1. The total number of participants with account balances (inclusive of both active and terminated employees) as well as the total number of employees.

  2. Total Plan assets displaying the assets invested in each of the investment options (by ticker symbol).  Please include a copy of the most current statement(s) of Plan assets. If an employer match is currently being provided, state the formula for the match.

  3. The approximate annual cash flow (comprised of employee deferrals, employer matching contributions and other employer contributions, if applicable) being contributed into the Plan.

  4. List the available investment options by name and ticker symbol.  Also include the name of the investment/Plan provider (e.g. Vanguard).

  5. Total plan costs segregated among each type of cost (e.g. investments; record keeping; administration; etc).

  6. Summary Plan Description, Plan Document and/or Trust Agreement.  If applicable, also include the Adoption Agreement.

  7. The most recent Trustee report sent to Plan trustees.

  8. Complete 5500 Form and Summary Annual Report for the most recent Plan year-end.

  9. A copy of the most recent Plan audit report, if applicable.

  10. If an insurance company is the Plan provider, a copy of the group variable annuity contract.

  11. Investment Policy Statement of the Plan if one exists.

  12. Who provides third party administrator services to the Plan (e.g. recordkeeping, administrative and compliance)?  

  13. List any other individual(s) or firm(s) providing services to the Plan.

  14. If more than one Qualified Retirement Plan is in existence, please provide relevant information regarding each (and specify why there are multiple plans).