢕꢖꢝꢄꢖ7ꢞꢄꢞ#ꢄꢕꢄꢞ#ꢄꢕꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ--ꢅꢈ#ꢅ'ꢅ

,/*ꢈ06(ꢈꢅ'(''ꢅ,)*600(ꢈ+6ꢅ,*6,'()-,6(66-*ꢅ66(''':ꢜ5ꢉ@ꢜꢝꢄ27ꢞ#ꢄꢞ=ꢝꢀꢄ:ꢕ@ꢜꢝ5$ꢝ9ꢄꢞ=77ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ-0)ꢈ'ꢅ'ꢈ

.6+*)'/(ꢅ/'(''+ꢈ/*,//(ꢈ'+06*0/'(0-/ꢅ(+)/*'0+(''':ꢜꢞꢄꢜ7ꢜꢝ"9ꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ6ꢈ+ꢈ$ꢅ'/

0'*/0-(,,'(''6),*'++()ꢅ+,,*0')(+/ꢅ0ꢈ(,/ꢅ*ꢈ)ꢅ(''':ꢜ##ꢞꢕꢝꢜꢄ1#@1ꢄꢀ#ꢕ7ꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ-ꢈ-/@ꢅ'/

600*,'+(ꢈ-'(''ꢅ*)--*')ꢈ(,,6*ꢅ6ꢅ*,ꢈ+(-ꢈ,,(-ꢅ+)*6)ꢈ(''':ꢜ##ꢉꢄ2ꢕꢝ"=ꢄEꢄꢞ=ꢄ7ꢜ:ꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ-ꢈ0-/ꢅ'ꢅ

ꢅ)*/-'('''(''0,*))'(''ꢈ-*,6'(''ꢈ-(,6ꢅ*'''(''':ꢜꢉ@ꢄꢀ1ꢕꢝꢚꢕꢞꢜ$@ꢖꢞꢕ#ꢄꢉꢘꢞꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ,,+'/ꢅ',

.,*ꢅ/+(0-'(''0,*ꢅꢅ,(+-/ꢈ*ꢈ,ꢅ(/'ꢅꢈ(',+*/06(''':ꢜꢉ@ꢜꢝ7ꢄ$7ꢖ=7ꢄꢞ=ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ,ꢈ)'6ꢅ'ꢈ

6+ꢈ*-0)(,ꢅ'('',ꢅ+*/6ꢅ(-ꢈ0,+*ꢅ''(''))(/')*,''(''':ꢜꢉ@7ꢄꢐꢖ"ꢖ@ꢕ#ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ,)ꢅ'6ꢅ',

,6*0,/(ꢈ)'(''0''*-6-(-'0,+*ꢅ)ꢅ(+),/(//ꢅ+*6ꢈ+(''':ꢜꢉ@ꢝ=ꢞ4ꢄꢞ=ꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ/ꢅ-,ꢐꢅ',

ꢅꢈ*-ꢅ/(ꢅ+'(''ꢅ6/*,/ꢅ()0ꢅ-,*ꢈ0)(''ꢅ'-(60ꢅ*-''(''':ꢜ;ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ/6')@ꢅ'-

0ꢈ*,6,(ꢅ6'('',++*/,)())/ꢅ+*ꢅ)-(''ꢅꢈꢅ(/6+*6''(''':1ꢖꢝ#ꢀ==#ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ/++6'ꢅ'/

+0*'//('''('')6-*-ꢈ'()-)/ꢅ*,,/()-+'(6)6)*-,+(''':ꢖ##ꢖꢕꢚꢉꢄꢞ=ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ/ꢈ-,0ꢅ''

.ꢈ*+ꢅꢈ())'(''ꢅ-,*ꢅꢅꢈ())ꢅ+,*)''(''-)(,'6*)''(''':ꢖ##ꢖꢕꢚꢉꢄꢉ=7=ꢚꢕꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ/ꢈꢈ'-ꢅ'ꢅ

6,*+)'('''(''ꢅ-ꢈ*ꢅ06(''ꢅ0-*,,6(''ꢅ-,(-/ꢅ*6''(''':ꢖ##ꢖꢉꢄ@=:ꢜꢝꢉꢄ:ꢕ@ꢉ=7ꢄꢀ#ꢞꢄꢞ=ꢚꢄ$ꢉꢐ'('''ꢅꢅ,ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ"ꢈ//6ꢈꢅ'+

+-*/',('''(''ꢈꢅ*--'(''ꢅ6/*'-,(''6)('ꢅ-*,''(''':=#ꢘꢜꢝꢖ7ꢜꢄ:=ꢝ#ꢐꢄ:ꢖꢐꢜꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ0)'ꢈ0ꢅ'+

,'*'+-(),'(''ꢅ0+*'/,(ꢅ,66+*ꢅ''(''ꢈ0(''6*+''(''':=ꢝ4ꢐꢕ9ꢄꢖ7ꢞꢄꢞ#ꢄꢕꢄꢞ=ꢚꢄ$ꢉꢐ'(''ꢅꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)ꢅ+)1ꢅ'ꢅ

ꢅ+-*+6/(ꢈꢅ'(''+60*,,ꢈ('ꢈ-/ꢅ*))/(''ꢅ''(-ꢅ-*/''(''':97ꢐ1ꢕꢚꢄ:=ꢝ#ꢐ:ꢖꢐꢜꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄꢉ@4ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)+ꢅ':ꢅ')

+-*0)-('''(''06*,ꢅ6(''ꢅ'0*6ꢈ/(''ꢅ+-(ꢅ6)''(''':977ꢄꢝꢜꢉ=ꢝ@ꢉꢄ#@ꢐꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)+ꢅ+-ꢅ'0

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

ꢎꢁꢇꢝꢁꢇꢋꢅꢆꢉꢑꢅꢁꢔ"ꢉꢃꢉꢎꢁꢘꢘꢁꢂꢀꢁꢂꢃꢄꢅꢆꢇꢃꢈꢃꢄꢉꢆꢊꢆꢀꢇꢋ

ꢅ'*'+'()ꢅ'(''6+0*06ꢅ(ꢅꢈ6-0*0,6(''-,()),*-''(''';ꢞꢜ#ꢄꢜ7ꢜꢝ"9ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)+)ꢈ5ꢅ''

ꢈꢈ*/,/('0'(''6+ꢅ*-,0(ꢅ)++ꢅ*ꢅꢅ+(6,6)(0+ꢅꢅ*,6,(''';ꢜꢝ=;ꢄꢞ=ꢝꢀꢄꢞ=ꢚꢄ7ꢜ:ꢄꢞ=ꢚꢄ7ꢜ:ꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)-ꢅ6ꢅ/')

ꢅ'6*ꢅ/0(-/'(''-)+*ꢅ--(,-,),*+ꢅ6(''/-(+6ꢈ*ꢅ''(''';ꢖ#ꢖ7;ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)+ꢈꢅꢈꢅ'ꢅ

6')*,0,(66'(''ꢅ*+6ꢅ*-'6(,)ꢅ*,6ꢈ*ꢈ00()'-+()'+-*ꢈ+ꢅ(''';#ꢄ"ꢝ=$ꢀꢄ#@ꢐꢄ;#ꢄ"ꢝ=$ꢀꢄ#@ꢐꢄꢞ=ꢚꢄ7ꢀꢘꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄ"ꢈ)6ꢈ-ꢅ'-

6/*-6)(-/'(''ꢅꢅ6*ꢅ-/(,-ꢅ+)*,0,('',,(-+6*,''(''';9#ꢜꢚꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)-ꢅꢈꢚꢅ''

++*)-+(+ꢈ'(''6'6*ꢅ))(/ꢅ6+/*'+6(''0+(0/+*6''('''9$ꢚꢄ5ꢝꢕ7ꢐꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ))-ꢈ)ꢅ'ꢅ

+*6ꢅ+(6)'(''0-*,0'(0600*0)-(''60(0)6*)''('''>ꢜ7ꢐꢜꢉ4ꢄꢖ7ꢞꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)ꢈ+/8ꢅ'ꢅ

+-*'//('''(''ꢅ'6*/)/(''ꢅ+/*0,6(''-)()-6*)''('''>ꢖ##=:ꢄ"ꢝ=$ꢀꢄꢖ7ꢞꢄꢞ=ꢚꢄ$ꢉꢐ'('''ꢅꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)ꢈ,-ꢚꢅ'ꢅ

ꢅ,*'ꢈ)(-,'(''++/*ꢅ)ꢅ(,,+,ꢅ*6)'(''-+(ꢈꢅ)*'''('''>ꢖ=7ꢉꢄ5ꢕ7ꢞ=ꢝꢀꢄꢞ=ꢚꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)ꢈ0'ꢅꢅ'0

,ꢈꢅ*/+'(,,'(''ꢅ*ꢈ6)*,6ꢅ(-,6*,6'*ꢅ,6(''/6(+)-'*-''('''>=ꢜ@ꢖꢉꢄꢖ7ꢞꢄꢞ=ꢚꢄ$ꢉꢐ'('ꢅꢄꢞ#ꢄCꢕCꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)ꢈ0)ꢘꢅ'+

-ꢅ6(ꢅ''(''0+*ꢅꢅ,(ꢈ'0+*,6)(''+(/-6'*6''('''>97"ꢕꢄꢖ7ꢞꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈ)ꢈ)/@ꢅ')

ꢕꢊꢍꢜꢝꢂꢄꢌ ꢍꢐ-ꢂꢗꢍꢜꢍꢐ!ꢂꢞꢂꢄꢗ+ ꢓꢁ'#&ꢓ&#"ꢆ&%ꢒ" ꢀ$"#'ꢇ"#&'&%&ꢒ ꢞ$"#ꢁꢓ&%&" ꢓꢓ#ꢀꢆꢁ#ꢆꢓꢀ%&ꢆ

ꢕꢊꢍꢜꢝꢂꢛꢊꢑ/ꢊꢑꢜꢍꢐꢂꢗꢍꢊꢉ8ꢂꢞꢂꢛꢊꢎꢎꢊꢌ ꢓꢒ&#ꢆꢒꢁ#ꢀ'"%&ꢒ ꢓꢀꢇ#"ꢒ"#ꢒ"ꢁ%ꢁ$ ꢞ$"#ꢁꢓ&%&" $"#'ꢀꢀ#ꢀꢁꢆ%ꢒ&

ꢞꢋꢇꢅꢂꢆꢇꢈꢏꢌꢝ#$ꢁꢌꢂꢅꢉ%ꢆꢂꢅꢜꢇꢆꢉꢄꢂꢅꢆꢇꢆꢈꢅꢈ$ꢏꢘ#ꢈꢏꢆꢞꢄꢜꢂꢘꢁꢆꢊꢆꢝꢀꢞ

ꢅ,,*60ꢈ(66'(''ꢅ)*)+6*ꢅ-6(0,ꢅ)*ꢈ)0*-6ꢅ(ꢈ0'(,+',,ꢈꢅ+ꢅ*+00*-/ꢈ(-/'@ꢜꢝꢝꢕꢄ2ꢖꢝꢚꢕꢄꢞꢕꢀꢖ@ꢕ#ꢄꢀꢕꢝ@7ꢜꢝꢉꢄꢖꢖꢖꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈꢈ6ꢅ:9ꢈꢈꢅ

ꢕꢊꢍꢜꢝꢂ.ꢝꢊꢏꢜꢝꢂꢚꢐ) ꢊꢌꢂꢞꢂꢖꢄꢚ ꢆ"#ꢒ"ꢇ#ꢓ'ꢆ%ꢒꢇ ꢆ"#"ꢀ'#ꢆꢓ'%ꢇ$ ꢁ%ꢁꢁ ꢆ$$#'ꢇꢒ%''

ꢀꢁꢂꢃꢄꢅꢆ ꢂꢁꢜꢅꢘ!ꢆꢊꢆꢝꢀꢞ

+*6+6(/ꢅ'(''-0*0)-(ꢅ),ꢅ*'ꢅ/(0ꢈ'(/-ꢈ')-/)*ꢈꢅ6(-ꢈ'ꢞ1ꢕꢝ@ꢜꢝ1=$ꢉꢜꢄꢞꢕꢀꢖ@ꢕ#ꢄꢀꢕꢝ@7ꢜꢝꢉꢄꢘꢖꢖꢄꢄꢄꢞ$ꢉꢖꢀꢄ?ꢄꢈꢈ6ꢅ:$ꢈꢈꢈ

ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

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ꢀꢁꢂꢃꢂꢄꢅꢆꢂꢇꢈꢉꢊꢈꢋꢌꢄꢆꢍꢂꢄꢃꢈꢎꢄꢏꢐꢆꢈꢑꢄꢌꢒꢈꢓꢂꢄꢔꢌꢇꢔꢕꢈꢇꢅꢆꢅꢈꢌꢃꢈꢖꢗꢈꢘꢅꢃꢈꢙꢚꢈꢈ

Page 159: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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Page 160: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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291,689,744.00 319,211,732.09

Page 161: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 162: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 163: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 164: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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ꢕꢊꢍꢜꢝꢂꢈꢋ!ꢍꢑꢜꢝ ꢜꢂꢞꢂꢈꢄ+ &&&#ꢇ&'%$ꢆ &ꢀꢓ#'ꢇꢓ%$ꢀ ꢁ%ꢁꢁ ꢀ'#ꢓ"ꢇ%ꢒ"

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

ꢆꢒꢇꢓꢂꢔꢖꢅꢗꢘꢙꢅꢂꢕꢚꢄꢗꢕꢂꢛꢙꢅꢗꢀꢁꢂꢃꢄꢅꢂꢆꢇ

ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍꢆ

ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢐꢃꢑꢊꢌꢍꢒꢎꢍꢆꢓꢄꢔꢄꢕꢑꢑꢃꢎꢄꢖꢐ ꢉꢗꢁꢌꢃꢑꢔꢀꢁꢌꢄꢘꢁꢙꢋꢃ ꢚꢁꢌꢛꢃꢎꢄꢀꢌꢍꢊꢃ ꢚꢁꢌꢛꢃꢎꢄꢘꢁꢙꢋꢃ ꢜꢝꢖꢉꢕꢄꢞꢆꢑꢎ ꢉꢃꢊꢋꢌꢍꢎꢏꢄꢚꢆ ꢃ!ꢃꢓꢎꢑ "ꢁꢍꢓꢔ#ꢆꢑꢑ$ꢓꢌꢃꢁꢙꢍ%ꢃ&$ꢓꢌꢃꢁꢙꢍ%ꢃ&ꢄ"ꢁꢍꢓꢔ#ꢆꢑꢑꢄꢆꢓ

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ꢀꢁꢂꢃꢄꢅꢆꢇꢈꢉ ꢈꢉꢉꢊꢋꢌꢍꢂꢌꢋꢎꢏꢐꢑꢂꢆꢒꢇꢓꢔꢕ

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Page 171: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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Page 172: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

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ꢀ ꢀꢁꢂꢂꢃꢄꢅꢆꢇꢈꢉꢁꢃꢆꢊꢋꢆꢌꢍꢍꢃꢅꢍ

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124,218.876 117,817,437

Page 173: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Form 5500, Schedule H, Part IV, Line 4jSchedule of Reportable Transactions

( a ) Identify of party involved ( b ) Description of asset ( c ) Purchase Price ( d ) Selling Price

( e ) Lease rental

( f ) Expense incurred

( g ) Cost of Asset

( h ) Value of asset on transaction date

( i ) Net Gain or Loss

Series of Transactions:

NTGI COLTV GOVT STIF 769,622,949 N/A N/A N/A 769,622,949 769,622,949 N/A

NTGI COLTV GOVT STIF N/A 755,532,107 N/A N/A 755,532,107 755,532,107 -

United Mine Workers of America 1974 Pension PlanEIN 52-1050282

Plan No. 002Plan Year Ended June 30, 2017

Page 174: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

UNITED MINE WORKERS OF AMERICA

1974 PENSION PLAN

EIN: 52-1050282/PN: 002

ATTACHMENT TO 2016 SCHEDULE MB: LINE 11

STATEMENT BY ENROLLED ACTUARY

Schedule MB, line 11 - Justification for Change in Actuarial Assumptions The assumptions and methods differ from those used the preceding year in the following respects:

• The assumed hourly contribution rate for the 2016-2017 plan year was decreased from $6.05 to $5.13 to reflect a pro rata portion of the negotiated decrease to $5.00. Also, contributions ceased to be payable for NIMs and Electing Miners who do not participate in the 1974 Pension. Both changes are effective August 15, 2016.

• The assumed rate for purchased tons of coal was decreased from $1.21 to $0.99 to reflect a pro rata portion of the negotiated decrease to $0.96 effective August 15, 2016.

• The assumed future hours assumption for the 2016-17 plan year was decreased to 5,037,216 based on the estimated hours provided by the Fund Office. The normal cost was also reduced to reflect this drop in work hours.

• The age at which continuing inactive vested participants are assumed to be deceased was increased from age 65 to age 70. Continuing inactive vested participants previously over age 65 will continue to be assumed deceased.

• The ERISA rate of return assumption was decreased from 7.80% to 7.45% gross of investment expenses and from 7.50% to 7.25% net of investment expenses. These changes provide our best estimate based on the Plan's investment policy over future years.

• The current liability interest rate was changed from 3.34% to 3.18%. The new rate is within established statutory guidelines.

• The interest rates used to value unfunded vested benefits for withdrawal liability purposes and for ASC 960 reporting were updated to the rates specified by the PBGC in effect on June 30, 2016.

Actuary's Statement of Reliance In completing this Schedule MB, the enrolled actuary has relied upon the correctness of the financial information presented in the pension fund audit and upon the accuracy and completeness of participant census data provided by the plan administrator.

Page 175: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule MB, line 6 - Statement of Actuarial Assumptions/Methods United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

ACTUARIAL ASSUMPTIONS

The following assumptions are used throughout this report except as specifically noted herein.

Valuation date

Interest rates ER/SA rate of return used to value liabilities

Unfunded vested benefits and ASC 960 accounting

Current liability

Administrative expenses

Loading for non-reported vested terminated participants (1950 Plan)

Mortality Assumed plan mortality­pre-retirement

Assumed plan mortality­post-retirement

Assumed plan mortality­post-disablement

Assumed plan mortality­spouse/widow

United Actuarial Services, Inc.

July 1, 2016

7.45% per year gross of investment expenses and 7.25% per year net of investment expenses

2. 77% for 20 years, then 2.86% thereafter

3.18% (in accordance with Section 431 (c)(6) of the Internal Revenue Code)

$25,500,000 per year excluding investment expenses

Terminated vested liabilities increased by 0.6%

RP-2000 Mortality Table for Blue Collar Male Employees, set forward 2 years and projected using scale MP-2015 (beginning 2012)

RP-2000 Mortality Table for Blue Collar Healthy Male Annuitants, set forward 1 year and projected using scale MP-2015 {beginning 2012)

RP-2000 Mortality Table for Blue Collar Healthy Male Annuitants, set forward 4 years and projected using scale MP-2015 {beginning 2012)

Unisex Pension 1984 Mortality Table, set back 3 years and projected using scale MP-2015 (beginning 2012)

Page B-1

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Schedule MB, line 6 - Statement of Actuarial Assumptions/Methods United Mine Workers of America 1974 Pension Plan f:JN: 52-1050282/PN: 002

July 1, 2016

Current liability

Withdrawal

Disability

Retirement Active lives

United Actuarial Services, Inc.

ACTUARIAL ASSUMPTIONS (CONT.}

Separate annuitant and non-annuitant rates based on the RP-2000 Mortality Tables Report developed for males and females as prescribed by Section 431 (c)(6) of the Internal Revenue Code.

125% of the Vaughn Table ultimate rates plus 4%

Withdrawal Age Rate 20 .273 30 .166 40 .121 50 .096 55 .000

Participants terminating before age 55 with at least 20 years of signatory service are assumed to be permanently laid off.

1.5% per year for ages 20 through 64

According to the following schedule: Active Particigants

Service <30 Service ~30 Vested Age Years Years Terminations

50-53 .00 .13 .00 54 .00 .20 .00 55 .10 .38 .45 56 .07 .34 .19 57 .07 .30 .12 58 .08 .30 .09 59 .09 .30 .06 60 .10 .30 .06 61 .14 .35 .06 62 .40 .70 1.00 63 .30 .45 1.00 64 .60 .30 1.00 65 1.00 1.00 1.00

Resulting in an average expected retirement age of 60.6.

Page B-2

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Schedule MB, line 6 - Statement of Actuarial Assumptions/Methods United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

Future service

Entry Age

Past service

United Actuarial Services, Inc.

ACTUARIAL ASSUMPTIONS (CONT.)

Participant Category Active participants who earned a full year of service every calendar year since entry, during the period starting in 1997

All other active participants

Future Service 1.00 year

0.90 year

Active Electing Miner and NIMs will earn one Year of Supplemental Pension Contributions for each future calendar year until they enter terminated or retired status.

Participants with credible past service data: Actual entry age. Category includes participants whose first service credit occurred in 1979 or later at age 45 or younger.

Participants without complete past service data: Assumed to enter at age 24 or present age, if younger.

Participants with credible past service data: Actual service earned to end of calendar year preceding valuation date plus % of the assumed future service for the six-month period ending on the valuation date.

Participants without complete past service data: The sum of (a) plus (b) plus (c).

(a) % of the assumed future service for the six-month period ending on the valuation date.

(b) Actual signatory service credits for calendar years 1977 and later.

(c) For periods of assumed service prior to 1977, according to the following chart:

Participant Service Category

Active participants who earned a full year 1.00 year of service every calendar year since entry, during the period starting in 1977

All other active and terminated participants 0.85 year

Past service is not imputed for New Inexperienced Miners

Page B-3

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Schedule MB, fine 6 - Statement of Actuarial Assumptions/Methods United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

Rehire

Future hours worked

Attained age

Age of participants with unrecorded birth dates

Gender

Marriage

Inactive vested lives over age 70

Section 415 limit assumptions

Dollar limit

Assumed form of payment for those limited by Section 415

Benefits not valued

United Actuarial Services, Inc.

ACTUARIAL ASSUMPTIONS (CONT.}

Retired, disabled and terminated participants are assumed to be permanently retired or terminated and not assumed to be rehired.

The normal cost (excluding expenses) for the current year was reduced by 39.02% to reflect the anticipated drop in hours worked in the current plan year.

All participants are assumed to be at least 18 years old. All active participants are assumed to be less than 80 years old. Adjustments were made to the data if participants were reported outside those ranges. (If an active participant is reported younger than 18 years old they are adjusted so that their entry age was 18.)

Based on average age of the other participants in the same status category

All participants, other than surviving spouses, are assumed to be male

75% assumed married with the male spouse 4 years older than his wife

Continuing inactive vested participants over age 70 are assumed deceased and are not valued. Continuing inactive vested participants previously over age 65 as of July 1, 2015 will continue to be assumed deceased.

$210,000 per year

Qualified joint and 50% survivor annuity

Pre-retirement death benefits following withdrawal and disability for active participants.

Page B-4

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Schedule MB, line 6 - Statement of Actuarial Assumptions/Methods United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

RATIONALE FOR SELECTION OF ACTUARIAL ASSUMPTIONS

The non prescribed actuarial assumptions were selected to provide a reasonable long term estimate of developing experience. The assumptions are reviewed annually, including a comparison to actual experience. The following describes our rationale for the selection of each non-prescribed assumption that has a significant effect on the valuation results.

Rate of return

Mortality

Retirement

United Actuarial Services, Inc.

Future rates of return for ERISA purposes were modeled based on the Plan's current investment policy asset allocation and composite, long-term capital market assumptions taken from Horizon Actuarial's 2016 survey of investment consultants.

Based on this analysis, we selected a final assumed rate of 7.25%, which we feel is reasonable. This rate may not be appropriate for other purposes such as settlement of liabilities.

For withdrawal liability the interest rates reflect current PBGC settlement rate, which we believe are appropriate for this purpose.

Actual mortality rates were last studied for this plan by the prior actuary, using experience from July 1, 201 O through June 30, 2013 for pre-retirement mortality rates and from July 1, 2008 through June 30, 2013 for postretirement, disabled, spouse, and widow mortality rates. The assumed future mortality rates were selected based on the results of this study. Recent plan experience suggests that these mortality rates are reasonable. We will perform a new study once we have a sufficient amount of historical data.

Projected mortality improvement was determined using scale MP-2015 (beginning in 2012).

Mortality is monitored annually and no further adjustments are deemed necessary at this time.

Actual rates of retirement by age were last studied for this plan by the prior actuary, using experience from July 1, 2006 through June 30, 201 O for actives and from July 1, 2005 through June 30, 201 O for vested terminations. The assumed future rates of retirement were selected based on the results of this study. Recent plan experience suggests that these retirement rates are reasonable. We will perform a new study once we have a sufficient amount of historical data.

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Schedule MB, line 6 - Statement of Actuarial Assumptions/Methods United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

RATIONALE FOR SELECTION OF ACTUARIAL ASSUMPTIONS (CONT.)

Disability

Withdrawal

Future hours worked

Assumption Changes This Year

United Actuarial Services, Inc.

Actual disability rates by age were last studied for this plan by the prior actuary, using experience from July 1, 2004 through June 30, 201 O. The assumed future disability rates were selected based on the results of this study. Recent plan experience suggests that these disability rates are reasonable. We will perform a new study once we have a sufficient amount of historical data.

Actual rates of withdrawal by age were last studied for this plan by the prior actuary, using experience from July 1, 2005 through June 30, 2010. The assumed future rates of withdrawal were selected based on the results of this study. Recent plan experience suggests that these withdrawal rates are reasonable. We will perform a new study once we have a sufficient amount of historical data.

Based on review of recent plan experience adjusted for anticipated future changes in workforce.

• The assumed hourly contribution rate was decreased from $6.05 to $5.00 effective August 15, 2016. For the 2016-17 plan year we assumed a pro-rated amount of $5.13 per hour.

The contribution rate for purchased tons of coal was decreased from $1.21 to $0.96 effective August 15, 2016. For the 2016-17 plan year we assumed a pro-rated amount of $0.99 per ton of purchased coal, The assumed future hours assumption for the 2016-17 plan year was decreased to 5,037,216 based on the estimated hours provided by the Fund Office. The normal cost was also reduced to reflect this drop in work hours. The age at which continuing inactive vested participants are assumed to be deceased was increased from age 65 to age 70. Continuing inactive vested participants previously over age 65 as of July 1, 2015 will continue to be assumed deceased. The ERISA rate of return assumption was changed from 7.80% to 7.45% gross of investment expenses and from 7.50% to 7.25% net of investment expenses. These changes provide our best estimate based on the Plan's investment policy over future years. The current liability interest rate was changed from 3.34% to 3.18%. The new rate is within established statutory guidelines. The interest rates used to value benefits for withdrawal liability and ASC 960 reporting were updated to the June, 2016 PBGC assumptions.

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Schedule MB, fine 6 - Statement of Actuarial Assumptions/Methods United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

Funding method ER/SA funding

Population valued Actives

Inactive vested

Retirees

Asset valuation method Actuarial value

Unfunded vested benefits

ACTUARIAL METHODS

Traditional unit credit cost method, effective July 1, 2009.

Eligible employees with a full or partial year of credited service during the preceding calendar year.

Vested participants with no hours worked during the preceding plan year.

Participants and beneficiaries in pay status as of the valuation date.

Smoothed market value with phase-in effective July 1, 2007. Each year's gain (or loss) is spread over a period of 5 years. The actuarial value is limited to not less than 80% and not more than 120% of the actual market value of assets in any plan year.

For the rolling 5 method, market value is used

Pension Relief Act of 2010 • 10-year smoothing was elected with respect to the loss incurred during the plan year ended in 2009.

Actuarial Methods Changes This Year

United Actuarial Services, Inc.

• The 130% cap on actuarial value of assets was elected for the plan year beginning in 2010.

None

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Schedule MB, line 6 - Summary of Plan Provisions United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

SUMMARY OF PLAN PROVISIONS 1974 PENSION PLAN

Participation

Class of Employee Covered

Year of credited service

United Actuarial Services, Inc.

Completion of at least 1,000 hours of credited service (or 800 hours of credited service for weekend/holiday crew of a signatory Employer) within a 12-month period after the effective date.

All eligible persons retiring on or after December 31, 1975, or becoming totally disabled due to a mine accident on or after December 6, 1974. New Inexperienced Miners first hired on or after January 1, 2012 (NIMs) will not earn any vesting, signatory, or credited service. Also, miners who are active participants may opt out of the plan on or after January 1, 2012 (Electing Miners). After the opt-out date, Electing Miners will earn service credit for vesting and "any early retirement adjustments based on the type of pension benefit," but not signatory or credited service. NIMs and Electing Miners will be eligible for disability benefits and, if they meet the eligibility requirements, lump sum death benefits.

For non weekend and holiday employees (non-signatory and signatory service):

Hours Worked 249 or less

250-499 500-749 750-999 1.000 +

Service 0.00 0.25 0.50 0.75 1.00

For weekend and holiday employees (signatory service):

Hours Worked 200 or less

200-399 400-599 600-799 800 +

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Service 0.00 0.25 0.50 0.75 1.00

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Schedule MB, line 6 - Summary of Plan Provisions United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

SUMMARY OF PLAN PROVISIONS 1974 PENSION PLAN (CONT.)

Normal retirement benefit Eligibility

Monthly amount

Age 55 retirement benefit Eligibility

Monthly amount

United Actuarial Services, Inc.

Earlier of (1) later of age 65 or the 5th anniversary employed in signatory service, (2) age 62 and 1 O years of signatory service, or (3) age 62 and at least 20 years of credited service including the required signatory service

$34.00 per year of credited non-signatory service, plus $54.50 per year for the 1" 10 years of credited signatory service earned prior to February 1, 1989, plus $55.00 per year for the 2nd 1 O years of credited signatory service earned prior to February 1, 1989, plus $55.50 per year for the 3rd 1 O years of credited signatory service earned prior to February 1, 1989, plus $56.00 per year for any further years of credited signatory service earned prior to February 1, 1989, plus $62.00 per year of credited signatory service earned from February 1, 1989 through January 31, 1990, plus $66.50 per year of credited signatory service earned from February 1, 1990 through December 15, 1993, plus $69.50 per year of credited signatory service earned on or after December 16, 1993. Payable for life if not married. If married, benefits are payable for life, without reduction, with 75% of the benefit continuing to an eligible spouse after the participant's death.

Age 55 and 1 O years of signatory service or 20 years of credited service including the required amount of signatory service

Normal reduced by 1/4% for each month prior to age 62. Form of payment same as for Normal Retirement.

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Schedule MB, line 6 - Summary of Plan Provisions United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

SUMMARY OF PLAN PROVISIONS 197 4 PENSION PLAN (CONT.)

Disability benefit Eligibility

Monthly amount

Minimum disability benefit Eligibility

Monthly amount

Deferred vested benefit -normal

Eligibility

Monthly amount

United Actuarial Services, Inc.

1974 Participants, NIMs and Electing Miners who have at least 10 years of service. Service is credited service plus, for NIMs and Electing Miners, years of Supplemental Pension Contributions.

Same as normal retirement benefit.

1974 Participants, NIMs and Electing Miners who have less than 1 O years of service. Service is credited service plus, for NIMs and Electing Miners, years of Supplemental Pension Contributions.

$250 per month.

Termination of employment prior to age 55 plus either 5 years of signatory service (10, for participants who do not have an hour of signatory service on or after July 1, 1999) or 20 years of credited service.

Normal payable at age 62, or actuarially reduced payable at early retirement between age 55 and 62. With 20 years of credited service, there is a minimum monthly benefit of $200. If unmarried, the benefit is payable for the participant's lifetime. If married with at least 20 years of credited service, benefits are payable for life, without reduction, with 75% of the benefit continuing to an eligible spouse after the participant's death. If married with less than 20 years of credited service, a 50% joint and survivor benefit actuarially equivalent to a life annuity is payable.

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Schedule MB, line 6 - Summary of Plan Provisions United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

SUMMARY OF PLAN PROVISIONS 197 4 PENSION PLAN (CONT.)

Deferred vested benefit -enhanced 1996

Eligibility

Monthly amount

Deferred vested benefit -special permanent layoff

Eligibility

Monthly amount

30 and out benefit Eligibility

Monthly amount

Pre-retirement surviving spouse benefit

Eligibility

Monthly amount

United Actuarial Services, Inc.

20 years of signatory service, termination of employment prior to attaining age 55, benefits were not in pay status on or before August 16, 1996, and either had not refused recall to the mine from which he or she was laid off or had been terminated under Article Ill, Section U) of the Wage Agreement (or physically unable to perform work) and was not employed in the coal industry thereafter.

Amount and form of payment same as Age 55 retirement benefit.

20 years of signatory service, termination of employment prior to attaining age 55, and participant was permanently laid off.

Age 55 retirement benefit payable as if age 55. If unmarried, benefit is payable during participant's lifetime. If married, benefits are payable during participant's lifetime (early retirement reduction only) with 75% of the participant's benefit continuing to an eligible spouse after the participant's death.

30 years of credited service and termination is on or after January 1, 2003.

Amount and form of payment same as Normal retirement benefit.

Death of participant eligible for an immediate pension at time of death, except Deferred Vested participants with less than 20 years of credited service

75% of the pension that the participant would have received had he elected a pension on the day preceding his death. Payable for life of eligible spouse.

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Schedule MB, line 6 - Summary of Plan Provisions United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

SUMMARY OF PLAN PROVISIONS 197 4 PENSION PLAN {CONT.}

Pre-retirement joint and survivor annuity

Eligibility

Monthly amount

Lump sum death benefit Eligibility

Lump sum amount

Special surviving spouse benefit

Eligibility

Benefit

United Actuarial Services, Inc.

Not eligible for a pre-retirement surviving spouse benefit, but qualifies for a pension under the plan or has 5 years of signatory service

75% of the pension that the participant would have received had he separated from service on the day of his actual death, and survived to retire at age 55 (or current age at death, if later) and died on the next day. Payable for life of eligible spouse, starting at the later of the first of the month following the date of death or the first of the month following the date the participant would have attained age 55.

Death of a regular or disabled pensioner (excluding anyone receiving a deferred vested pension based on less than 20 years of credited service or anyone who is an eligible beneficiary of the UMWA Combined Benefit Fund), an eligible inactive NIM, or an eligible inactive Electing Miner. Last service must have been with an employer signatory to an agreement.

$5,000, effective October 28, 2014, while the Plan is in Critical or Critical and Declining status.

January 1, 1998, surviving spouse who 1) was married to a miner who died as a result of a mine accident during the term of the 1978 or 1981 Wage Agreement (with 1 O years of credited service) and who was not in Construction Industry Service at time of death, 2) never remarried, and 3) never received a monthly surviving spouse benefit.

Lump sum of $10,000, plus monthly benefit of $100 beginning February 1, 1998, and continuing until remarriage or death.

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Schedule MB, line 6 - Summary of Plan Provisions United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

SUMMARY OF PLAN PROVISIONS FORMER 1950 PENSION PLAN

Participation

Normal retirement benefit Eligibility

Monthly amount

Disability benefit Eligibility

Monthly amount

1950 partial pension Eligibility

Monthly amount

Widow's benefit Eligibility

Monthly amount

United Actuarial Services, Inc.

Persons who terminated classified work prior to December 31, 1975 or became disabled between May 29, 1946 and December 6, 1974 as a result of a mine accident.

Age 55 with 20 years of credited service including the required signatory service

$425 payable for life

Disabled as the result of a mine accident which occurred after May 29, 1946 while in a classified job and eligible for Social Security disability benefits as a result of such accident.

$267.50 payable for life

1 O years of signatory service including at least 3 years after December 31, 1970

$250 multiplied by ratio of years of credited signatory service (to the nearest V. year) to 20 years. Payable for life.

Widow of pensioner receiving benefits under this plan at time of death, who was married to the pensioner throughout nine-month period ending on date of pensioner's death.

$175 payable for life, except payment ceases upon remarriage (Note: In limited circumstances, surviving spouses may be entitled to other survivor benefits in lieu of the above. See next section.)

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Schedule MB, line 6 - Summary of Plan Provisions United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

SUMMARY OF PLAN PROVISIONS 1950 PENSION PLAN (CONT.)

Pre-retirement surviving spouse benefit

Eligibility

Monthly amount

Joint and survivor benefit Eligibility

Monthly amount

Lump sum death benefit Eligibility

Lump sum amount

United Actuarial Services, Inc.

One hour of service under the 1950 Pension Plan on or after September 2, 1974 and dies on or after July 1, 2011, but prior to receiving his pension.

' 50% of the pension that the participant would have received had he elected a pension on the day preceding his death. Payable for life of eligible spouse.

One hour of service under the 1950 Pension Plan on or after September 2, 1974 and begins receiving his pension on or after July 1, 2011.

In lieu of the Widow's Benefit, an actuarially reduced benefit of which 50% is payable to the eligible spouse.

Death of a regular or disabled pensioner on or after February 1, 1991, excluding anyone receiving a deferred vested pension based on less than 20 years of credited service and anyone who is an eligible beneficiary of the UMWA Combined Benefit Fund. Regular pensioners with less than 20 years of credited service who used non­classified service for vesting purposes are not eligible for lump sum death benefits.

$5,000, effective October 28, 2014, while the Plan is in Critical or Critical and Declining status.

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SCHEDULE MB (Form 5500)

Department of the Tro111Jry lnternlll RllVlnue Service

Multlemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information

OMB No. 1210·0110

2016

Oopartment o/ Labor Errci!oye• Btntnts SllOO!lty Admlnl&vdon

This schedule Is required to be flied under section 104 of the Employee Re1lrement Income Security Act of 1974 (ERISA) and section 6059 of the

Internal Revenue Code (the Code). Thi• Form la Open to Public Inspection

~ Fiie as an attechment to Form 5500 or 5500-SF. For calendar plan year 2016 or flscel plan year beginning 07 /01/2016 and ending ~ Round off amounts to nearest dollar.

06/30/2017

~ Caution: A penalty of $1,000 wlll be assessed for late fUlng of this report unless reasonable cause is established.

A Name of plan B Thre di ·t 8· QI

UNITED MINEWORKERS OF AMERICA 1974 PENSION PLAN

C Plan sponsor's name as shown on line 2a of Form 5500 or 5500·SF

BOARD OF TRUSTEES - UMWA 1974 PENSION TRUST D Employer ldentlflcatlon Number (EIN)

52-1050282

E Type of plan: (1) ~ Multiemployer Defined Beneflt (2) 0 Money Purchase (see instructions)

1 a Enter the valuation date: Month 7 Day 1 Year 2016

b Assets t:~~).~~j~.:~~j;~·~§r~;~~~~i$~~?)~:~:l (1) Current value of assets ...................................................................................................................... l--'1...;.b..,;(1...._)+-----3,:..-:-, -"'1""'4"°"0_,,,....;3....;5;...7_,,'-0:...0.:....;;;0 (2) Actuarial value of assets for funding standard account....................................................................... 1--'1.;;;b.l;(2...._l+-----3::;.<.., ..:::6=2..:::3:..!.,..::8:..::3:..::1::..i·c.6::.1=0

C (1) Accrued llablllty for plan using immediate gain methods.................................................................... 1c(1) 6, 150, 44 4, 696 (2) lnfonnatlon for plans using spread gain methods: .._ ___ --t1'""r~'""· :1""';:"":-~"",~"'~l~.,..,1-'"'•~,..,,~"''lf"'·;,., ~"';t""°·l!f--:f-r';;l"'' k""':l;"";;.""';(."'tt,,"'"t."":.~~Jj

(a) Unfunded llablllty for methods with bases...................................................................................... 1 c(2)(•) 1-------t----------~

(b) Accrued llablllty under entry age normal method ............................................................................ 1-1_0(.:....2.:...;)('--'b)'-+------------

(c) Normal cost under entry age normal method ................................................................................. 1-1_0..:..(2..:..)(.:....o.:....) +------------(3) Accrued liablllty under unit credit cost method ..................................................................................... .___1_0.:....(3.:..> __....,...,...,.,,.....,........,.....,,,,.....,.6.:,., .,,.1.,,.5,.,,o.;,,...,.4_4,,.4_,,:...,6,,..9,,..,.,,6

d Information on current llabllities of the plan: g\11;.~::-;~iI~~i.~'-'.:;Q;'.'f~\~:JAr~s.::n

(1) Amount excluded from current liability attributable to pre-participation service (see Instructions) .. ....... 1.--..:.1.::.dl(:i.:11......)+,.,__,-=...,-.,~="="""'=""""=':'7": (2) "RPA '94" lnforrnatlon: l!'lll"c'A"~t~~~~f{.::.~i';'.~;;~;~}i;~;,~!~~,1

(a) Current liability ............................................................................................................................... f--1 d_,( .... 2)"'-(a ..... ) +-----9""", _4_6_9 __ , _2_0_5 __ , _7_5_2

(b) Expected Increase in current liability due to benefits accruing during the plan year ........................ l--"1""d"'(2"')1b"""-)+-------'-2_5.,__ ,3_0_2_.,_6""6"-0""

(c) Expected release from "RPA '94" current liability for the plan year ................................................. i-..:.1.::.d<:.:::2,_,l(.::.c)'-+ ______ 6_0_9..:..,_2_7_5...:.,_9_5_2

(3) Expected plan disbursements for the plan year.................................................................................... 1 d(3) 618 , 9 6 3 , 4 4 0 Statement by Enrolled Actuary

To lhe bHt of l'fr/ l<Mwtodge, the Information suppled In thia achodule end accompanying echodules. atatemonta and attaclvnants, ii a11y, la eorrcil•l• 91\d 1ccurat1. Each pre1cltb1d uaump~on was applltld In accoidance with 1ppUO&blt ltw 111d rtgulalfona. In rrrt opinion, each olller i la re110111bla (laking lnlo ai:eounl the experitntil o/ Ille p!ll1 end reasonable tlC!)tCtattons) and •ucl1 other auumpUona, In oombjnaVon, offer my beat osttmato of lid - ndor lh1 plan.

William J. Ruschau, Type or print name of acluery

United Actuarial Services, Inc. Firm name

11590 N. Meridian Street, Suite 610 Carmel

Address of the firm IN 46032-4529

/ - /()-20 18 Date

17- 03137

Most recent enrollment number

(614)264-4762

Telephone number Oncludlng area code)

If the actuary has not fully reflected any regulation or ruling promulgated under the statute in completing this schedule, check the box and see Instructions D

For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500·SF. Schedule MB (Form 5500) 2016 v.160205

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Schedule MB (Form 5500) 2016 Page2-D

2 Operational information as of beginning of this plan year:

a Current value of assets (see instructions) ............................................. . ........................................................ .! 2a 3, 140, 357' 000 b "RPA '94" current liability/participant count breakdown: (1) Number of participants (2) Current liability

(1) For retired participants and beneficiaries receiving payment. ................................. . 88' 272 8,236,471,290 (2) For terminated vested participants ....................................................................... .. 5,370 525,877,608 (3} For active participants:

(a) Non~vested benefits.......................................................................................... 19, 34 7, 2 4 7 (b) Vestedbenefits................................................................................................. 687,509,607 (c) Total active....................................................................................................... 1---------7"-"""''0.!.7.!.7.J-_____ 7'-'f.0"6'-"8~5c;6'-'-"8"5"'-4

(4) Total ....................................................................................................................... '-------"l-"O-'i'O.J...:...7=.l"-9!----"9"-' .4-"6.:.9.t..=.2"-0"-5'-7'-'5=2

c ~~~~~~;~:~~~~~. ~~~~.1~.i~~. ~~~~. ~'.~.j~~~~ . '.i.~·~· .~~. ~:,. '.j.~-~. -~-~ .~ ~ !.' .. ~~~~~~ . ~~~:. '.~ .. 1.~.~~ .~~~~ .. ~.~~: .. ~.~~.~~ .~ -~~~. . . . . . . . . . . . . . . I 2c 33 .16 %

3 Contributions made to the plan for the plan year by employer(s) and employees·

(a) Date (b) Amount paid by (c) Amount paid by (a) Date (b) Amount paid by c) Amount paid by (MM·DD-YYYY) employer(s) employees (MM·DD-YYYY) employer(s) employees

08/15/2016 2, 228, 614 02/15/2017 2,422,393 09/15/2016 1. 918 615 03/15/2017 2.770 393 10/15/2016 1.991.615 04/15/2017 7.192.393 11/15/2016 2,106,393 05/15/2017 1,977,393 12/15/2016 2,595,393 06/15/2017 2,157,392 01/15/2017 1,870,393 07/15/2017 2, 095, 013

. Totals ~ l 3(b) 31,326,000 3(cJ I 0

4 Information on plan status:

58.9 % a Funded percentage for monitoring plan's status (line 1b(2) divided by line 1c(3)) ................................................ 1 4a

b ~~~e: i~~~~ .~~~n1~~i~t: gi~~·~ .~~~~~~ .~~~~. '.~.~~~~.~~i.~~~. ~~~ .~~~~.~~~~~·t· .~~ .~~~~~~i~~ .. ~~i~~~~~- .~~ .~~~.~:~. ~~~~~~_}· If c_4_b_, __ D __________ _

C Is the plan making the scheduled progress under any applicable funding improvement or rehabilitation plan? ............................................................. !El Yes 0 No

d If the plan is in critical status or critical and declining status, were any benefits reduced (see instructions)? ................................................ o Yes ~ No

e If lined is "Yes," enter the reduction in liability resulting from the reduction in benefits (see instructions), measured as of the valuation date .................................... ,................................................................................. 4e

f If the rehabilitation plan projects emergence from critical status or critical and declining status, enter the plan year in which it is projected to emerge.

::;:~~~a:~~~~oenc~1~:r: -~~~.~~ ·~-~ .~~~~~-t~ '.'~~. ~. :.~.~~'. ~1·~· .i~~~'.~~~.~.~:. ~~~~~- ~~~. :.~~~. ~~~~. '.~. ~-~-i~~. '.~~.~1.~.~~~rns 41

5 Actuarial cost method used as the basis for this plan year's funding standard account computations (check all that apply):

a 0 Attained age normal

e D Frozen initial liability

D Other (specify):

b 0 Entry age normal

f D Individual level premium

C IE] Accrued benefit (unit credit)

g 0 Individual aggregate

2022

d 0 Aggregate

h D Shortfall

j If box his checked, enter period of use of shortfall method ................................................................................. JL _5.o]_,L_ __________ _ k Has a change been made in funding method for this plan year? ................................................................................................................... 0 Yes IE] No

If line k is "Yes," was the change made pursuant to Revenue Procedure 2000-40 or other automatic approval? ........................................... 0 Yes D No

m :~~r~~~~ '~~:s~·~:~~~i~~ fl~~~·i~~·~:~~~dt~~ .. :.~.t.~ .. ~~.~~-~~.~~~~~~ .. ~~.~~~.~~~'.~.~ .. l.~~~~~ .. ~i.~~~~l.~.~.~~. ~~-~'.~~~~ ............ ,I _5m_~IL_ __________ _

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Schedule MB (Form 5500) 2016 Page3-0

6 Checklist of certain actuarial assumptions:

a Interest rate for "RPA '94" current liability ..................................................................................................................................... I 6a I 3 .18 %

Pre-retirement Post-retirement

b Rates specified in insurance or annuity contracts ................................... . D Yes 0 No !ill N/A D Yes I I No lxl N/A

C Mortality table code for valuation purposes: '

(1) Males ................................................................................... l-6_c_,_(1_,_) -+------'l:.:l:.:Pc.+..:;2:_ ____ +------=l-=l-=P-+-=1-----

(2) Females ............................................................................... l-6_c_,_(2'-) -+------"4-=P_--=3-----+------4:.:P'----'3~-----

d Valuation liability interest rate..................................................... 6d 7 • 2 5 °..6 7 • 2 5 % i----ji--------,,---""""'--,-t------,------;o;---

e Expense loading ......................................................................... ,__6_e_+-___ 6_9_._9_~_'o+----'o:' l_N_;;l_A+-----%_Jl ___ __,k_,_l_N'--/A_

f Salary scale ................................................................................ L._6_1_.L _____ _::%:_i_ ____ -"i'-~-N'-'/"-A-'-+--------------

9 4. 4 Ok Estimated investment return on actuarial value of assets for year ending on the valuation date.................... 6g !---"--+-------------

h Estimated investment return on current value of assets for year ending on the valuation date...................... 6h -0. 4 %

7 New amortization bases established in the current plan year: (1) Type of base (2) Initial balance (3) Amortization Charge/Credit

1 209,262,484 21,762,255

4 123,086,000 12,800,330

8 Miscellaneous information:

a If a waiver of a funding deficiency has been approved for this plan year, enter the date (MM-DD-YYYY) of ea the ruling letter granting the approval ........................................................................................................... .

b(1) Is the plan required to provide a projection of expected benefit payments? (See the instructions.) lf "Yes," attach a schedule .................................................................................................................................................... .. ~ Yes D No

b(2) Is the plan required to provide a Schedule of Active Participant Data? (See the instructions.) If "Yes," attach a schedule .................................................................................................................................................................. . ~ Yes D No

C Are any of the plan's amortization bases operating under an extension of time under section 412(e) (as in effect prior to 2008) or section 431 (d) of the Code? ............................................................................................................... ~-------------D Yes ~ No

d If line c is "Yes," provide the following additional information:

(1) Was an extension granted automatic approval under section 431 (d) (1) of the Code? ............................. ~--~------~~--=--

(2) If line Bd(1) is "Yes," enter the number of years by which the amortization period was extended ............ l~a_d_(_2)_~-------------D Yes 0 No

(3) Was an extension approved by the Internal Revenue Service under section 412(e) (as in effect prior to 2008) or 431 (d)(2) of the Code? .......................................................................................................... ,.--,------------

(4) i~~~~~i~~(;~~sn~V:~~~ ~~t;~;r~~:~~~f(~~~.~~ .. ~:.~.~.i~~.~~~.~~.~~'.~.~~.i~~.:.~~'.~.~ .. ~~~.~~~.~.~.~~ .. (.~.~~············l1-B-d_(_4>_1--------------(S) If line 8d(3) is "Yes," enter the date of the ruling letter approving the extension ...................................... L. _B_d~(S~)-f----------------

D Yes D No

(6) If line 8d(3) is "Yes," is the amortization base eligible for amortization using interest rates applicable under D Yes D No section 6621 (b) of the Code for years beginning after 2007? .................................................................. r ... _ .. _ .. _ ... _ .. _ .. _"~-------------

e If box 5h is checked or line Sc is "Yes," enter the difference between the minimum required contribution for the year and the minimum that would have been required without using the shortfall method or Se extending the amortization base(s) .............................................................................................................. .

9 Funding standard account statement for this plan year:

Charges to funding standard account:

a Prior year funding deficiency, if any.............................................................................................................. 9a 0 1----+------------

b Employer's normal cost for plan year as of valuation date............................................................................. 9b 35, 197, 54 5 ~--------'----+--------'----'----

C Amortization charges as of valuation date: Outstanding balance

(1) Alt bases except funding waivers and certain bases for which the Sc(1) amortization period has been extended ............................................ 1----+----~4~,~3~9~5~, ~4~8~2~,~7~6~1+--------7~3_7~,_5~1=2~,~8~8~3~

(2) Funding waivers............................................................................... 9c(2) o o !----+------------+-----------~

(3) Certain bases for which the amortization period has been Sc{a) extended.......................................................................................... 0 0

~--~--------~---+-------------d Interest as applicable on lines 9a, 9b, and 9c...................................................... ......................................... 9d 5 6, 021, 509

1----+---------~-~--

e Total charges. Add lines 9a through 9d......................................................................................................... 9e 828 I 731, 937 ~--~-----~~~~~-

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Schedule MB (Form 5500) 2016 Page4

Credits to funding standard account:

f Prior year credit balance, if any............ ........................................................................................................ 9f 6 62, 803, 32 6 1--~~1--~~~~~~~~~~-

g Employer contributions. Total from column (b) of line 3................................................................................. 9g 31, 32 6, 000 ~~~~~~~~~~-+~~~~~~~~~~~

Outstanding balance

h Amortization credits as of valuation date ................................................ jc__9_h_--'---=1_,_,-'2'-0'-6"-'-, -=0-'6-'6'-''-'3'-4-=9~---+---------=3-=1-'5'-''-'9'-4'-5"-'-, -=1-'9-'3'-

lnterest as applicable to end of plan year on lines 9f, 9g, and 9h ......... ................ ....................................... 91 71, 8 3 O, 07 9 ~--~-------------

Full funding limitation (FFL) and credits:

(1) ERISA FFL (accrued liability FFL) ........................................................ . 91(1) 3,976,957,325

(2) "RPA '94" override (90% current liability FFL) ........................................ 91(2) 5, 033, 2 6 3, 4 4 8 ~--~--~--~~~--+------------~

(3) FFL credit.............................................................................................................................................. 9J(3) o f----+--------------

k (1) Waived funding deficiency............................................................................ 9k(1) O f-~~j--~~~~~~~~~~-

( 2) Other credits....................................................................................................... 9k(2) o f-~~J--~~~~~~~~~~-

T o ta I credits. Add lines 9f through 9i, 9j(3), 9k(1 ), and 9k(2).......................................................................... 91 1, O 81, 9 O 4, 5 9 8 r----+---------~-~--

m Credit balance: If line 91 is greaterthan line 9e, enter the difference............................................................. 9m 253 I 172 I 661 >------+--------~-~--

" Funding deficiency; If line 9e is greater than line 91, enter the difference....................................................... 9n ~--~-------------

90 Current year's accumulated reconciliation account:

(1) Due to waived funding deficiency accumulated prior to the 20i 6 plan year .. .................................... 9o(1) 0

(2) Due to amortization bases extended and amortized using the interest rate under section 6621 (b) of the Code:

(a) Reconciliation outstanding balance as of valuation date ............................................................. 9o(2)(a) 0

(b) Reconciliation amount (line 9c(3) balance minus line 9o(2)(a)) ................................................... 9o(2)(b) 0

(3) Total as of valuation date .................................................................................................................. 90(3) 0

10 Contribution necessary to avoid an accumulated funding deficiency. (See instructions.) ........................... 10 0

11 Has a change been made in the actuarial assumptions for the current plan year? lf"Yes," see instructions ................. . gj Yes 0 No

Page 193: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

 

See attachment to the Accountant's Audit Report attached at Accountant's Opinion

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

Schedule of Assets (Held at End of Year)

Form 5500, Schedule H, Part IV, Line 4i

Plan Year Ended June 30, 2017

Plan No. 002

EIN 52‐1050282

 

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Attained age Under 1

Under 25 6 25 to 29 6

30 to 34 4

35 to 39 5 40 to 44 6

45 to 49 6 50 to 54 4 55 to 59 2

60 to 64 0

65 to 69 0

70 & up 0

Schedule MB, Line 8b • Schedule of Active Participant Data United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

Years of Service

1to4 5 to 9 10 to 14 15 to 19 20 to 24 25 to 29 30 to 34 35 to 39 40 &up

65 15 0 0 0 0 0 0 0

220 349 1 0 0 0 0 0 0

153 591 89 0 0 0 0 0 0

142 556 191 7 0 0 0 0 0

110 496 245 23 3 0 0 0 0

101 436 204 26 15 4 0 0 0

41 286 140 30 37 29 1 1 0

22 115 65 30 149 315 2 45 0

6 41 20 9 30 378 33 97 5

0 6 2 3 1 15 19 6 17

0 1 1 0 0 0 4 0 1

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Attained age

Under25

25 to 29

30 to 34

35 to 39

40 to 44

45 to 49

50 to 54

55 to 59

60 to 64

65 to 69

70 & up

Schedule MB, Line Bb - Scheclule of Active New lnexperiencecl Miner Participant Data United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 2016

Years of Service

Under1 1to4 5 to 9 10 to 14 15 to 19 20 to 24 25 to 29 30 to 34 35 to 39 40 & up

9 183 0 0 0 0 0 0 0 0

0 283 0 0 0 0 0 0 0 0

3 151 2 0 0 0 0 0 0 0

3 120 3 0 0 0 0 0 0 0

5 85 1 0 0 0 0 0 0 0

0 65 0 0 0 0 0 0 0 0

0 38 1 0 0 0 0 0 0 0 0 14 2 0 0 0 0 0 0 0

0 2 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0 0

Page 196: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Attained age Under1

Under25 0

25 to 29 0

30 to 34 0

35 to 39 0

40 to 44 0

45 to 49 0

50 to 54 0

55 to 59 0

60 to 64 0

65 to 69 0

70 & up 0

Schedule MB, Line 8b - Schedule of Active Electing Miner Participant Data United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

July 1, 20113

Years of Service

1to4 5to 9 10 to 14 15 to 19 20 to 24 25 to 29 30 to 34 35 to 39 40 & up

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0

0 2 0 0 0 0 0 0 0

1 6 0 0 0 0 0 0 0

0 4 0 0 0 0 0 0 0

0 2 0 0 0 0 0 0 0

1 1 0 1 0 0 0 0 0

0 2 0 0 0 0 0 1 0

0 0 0 0 0 0 0 1 0

0 0 0 0 0 0 0 0 1

0 0 0 0 0 0 0 0 0

Page 197: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

UNITED MINE WORKERS OF AMERICA

1974 PENSION PLAN

EIN: 52-1050282/PN: 002

ATTACHMENT TO 2016 SCHEDULE MB: LINE 4

STATEMENT BY ENROLLED ACTUARY

Schedule MB, line 4b - Illustration Supporting Actuarial Certification of Status The plan was certified in Critical and Declining status as of July 1, 2016. Refer to the attached PPA certification. This result is based on a funded ratio of 60.7% and a projected deficiency at the end of the 2017-18 plan year (at the end of the first plan year succeeding the current plan year) as shown in the table below:

Credit Balance/ As of (Fundina Deficiencvl

6/30/2016 661, 704,000 6/30/2017 262,833,000 6/30/2018 (296,391,000)

The plan is also projected to have an insolvency for the plan year ending June 30, 2023 as shown in the table below:

As of Assets 6/30/2016 3, 190,442,000 6/30/2017 2, 792, 763,000 6/30/2018 2,368,645,000 6/30/2019 1,918,082,000 6/30/2020 1,441,449,000 6/30/2021 938,959,000 6/30/2022 410,965,000 6/30/2023 (142,433,000)

Schedule MB, line 4c - Documentation Regarding Progress Under Funding Improvement or Rehabilitation Plan As of July 1, 2017, the Plan has made the scheduled progress as outlined in the 2015 rehabilitation plan, which was last updated on May 26, 2017. This is based on the data, plan provisions, assumptions and methods as described in the attached certification dated September 28, 2017. Projections indicate that the Plan is not projected to emerge from Critical and Declining at the end of the rehabilitation plan period. This rehabilitation plan, however, includes the use of the "exhaustion of all reasonable measures" clause of IRC 432(e}(3}(A)(ii). Therefore, we interpret scheduled progress for this Plan to mean continued use of all reasonable measures to forestall insolvency. Due to competitive pressures, the trustees do not believe any further contribution rate increase or benefit changes could be supported at this time without having a net negative impact on the Fund. The trustees continue to monitor this situation annually.

Page 198: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

UNITED MINE WORKERS OF AMERICA

1974 PENSION PLAN

EIN: 52-1050282/PN: 002

ATTACHMENT TO 2016 SCHEDULE MB: LINE 4

STATEMENT BY ENROLLED ACTUARY {CONT.)

Schedule MB, line 4f - Assumptions Used to Project Plan Year in which Insolvency is Expected

The plan is projected to become insolvent during the 2022-23 plan year. The assumptions used to project the insolvency date are the same as those used in the attached 2017 PPA certification dated September 28, 2017.

Page 199: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

See attachment to the Accountant's Audit Report attached at Accountant's Opinion

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

Schedule of Reportable Transactions

Form 5500, Schedule H, Part IV, Line 4j

Plan Year Ended June 30, 2017

Plan No. 002

EIN 52‐1050282

 

Page 200: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

The entire report has been attached to the Accountant's Opinion

UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN

Financial Statements used to formulate IQPA's opinion

Form 5500, Schedule H, Part III

Plan Year Ended June 30, 2017

Plan No. 002

EIN 52‐1050282

 

Page 201: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

UNITED MINE WORKERS OF AMERICA

1974 PENSION PLAN

EIN: 52-1050282/PN: 002

ATTACHMENT TO 2016 SCHEDULE MB: LINE 8

STATEMENT BY ENROLLED ACTUARY

Schedule MB, line Bb(1) - Schedule of Projection of Expected Benefit Payments Below is the projected expected benefit payout from the most recent actuarial valuation. The projections exclude any future accruals.

Plan Year Expected Annual Beainnina Benefit Pavments

2016 $ 618,963,440 2017 610,973,744 2018 602,434,340 2019 592,313,383 2020 580,736,088 2021 567,388,498 2022 552,592,379 2023 536,730,303 2024 520,071,783 2025 503,042,473

Schedule MB, line Bb{2) - Schedule of Active Participant Data Attached is the required Schedule of Active Participant Data from the most recent actuarial valuation.

Page 202: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

UNITED MINE WORKERS OF AMERICA

1974 PENSION PLAN

EIN: 52-1050282/PN: 002

ATTACHMENT TO 2016 SCHEDULE MB: LINE 9

STATEMENT BY ENROLLED ACTUARY

Schedule MB, lines 9c and 9h - Schedule of Funding Standard Account Bases Attached is a schedule of minimum funding amortization bases maintained pursuant to IRC Section 431.

Page 203: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Date Source of Change in Established Unfunded Liabilitv

Charges 7/1/1977 Benefit Increases

7/1/1978 Benefit Increases

7/1/1979 Benefit Increases

7/1/1980 Benefit Increases

7/1/1987 Benefit Increases

7/1/1988 Benefit Increases

7/1/1989 Assumption Changes

7/1/1989 Benefit Increases

7/1/1990 Benefit Increases

7/1/1991 1950 Assumption Ch

7/1/1991 1950 Benefit lncrs

7/1/1991 Benefit Increases

7/1/1992 1950 Assumption Ch

7/1/1993 1950 Asset Transfer

7/1/1993 1950 Assumption Ch

7/1/1994 1950 Benefit Change

7/1/1994 Benefit Increases

7/1/1995 1950 Assumption Ch

7/1/1995 Assumption Changes

7/1/1997 1950 Benefit Change

7/1/1997 Benefit Increases

7/1/1998 1950 Assumption Ch

7/1/1998 Assumption Changes

7/1/1998 Benefit Increases

7/1/1999 Assumption Changes

7/1/1999 Benefit Increases

7/1/2000 Benefit Increases

7/1/2002 1950 Assumption Ch

7/1/2002 1950 Benefit Change

7/1/2002 Bnft lncr/Asmp Chg

7/1/2003 1950 Assumption Ch

7/1/2003 Bnft lncr/Asmp Chg

7/1/2004 1950 Actuarial Loss

7/1/2004 Benefit Increases

7/1/2005 1950 Assumption Ch

United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

Attachment to 2016 Schedule MB: Lines 9c and 9h Schedule of Funding Standard Account Bases

Original \ Remaining Period 7/1/2016

Original Outstanding Amount Period I Years I Months 1 Balance

42,396,000 40 0 3,088,355

164,492,000 40 2 0 23, 181,824

7,492,000 40 3 0 1,530,601

3,262,000 40 4 0 863,059

50,461,000 30 1 0 4,018,449

767,523,000 30 2 0 118, 187 ,257

91,845,000 30 3 0 20,486,780

167,986,000 30 3 0 37,450,192

87,508,000 30 4 0 25, 116,383

18,060,000 30 5 0 5,818,468

129,588,000 30 5 0 41,774,227

285,295,000 30 5 0 98,939,480

108,079,000 30 6 0 40,425,801

210,000,000 30 7 0 88,915,568

88,237,000 30 7 0 37,357,858

79,702,000 30 8 0 37,520,316

319,252,000 30 8 0 160, 170,582

60,136,000 30 9 0 30,904,116

192,373,000 30 9 0 105,079,826

173,833,000 30 11 0 103,227,853

155,332,000 30 11 0 97,252,562

35,806,000 30 12 0 22,557,802

118,380,000 30 12 0 78,371,289

560,740,000 30 12 0 371, 188,536

4,591,000 30 13 0 3,195,390

46,904,000 30 13 0 32,611,835

43,056,000 30 14 0 31,244,463

13,728,000 30 16 0 10,362,186

22,225,000 30 16 0 16,772,813

520, 163,000 30 16 0 405, 791 ,398

47,090,000 30 17 0 36,826,079

58,888,000 30 17 0 47,373,637

25, 131,000 15 3 0 7,265,680

27,854,000 30 18 0 23,037,367

10,645,000 30 19 0 8,914,716

Page C-1

7/1/2016 Amortization

Payment

3,088,355

11,996,384

546,297

238,917

4,018,449

61, 160,836

7,312,079

13,366,607

6,952,872

1,332,011

9,563,298

22,650,036

7,968,977

15,517,622

6,519,726

5,915,574

25,253,011

4,469,868

15,198,394

12,995,868

12,243,609

2,683,478

9,323,056

44,156,623

361,554

3,689,985

3,381,254

1,039,772

1,683,033

40,718,300

3,578,077

4,602,893

2,593,244

2,174,074

819,360

Page 204: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Date Established

7/1/2005

7/1/2005

7/1/2006

7/1/2006

7/1/2006

7/1/2007

7/1/2007

7/1/2007

7/1/2008

7/1/2009

7/1/2009

7/1/2010

7/1/2010

7/1/2011

7/1/2011

7/1/2012

7/1/2013

7/1/2013

7/1/2015

7/1/2015

7/1/2016

7/1/2016

Source of Change in Unfunded Liabilitv

1950 Plan Change

Benefit Increases

1950 Actuarial Loss

1950 Plan Change

Benefit Increases

1950 Actuarial Loss

1950 Plan Change

Benefit Increases

Benefit Increases

Benefit Increases

United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

Attachment to 2016 Schedule MB: Lines 9c and 9h Schedule of Funding Standard Account Bases

7/1/2016

Original Original Remaining Period

Outstanding Amount Period Years I Months Balance

596,000 30 19 0 497,954

64,941,000 30 19 0 55,056,380

17,638,000 15 5 0 8,092,002

552,000 30 20 0 478,207

62,216,000 30 20 0 54,307,640

2,120,000 15 6 0 1, 135,992

70,692,000 30 21 0 62,592,501

502,065,000 30 21 0 444,513,118

40,344,000 15 7 0 24,352,962

37,307,000 15 8 0 24,876,484

Funding Method Chg 1,352,071,000 10 3 0 515,173,137

Assumption Changes 13,283,000 15 9 0 9,635,858

Benefit Increases 15,500,000 15 9 0 11,246,063

Actuarial Loss 247, 154,000 15 10 0 192, 737 ,304

Benefit Increases 13,818,000 15 10 0 10,775,971

Actuarial Loss 223, 191,000 15 11 0 185,312,668

Actuarial Loss 39,483,000 15 12 0 34,630,866

Benefit Increases 23,701,000 15 12 0 20,788,733

Assumption Changes 172,525,502 15 14 0 165,919,978

Experience Loss 66,743, 121 15 14 0 64,187,711

Assumption Changes 123,086,000 15 15 0 123,086,000

Experience Loss 209,262,484 15 15 0 209,262,484

Total Charges: 4,395,482,761

Page C-2

7/1/2016 Amortization

Payment

45,767

5,060,284

1,852,487

42,909

4,872,995

223,934

5,494,789

39,022,340

4,250,100

3,922,107

183,874,012

1,393,698

1,626,593

25,882,920

1,447,118

23,329,935

4, 119,691

2,473,030

17,955,746

6,946,350

12,800,330

21,762,255

737,512,883

Page 205: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Date Source of Change in Established Unfunded Liabilitv

Credits

7/1/1979 Assumption Changes

7/1/1988 Assumption Changes

7/1/1990 1950 Assumption Ch

7/1/1991 Assumption Changes

7/1/1993 1950 Term. Of Covg

7/1/1993 Term. Of Coverage

7/1/1994 1950 Assumption Ch

7/1/1996 1950 Assumption Ch

7/1/1999 1950 Assumption Ch

7/1/2000 1950 Assumption Ch

7/1/2000 Assumption Changes

7/1/2001 Assumption Changes

7/1/2003 1950 Actuarial Gain

7/1/2004 1950 Assumtion Chg

7/1/2004 Assumption Changes

7/1/2005 1950 Actuarial Gain

7/1/2006 1950 Assumption Ch

7/1/2007 Funding Method Chg

7/1/2007 Funding Method Chg

7/1/2008 Assumption Changes

7/1/2010 Actuarial Gain

7/1/2010 Funding Method Chg

7/1/2013 Assumption Changes

7/1/2014 Assumption Changes

7/1/2014 Experience Gain

7/1/2015 Amendment

United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

Attachment to 2016 Schedule MB: Lines 9c and 9h Schedule of Funding Standard Account Bases

Remaining Period \ 7/1/2016

Original Original Outstanding Amount Period Years I Months I Balance

12,011,000 40 3 0 2,456,999

460, 737,000 30 2 0 70,945,180

18,772,000 30 4 0 5,012,199

40,246,000 30 5 0 13,954,935

86,219,000 30 7 0 36,508,408

18,492,000 30 7 0 8,392,450

94,625,000 30 8 0 44,545,487

12,942,000 30 10 0 7, 183,981

31,363,000 30 13 0 20,859,348

22,441,000 30 14 0 15,643,755

67,650,000 30 14 0 49,080,564

4,326,000 30 15 0 3,256,957

35,840,000 15 2 0 7,069,031

16,250,000 30 18 0 13,182,391

126,541,000 30 18 0 104,644,208

12,303,000 15 4 0 4,622,210

22,227,000 30 20 0 19,194,556

353,477,000 10 0 48,298,519

469,970,000 10 1 0 64,214,604

180, 156,000 15 7 0 108, 7 45,594

239,507,000 15 9 0 173,745,301

376,915,000 10 4 0 184,743,733

74,715,000 15 12 0 65,533,039

72,299,704 15 13 0 66,555,780

11,423,168 15 13 0 10,515,644

59,437, 160 15 14 0 57,161,476

Total Credits: 1,206,066,349

Page C-3

7/1/2016

Amortization Payment

876,945

36,713,489

1,387,508

3,194,678

6,371,479

1,464,658

7,023,185

964,745

2,360,207

1,692,956

5,311,465

338,707

3,658,160

1,244,044

9,875,445

1,279,549

1,722,317

48,298,519

64,214,604

18,978,375

25,129,938

51,141,900

7,795,816

7,530,697

1, 189,831

6,185,976

315,945,193

Page 206: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Date Source of Change in Established Unfunded Liability

United Mine Workers of America 1974 Pension Plan EIN: 52-1050282/PN: 002

Attachment to 2016 Schedule MB: Lines 9c and 9h Schedule of Funding Standard Account Bases

Remaining Period \ 7/1/2016

Original Original Outstanding Amount Period Years I Months I Balance

7/1/2016 Amortization

Payment

Net Charges: 3,189,416,412 421,567,690

Less Credit Balance:

Less Reconciliation Balance:

Unfunded Actuarial Liability:

Page C-4

662,803,326

0

2,526,613,086

Page 207: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952
Page 208: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952
Page 209: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

SCHEDULE R (Form 5500)

Department of the Treasury Internal Revenue Service

Department of Labor Employee Benefits Security Administration

Pension Benefit Guaranty Corporation

Retirement Plan Information

This schedule is required to be filed under sections 104 and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and section

6058(a) of the Internal Revenue Code (the Code).

File as an attachment to Form 5500.

OMB No. 1210-0110

2016

This Form is Open to Public Inspection.

For calendar plan year 2016 or fiscal plan year beginning and ending

A Name of plan ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

B Three-digit plan number (PN) 001

C Plan sponsor’s name as shown on line 2a of Form 5500 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI

D Employer Identification Number (EIN) 012345678

Part I Distributions

1 Total value of distributions paid in property other than in cash or the forms of property specified in the instructions ...........................................................................................................................................................

1 -123456789012345

Part II Funding Information (If the plan is not subject to the minimum funding requirements of section of 412 of the Internal Revenue Code or ERISA section 302, skip this Part.)

If you completed line 5, complete lines 3, 9, and 10 of Schedule MB and do not complete the remainder of this schedule.

If you completed line 6c, skip lines 8 and 9.

7 Will the minimum funding amount reported on line 6c be met by the funding deadline? ........................................... X Yes X No X N/A

8 If a change in actuarial cost method was made for this plan year pursuant to a revenue procedure or other authority providing automatic approval for the change or a class ruling letter, does the plan sponsor or plan administrator agree with the change? ....................................................................................................................

X Yes X No X N/A

Part III Amendments 9 If this is a defined benefit pension plan, were any amendments adopted during this plan

year that increased or decreased the value of benefits? If yes, check the appropriate box. If no, check the “No” box. ............................................................................................

X Increase X Decrease X Both X No

Part IV ESOPs (see instructions). If this is not a plan described under Section 409(a) or 4975(e)(7) of the Internal Revenue Code, skip this Part.

10 Were unallocated employer securities or proceeds from the sale of unallocated securities used to repay any exempt loan? ................ X Yes X No

11 a Does the ESOP hold any preferred stock? ................................................................................................................................. X Yes X No b If the ESOP has an outstanding exempt loan with the employer as lender, is such loan part of a “back-to-back” loan?

(See instructions for definition of “back-to-back” loan.) ............................................................................................................... X Yes X No

12 Does the ESOP hold any stock that is not readily tradable on an established securities market? ....................................................... X Yes X No

For Paperwork Reduction Act Notice, see the Instructions for Form 5500. Schedule R (Form 5500) 2016 v. 160205

All references to distributions relate only to payments of benefits during the plan year.

2 Enter the EIN(s) of payor(s) who paid benefits on behalf of the plan to participants or beneficiaries during the year (if more than two, enter EINs of the two payors who paid the greatest dollar amounts of benefits):

EIN(s): _______________________________ _______________________________

Profit-sharing plans, ESOPs, and stock bonus plans, skip line 3.

3 Number of participants (living or deceased) whose benefits were distributed in a single sum, during the plan year ......................................................................................................................................................................

3 12345678

4 Is the plan administrator making an election under Code section 412(d)(2) or ERISA section 302(d)(2)? .......................... X Yes X No X N/A

If the plan is a defined benefit plan, go to line 8.

5 If a waiver of the minimum funding standard for a prior year is being amortized in this plan year, see instructions and enter the date of the ruling letter granting the waiver. Date: Month _________ Day _________ Year _________

6 a Enter the minimum required contribution for this plan year (include any prior year accumulated funding

deficiency not waived) .................................................................................................................................... 6a -123456789012345

b Enter the amount contributed by the employer to the plan for this plan year .................................................... 6b -123456789012345

c Subtract the amount in line 6b from the amount in line 6a. Enter the result (enter a minus sign to the left of a negative amount) ....................................................................................... 6c -123456789012345

Page 210: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Schedule R (Form 5500) 2016 Page 2 - 1- x

Part V Additional Information for Multiemployer Defined Benefit Pension Plans 13 Enter the following information for each employer that contributed more than 5% of total contributions to the plan during the plan year (measured in

dollars). See instructions. Complete as many entries as needed to report all applicable employers.

a Name of contributing employer

b EIN c Dollar amount contributed by employer

d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify):

a Name of contributing employer

b EIN c Dollar amount contributed by employer d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer

b EIN c Dollar amount contributed by employer d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer b EIN c Dollar amount contributed by employer d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer b EIN c Dollar amount contributed by employer d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

a Name of contributing employer b EIN c Dollar amount contributed by employer d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X

and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______

e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete lines 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): _______________________________

Page 211: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

14 Enter the number of participants on whose behalf no contributions were made by an employer as an employer of the participant for:

a The current year ................................................................................................................................................

123456789012345

14a

b The plan year immediately preceding the current plan year .............................................................................. 14b 123456789012345

c The second preceding plan year ...................................................................................................................... 14c 123456789012345

15 Enter the ratio of the number of participants under the plan on whose behalf no employer had an obligation to make an employer contribution during the current plan year to:

a The corresponding number for the plan year immediately preceding the current plan year ............................... 15a 123456789012345

b The corresponding number for the second preceding plan year ....................................................................... 15b 123456789012345

16 Information with respect to any employers who withdrew from the plan during the preceding plan year:

a Enter the number of employers who withdrew during the preceding plan year ............................................... 16a 123456789012345

b If line 16a is greater than 0, enter the aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers ...................................................................................................

16b 123456789012345

17 If assets and liabilities from another plan have been transferred to or merged with this plan during the plan year, check box and see instructions regarding supplemental information to be included as an attachment. ....................................................................................................................... X

Part VI Additional Information for Single-Employer and Multiemployer Defined Benefit Pension Plans 18 If any liabilities to participants or their beneficiaries under the plan as of the end of the plan year consist (in whole or in part) of liabilities to such participants

and beneficiaries under two or more pension plans as of immediately before such plan year, check box and see instructions regarding supplemental information to be included as an attachment ....................................................................................................................................................................... X

19 If the total number of participants is 1,000 or more, complete lines (a) through (c)

a Enter the percentage of plan assets held as: Stock: _____% Investment-Grade Debt: _____% High-Yield Debt: _____% Real Estate: _____% Other: _____%

b Provide the average duration of the combined investment-grade and high-yield debt: X 0-3 years X 3-6 years X 6-9 years X 9-12 years X 12-15 years X 15-18 years X 18-21 years X 21 years or more

c What duration measure was used to calculate line 19(b)? X Effective duration X Macaulay duration X Modified duration X Other (specify):

Part VII IRS Compliance Questions

20a Is the plan a 401(k) plan? If “No,” skip b ..................................................................................................... X Yes X No

20b How did the plan satisfy the nondiscrimination requirements for employee deferrals under section 401(k)(3) for the plan year? Check all that apply: ......................................................................................

X Design-based safe harbor X “Prior year”

ADP test

X “Current year” ADP test X N/A

21a What testing method was used to satisfy the coverage requirements under section 410(b) for the plan year? Check all that apply: ........................................................................................................................

X

Ratio percentage test

X Average benefit test X N/A

21b Did the plan satisfy the coverage and nondiscrimination requirements of sections 410(b) and 401(a)(4) for the plan year by combining this plan with any other plan under the permissive aggregation rules? .......

X Yes X No

22a If the plan is a master and prototype plan (M&P) or volume submitter plan that received a favorable IRS opinion letter or advisory letter, enter the date of the letter _____/_____/_____ and the serial number ______________.

22b If the plan is an individually-designed plan that received a favorable determination letter from the IRS, enter the date of the most recent determination letter _____/_____/______.

Schedule R (Form 5500) 2016 Page 3

Page 212: Form 5500 Annual Return/Report of Employee …...For Paperwork Reduction Act Notice, see the Instructions for Form 5500 or 5500-SF. Schedule MB (Form 5500) 2016 v. 160205 609275952

Plan Name EIN:Plan Sponsor's Name PN:

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Contribution rate (in dollars and cents)

Base unit measure: Hourly Weekly Unit of production Other (specify):

Attachment to 2016 Form 5500Schedule R, line 13e - Information on Contribution Rates and Base Units

United Mine Workers of America 1974 Pension Plan 52-1050282UMWA 1974 Pension Trust Board of Trustees 002

5.00X

0.96X per ton