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Home My WebLink About20150410PAC to Staff 32 (2).pdf 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 6047(e), 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 2011 This Form is Open to Public Inspection Part I Annual Report Identification Information For calendar plan year 2011 or fiscal plan year beginning and ending A This return/report is for: X a multiemployer plan; X a multiple-employer plan; or 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 and address, including room or suite number (Employer, if for single-employer plan) 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 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 For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. Form 5500 (2011) v.012611 06/30/2012 X 202-521-2200 12/06/1974 04/15/2013 525920 DAVID M. YOUNG, TRUSTEE Filed with authorized/valid electronic signature. 002 07/01/2011 UMWA 1974 PENSION TRUST BOARD OF TRUSTEES UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN 52-1050282 MICHAEL H. HOLLAND, TRUSTEE 2121 K STREET N.W. SUITE 350 WASHINGTON, DC 20037-1879 04/15/2013 X X Filed with authorized/valid electronic signature. Form 5500 (2011) Page 2 3a Plan administrator’s name and address (if same as plan sponsor, enter “Same”) 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 (welfare plans complete only lines 6a, 6b, 6c, and 6d). a Active participants .....................................................................................................................................................................6a 123456789012 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, 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 Characteristic Codes in the instructions: b If the plan provides welfare benefits, enter the applicable welfare feature codes from the List of Plan Characteristic 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 84318 10633 202-521-2200 10789 X 118084 52-1050282 X X X UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 2121 K STREET N.W. SUITE 350 WASHINGTON, DC 20037-1879 30766 1B 1G 43 62896 X X 115084 X 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 2011 This Form is Open to Public Inspection For calendar plan year 2011 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) 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 and OMB Control Numbers, see the instructions for Form 5500 or Form 5500-SF. Schedule MB (Form 5500) 2011 v.012611 MERCER 06/30/2012 01 52-1050282 6618702000 688217000 212-345-7087 07/01/2011 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 4421136000 03/27/2013 002 5077338000 6618702000 07 49919000 11-03555 2011 X CAROL R. GRAMER 9650507000 1166 AVENUE OF THE AMERICAS, NEW YORK, NY 10036-2708 Schedule MB (Form 5500) 2011 Page 2 - 1 x 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: Totals ► 3(b) 3(c) 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 b X Entry age normal c X Accrued benefit (unit credit) d X Aggregate e X Frozen initial liability f X Individual level premium g X Individual aggregate h X Shortfall i X Reorganization j X Other (specify): ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI AB ABCDEFGHI ABCDEFGHI ABCDEFGHI C ABCDEFGHI ABCDEFGHI ABCDEFGHI DE k If box h is checked, enter period of use of shortfall method .......................................................................................5k YYYY-MM-DD l Has a change been made in funding method for this plan year? ...................................................................................................................... X Yes X No m If line l is “Yes,” was the change made pursuant to Revenue Procedure 2000-40 or other automatic approval? ............................................. X Yes X No n If line l is “Yes,” and line m is “No,” enter the date (MM-DD-YYYY) of the ruling letter (individual or class) approving the change in funding method ....................................................................................................................5n YYYY-MM-DD 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% 2 Operational information as of beginning of this plan year: (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 4 Information on plan status: a Enter code to indicate plan’s status (see instructions for attachment of supporting evidence of plan’s status). If code is “N,” go to item 5. .............................................................................................................................................4a b Funded percentage for monitoring plan’s status (line 1b(2) divided by line 1c(3)) ....................................................4b 123.1% 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, were any adjustable benefits reduced? .............................................................................................................. X Yes X No e If line d is “Yes,” enter the reduction in liability resulting from the reduction in adjustable benefits, measured as of the valuation date ...................................................................................................................................................4e -123456789012345 718594000 X A 76.7 A 1633189000 X 3.5 S 08/15/2011 09/15/2011 10/15/2011 11/15/2011 12/15/2011 01/15/2012 10427 02/15/2012 1403692000 03/15/2012 04/15/2012 9070000 X 10889000 129211000 10568000 12284000 10342000 9302000 12616000 11589000 4421142475 9537000 1 05/15/2012 18.2 06/15/2012 07/15/2012 4.48 7298724000 X 9650507000 11787000 A 11313000 X 9914000 95353 2.9 3.5 X 0 229497000 45.81 8.00 12304 A 118084 8.00 Schedule MB (Form 5500) 2011 Page 3 - 1 x 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 Is the plan required to provide a Schedule of Active Participant Data? (See the instructions.) If “Yes,” attach 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 (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 (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 (3) is “Yes,” enter the date of the ruling letter approving the extension ......................................................8d(5) YYYY-MM-DD (6) If line (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 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 1838005000 6366435000 4721612000 26459000 3731002000 1479000 1233395000 3071400000 2669695000 1117119000 X X 216764000 27032000 89244000 2155376000 129211000 570049000 1 1 3 247154000 13818000 Schedule MB (Form 5500) 2011 Page 4 9 o Current year’s accumulated reconciliation account: (1) Due to waived funding deficiency accumulated prior to the 2011 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 X 0 0 0 0 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 2011 This Form is Open to Public Inspection. For calendar plan year 2011 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 disclosure 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 and OMB Control Numbers, see the instructions for Form 5500 Schedule C (Form 5500) 2011 v.012611 23-1945930 20-8031906 52-1050282 06/30/2012 X KTR CAPITAL PARTNERS GRANTHAM,MAYO,OTTERLOO & CO LLC THE VANGUARD GROUP, INC. HARVEST ADVISORS V, LLC 07/01/2011 002UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 20-3929631 04-2691242 Schedule C (Form 5500) 2011 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 20-4202660 13-3970786 20-2706360 HARVEST PARTNERS V, LP K2/D&S MANAGEMENT CO., LLC CHARTERHOUSE CAPITAL PARTNERS LLP SNOW PHIPPS GROUP, LLC SV LIFE SCIENCES ADVISERS, LLC 1 7TH FLOOR, WARRICK COURT PATERNOSTER SQUARE LONDON, ENGLAND EC4M7DX UK 201 WASHINGTON ST BOSTON, MA 02108 Schedule C (Form 5500) 2011 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 EMPLOYEES NONE NONE 10 15 25 27 28 29 30 36 49 50 27 28 50 51 27 28 34 50 51 9757941 3530125 1129784 52-6150908 1974 PENSION TRUST 13-2871809 33-0123114 BRIDGEWATER & ASSOCIATES AMERICAN REALTY CORE X X X 1 Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 19 50 27 28 50 51 1095583 0973739 874782 0 X X X X CITY OF LONDON INVESTMENT GROUP 13-5160382 27-0184174 BANK OF NEW YORK MELLON BLACKROCK INST TRUST CO 1125 AIRPORT ROAD COATESVILLE, PA 19320 X 2 X X Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 11 16 50 27 28 50 51 802853 609412 516399 13-3379970 ING CLARION 13-2836900 61-1553760 MERCER HUMAN RESOURCE CON UBS TRUMBULL FUND X X X 3 Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 27 28 50 51 27 28 50 51 476533 474702 469650 04-1867445 SSGA GLOBAL 48-1140940 13-5123346 NISA INVESTMENT ADVISORS JP MORGAN GUARANTEE TRUST CO. X X X 4 Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 27 28 50 51 22 50 444347 0 442721 X 354178 X 30-0447847 DIMENSIONAL FUND ADVISORS 01-0614895 36-1436000 INTECH MARSH USA, INC. X X 5 X Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 27 28 50 51 56 27 28 50 51 381455 1295360556 350675 XX 04-3200030 LOOMIS SAYLES 06-1543710 13-1931123 BLACKROCK FINANCIAL MANAGEMENT INC. ARGUS INVESTORS X X 6 X Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 27 28 50 51 29 50 309051 0 265733 X 262062 X 13-3575636 GOLDMAN SACHS ASSET MGMT 23-2772200 23-0891050 LSV ASSET MANAGEMENT MORGAN, LEWIS & BOCKIUS L X X 7 X Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 72 50 27 28 50 51 68 262002 153301 142752 0 XX 75-2403190 BARROW HANLEY, MEWINNEY 13-3417984 52-0556948 BLOOMBERG FINANCE, L.P. T. ROWE PRICE X X 8 X Schedule C (Form 5500) 2011 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 NONE NONE NONE 10 50 49 50 29 50 140493 133297 124946 52-1044197 BOND BEEBE 47-0751768 52-1182494 VERIZON MOONEY GREEN BAKER SAINDO X X X 9 Schedule C (Form 5500) 2011 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 NONE NONE NONE 29 50 49 50 28 34 50 51 116390 91862 85140 52-1212890 MILLER & CHEVALIER 52-0975591 94-6052285 KELLY PRESS INC BLACKROCK INST TRUST CO. X X X 10 Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 16 17 50 72 50 60496 56363 53299 04-0025081 SSGA 22-3693659 LINDA FRITZ BURGISS GROUP, LLC, THE PO BOX 61 PENHOOK, VA 24137 X X X 11 Schedule C (Form 5500) 2011 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 NONE NONE NONE 49 50 15 50 49 50 51272 49604 46522 53-0191325 DOYLE PRINTING & OFFSET C 52-1471842 88-0443249 LEXIS-NEXIS MICROSOFT LICENSING, GP X X X 12 Schedule C (Form 5500) 2011 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 NONE NONE NONE 15 27 50 49 50 15 50 43433 43240 42314 95-2755361 WILSHIRE ASSOCIATES, INC. 54-1490546 13-3036745 K & R INDUSTRIES AUTOMATIC DATA PROCESSING X X X 13 Schedule C (Form 5500) 2011 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 NONE NONE NONE 49 50 16 50 16 50 42041 39269 35080 INSIGHT DIRECT, USA 13-3954297 52-1249725 BUCK CONSULTANTS, LLC CHRYSALIS GROUP, INC PO BOX 731069 DALLAS, TX 75373-1069 X X X 14 Schedule C (Form 5500) 2011 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 NONE NONE NONE 16 50 70 29 50 49 50 34445 28936 27578 23-0334400 IKON OFFICE SOLUTIONS 52-0969534 20-5093181 BREDHOFF & KAISER ICORE NETWORKS, INC. X X X 15 Schedule C (Form 5500) 2011 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 NONE NONE NONE 15 50 49 50 49 50 23250 22983 22116 52-1729143 DATABANK IMX, INC. 20-8035953 56-1133017 AXIOM GROUP, LLC SAS INSTITUTE, INC. X X X 16 Schedule C (Form 5500) 2011 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 NONE NONE NONE 16 50 15 50 49 50 21500 21362 20406 13-1835864 SEGAL COMPANY 23-2106195 SUNGARD AVAILABILITY SERV UNITED PARCEL SERVICE, IN PO BOX 7247-0244 PHILADELPHIA, PA 19170 X X X 17 Schedule C (Form 5500) 2011 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 NONE NONE NONE 25 50 16 50 49 50 16925 16790 16648 84-1256502 FRONTRANGE SOLUTIONS USA 26-2871552 13-3458861 SYNECOLOGY PARTNERS L3C PROTRAK INTERNATIONAL X X X 18 Schedule C (Form 5500) 2011 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 NONE NONE NONE 49 50 49 50 16 50 16534 16255 15769 FRONTIER 53-0182885 94-3329945 WASHINGTON POST, THE DATA DRIVEN DECISION, INC PO BOX 20550 ROCHESTER, NY 14602-0550 X X X 19 Schedule C (Form 5500) 2011 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 NONE NONE NONE 27 28 50 51 49 50 16 50 15521 15038 15000 94-6507863 BLACKROCK INST TRUST CO 13-4924710 34-1537656 AT&T TOWNSEND GROUP X X X 20 Schedule C (Form 5500) 2011 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 NONE NONE NONE 16 50 49 50 16 50 14927 14355 13284 91-1630801 ASCENTIS 01-0847346 UNITED BUSINESS TECHNOLOGY PIXELMILL, INC 9218 GAITHER ROAD GAITHERSBURG, MD 20877 X X X 21 Schedule C (Form 5500) 2011 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 NONE NONE NONE 49 50 49 50 50 72 12258 12033 11872 333 XX CONVEY COMPLIANCE SYSTEMS, INC. 13-3932439 SPRINT TRADEWEB X 3650 ANNAPOLIS LANE, SUITE 190 PLYMOUTH, MN 55447 PO. BOX 219100 KANSAS CITY, MO 64121-9100 X X 22 Schedule C (Form 5500) 2011 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 NONE NONE NONE 49 50 50 72 49 11144 10742 10366 36-3556041 SAP AMERICA, INC. 20-4530702 26-2521148 THOMAS REUTERS AUTOMON X X X 23 Schedule C (Form 5500) 2011 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 NONE NONE NONE 15 50 16 50 49 50 10125 10000 9903 94-3389460 SMALL WORLD SOLUTIONS 74-3025382 16-1313143 ALIGNMENT CAPITAL GROUP IMMEDIATE MAILING SERVICE X X X 24 Schedule C (Form 5500) 2011 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 NONE NONE NONE 49 50 49 50 49 50 9762 8875 8857 52-0913097 NMS IMAGING, INC. 41-1960004 52-1738021 SHAVLIK TECHNOLOGIES ALLIED TELECOM GROUP X X X 25 Schedule C (Form 5500) 2011 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 NONE NONE NONE 40 50 49 50 49 50 8088 6984 6399 77-0548319 WEBEX CISCO, LLC 20-4348341 71-0427007 ILLUMANT LLC FEDEX X X X 26 Schedule C (Form 5500) 2011 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 NONE NONE NONE 16 50 49 50 49 50 6250 6238 6225 13-3975524 MCLAGAN PARTNERS, INC. 62-0789510 CENTRAL PARKING SYSTEM VERIAN TECHNOLOGIES 8701 MALLARD CREED RD, #238 CHARLOTTE, NC 28262 X X X 27 Schedule C (Form 5500) 2011 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 NONE NONE NONE 29 50 49 50 49 50 6000 5905 5609 IRA F. JAFFE 91-1178250 41-2189625 ULTRABAC SOFTWARE ACCUITY, INC 11705 ROBERTS GLEN COURT POTOMAC, MD 20854-2100 X X X 28 Schedule C (Form 5500) 2011 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 NONE NONE 49 50 29 50 5420 5000 SAGE SOFTWARE, INC. 84-1723072 MARTIN, DAVID P., LLC 14855 COLLECTION CENTER DRIVE CHICAGO, IL 60693 X X 29 Schedule C (Form 5500) 2011 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 Schedule C (Form 5500) 2011 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 1234567890 1 Schedule C (Form 5500) 2011 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) 1 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 2011 This Form is Open to Public Inspection. For calendar plan year 2011 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 and OMB Control Numbers, see the instructions for Form 5500. Schedule D (Form 5500) 2011 v.012611 06/30/2012 27-0184174-001 94-6507863-001 98-0501381-001 485325608 16-1675706-001 36573701 81544396 04-0025081-204 22161397 94-6052285-001 30005515 23-6819730-004 135295738 52-1050282 29011699 C C E E C C 07/01/2011 E UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 002 BLACKROCK INSTITUTIONAL TRUST CO. BLACKROCK INSTITUTIONAL TRUST CO BRIDGEWATER ASSOCIATES, LP BRIDGWATER SHORT TERM INV FUND II L STATE STREET BANK AND TRUST COMPANY BLACKROCK INSTITUTIONAL TRUST CO DFA GROUP TRUST LONG DURATION ALPHA CREDIT EXTENDED EQUITY MARKET FUND BRIDGEWATER PURE APLHA FUNDS LTD BW SHORT TERM FUND II CANADA MSCI INDEX EQUITY INDEX FUND THE MICRO CAP SUBTRUST Schedule D (Form 5500) 2011 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 23-6819730-069 04-0025081-145 US LONG GOVERNMENT MSCI EAFE INDEX BRIDGEWATER PURE APLHA FUNDS LTD BZW BARCLAYS MONEY MARKET COMINGLED PENSION TRUST FUND (LIQUI 04-0025081-141 04-0025081-241 98-0674465-001 94-6450621-001 13-6285055-001 DFA GROUP TRUST STATE STREET BANK AND TRUST COMPANY 1 STATE STREET BANK AND TRUST COMPANY STATE STREET BANK AND TRUST COMPANY BRIDGEWATER ASSOCIATES, LP BLACKROCK INSTITUTIONAL TRUST CO. JP MORGAN CHASE BANK 84269731 286079940 E C 0 251555474 52609295 95 18 C C E C C THE SMALL CAP SUBTRUST US LONG CREDIT Schedule D (Form 5500) 2011 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 SCHEDULE G (Form 5500) Department of Treasury Internal Revenue Service Department of Labor Employee Benefits Security Administration Financial Transaction Schedules 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 2011 This Form is Open to Public Inspection. For calendar plan year 2011 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 Schedule of Loans or Fixed Income Obligations in Default or Classified as Uncollectible Complete as many entries as needed to report all loans or fixed income obligations in default or classified as uncollectible. Check box (a) if obligor is known to be a party in interest. Attach Overdue Loan Explanation for each loan listed. See Instructions. (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500.Schedule G (Form 5500) 2011 v.012611 06/30/2012 52-1050282 DYNEGY HOLDINGS INC NGC CORP CAPITAL TRUST I DYNEGY HOLDINGS INC 07/01/2011 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN 601 TRAVIS STREET SUITE 1400 HOUSTON, TX 77002 1000 LOUISIANNA SUITE 5800 HOUSTON, TX 77002 UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 601 TRAVIS STREET SUITE 1400 HOUSTON, TX 77002 112375 132640 0 11819 0 0 CORPORATE BOND, $1,450,000 FACE VAL 7.750%, DUE 06/01/2019 002 CORPORATE BOND, $1,595,000 FACE VAL 8.316%, DUE 06/01/2027 CORPORATE BOND, $310,000 FACE VALUE 7.625%, DUE 10/15/2026 0 0 0 112375 132640 11819 0 0 11819 1450000 1595000 310000 Schedule G (Form 5500) 2011 Page 2 - 1 x (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 (a) (b) Identity and address of obligor (c) Detailed description of loan including dates of making and maturity, interest rate, the type and value of collateral, any renegotiation of the loan and the terms of the renegotiation, and other material items X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Amount received during reporting year Amount overdue (d) Original amount of loan (e) Principal (f) Interest (g) Unpaid balance at end of year (h) Principal (i) Interest 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345 0 0 0 0 0 0 0 0 1 0 0 0 141728 DYNEGY HOLDINGS INC NORTHERN TELECOM CAP CORP OSPREY CORP RESIDENTIAL CAPITAL LLC 601 TRAVIS STREET SUITE 1400 HOUSTON, TX 77002 195 THE WEST MALL TORONTO, ONTARIO M9C5K1CA CA 1835 BRIAR WOOD ROAD, N.W. ATLANTA, GA 30329-1605 ONE MERIDIAN CROSSINGS MINNEAPOLIS, MN 55423 9619 50794 19882 CORPORATE BOND, $135,000 FACE VALUE 7.125%, DUE 05/15/2018 117377 CORPORATE BOND, $645,000 FACE VALUE 7.875%, DUE 06/15/2026 CORPORATE BOND, $255,000 FACE VALUE 7.797%, DUE 01/15/2049 CORPORATE BOND, $2,692,000 FACE VAL 9.625%, DUE 05/15/2015 9619 50794 19882 117377 135000 645000 255000 2692000 Schedule G (Form 5500) 2011 Page 3 - 1 x Part II Schedule of Leases in Default or Classified as Uncollectible Complete as many entries as needed to report all leases in default or classified as uncollectible. Check box (a) if lessor or lessee is known to be a party in interest. Attach Overdue Lease Explanation for each lease listed. (See instructions) (a) (b) Identity of lessor/lessee (c) Relationship to plan, employer, employee organization, or other party-in-interest (d) Terms and description (type of property, location and date it was purchased, terms regarding rent, taxes, insurance, repairs, expenses, renewal options, date property was leased) X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (e) Original cost (f) Current value at time of lease (g) Gross rental receipts during the plan year (h) Expenses paid during the plan year (i) Net receipts (j) Amount in arrears 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345123456789012345 (a) (b) Identity of lessor/lessee (c) Relationship to plan, employer, employee organization, or other party-in-interest (d) Terms and description (type of property, location and date it was purchased, terms regarding rent, taxes, insurance, repairs, expenses, renewal options, date property was leased) X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (e) Original cost (f) Current value at time of lease (g) Gross rental receipts during the plan year (h) Expenses paid during the plan year (i) Net receipts (j) Amount in arrears 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345123456789012345 (a) (b) Identity of lessor/lessee (c) Relationship to plan, employer, employee organization, or other party-in-interest (d) Terms and description (type of property, location and date it was purchased, terms regarding rent, taxes, insurance, repairs, expenses, renewal options, date property was leased) X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (e) Original cost (f) Current value at time of lease (g) Gross rental receipts during the plan year (h) Expenses paid during the plan year (i) Net receipts (j) Amount in arrears 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345123456789012345 (a) (b) Identity of lessor/lessee (c) Relationship to plan, employer, employee organization, or other party-in-interest (d) Terms and description (type of property, location and date it was purchased, terms regarding rent, taxes, insurance, repairs, expenses, renewal options, date property was leased) X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (e) Original cost (f) Current value at time of lease (g) Gross rental receipts during the plan year (h) Expenses paid during the plan year (i) Net receipts (j) Amount in arrears 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345123456789012345 (a) (b) Identity of lessor/lessee (c) Relationship to plan, employer, employee organization, or other party-in-interest (d) Terms and description (type of property, location and date it was purchased, terms regarding rent, taxes, insurance, repairs, expenses, renewal options, date property was leased) X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (e) Original cost (f) Current value at time of lease (g) Gross rental receipts during the plan year (h) Expenses paid during the plan year (i) Net receipts (j) Amount in arrears 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345123456789012345 (a) (b) Identity of lessor/lessee (c) Relationship to plan, employer, employee organization, or other party-in-interest (d) Terms and description (type of property, location and date it was purchased, terms regarding rent, taxes, insurance, repairs, expenses, renewal options, date property was leased) X ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD (e) Original cost (f) Current value at time of lease (g) Gross rental receipts during the plan year (h) Expenses paid during the plan year (i) Net receipts (j) Amount in arrears 123456789012345 123456789012345 123456789012345 123456789012345 123456789012345123456789012345 1 Schedule G (Form 5500) 2011 Page 4 - 1 x Part III Nonexempt Transactions Complete as many entries as needed to report all nonexempt transactions. Caution: If a nonexempt prohibited transaction occurred with respect to a disqualified person, file Form 5330 with the IRS to pay the excise tax on the transaction. (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transaction including maturity date, rate of interest, collateral, par or maturity value (d) Purchase price ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 123456789012345 (e) Selling price (f) Lease rental (g) Transaction expenses (h) Cost of asset (i) Current value of asset (j) Net gain (or loss) on each transaction 123456789012345 123456789012345 123456789012345 123456789012345 12345678901235 -1234567890123455 (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transaction including maturity date, rate of interest, collateral, par or maturity value (d) Purchase price ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 123456789012345 (e) Selling price (f) Lease rental (g) Transaction expenses (h) Cost of asset (i) Current value of asset (j) Net gain (or loss) on each transaction (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transaction including maturity date, rate of interest, collateral, par or maturity value (d) Purchase price ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 123456789012345 (e) Selling price (f) Lease rental (g) Transaction expenses (h) Cost of asset (i) Current value of asset (j) Net gain (or loss) on each transaction 123456789012345 123456789012345 123456789012345 123456789012345 12345678901235 -1234567890123455 (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transaction including maturity date, rate of interest, collateral, par or maturity value (d) Purchase price ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 123456789012345 (e) Selling price (f) Lease rental (g) Transaction expenses (h) Cost of asset (i) Current value of asset (j) Net gain (or loss) on each transaction (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transaction including maturity date, rate of interest, collateral, par or maturity value (d) Purchase price ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 123456789012345 (e) Selling price (f) Lease rental (g) Transaction expenses (h) Cost of asset (i) Current value of asset (j) Net gain (or loss) on each transaction 123456789012345 123456789012345 123456789012345 123456789012345 12345678901235 -1234567890123455 (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transaction including maturity date, rate of interest, collateral, par or maturity value (d) Purchase price ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 123456789012345 (e) Selling price (f) Lease rental (g) Transaction expenses (h) Cost of asset (i) Current value of asset (j) Net gain (or loss) on each transaction 123456789012345 123456789012345 123456789012345 123456789012345 12345678901235 -1234567890123455 1 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 2011 This Form is Open to Public Inspection For calendar plan year 2011 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 and OMB Control Numbers, see the instructions for Form 5500 Schedule H (Form 5500) 2011 v.012611 79543920 558879025 06/30/2012 726589754 9914324 13087 269596518 312133353 454556768 24616578 52-1050282 1644867 142372718 07/01/2011 12446614 1299912871 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 002 1281716 757395 107248418 237186389 525160295 557505897 10256558 796632386 264629650 15144329 2614533 158634474 2417695 1224836089 520862073533414249 0 Schedule H (Form 5500) 2011 Page 2 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 1183887503 57925977 1349171724 17249746 241636067 7070144 13629344 299562044 157480 4626690996 4208489764 31779150 10922182 194476454 67097511 351103721 165284221 28564344 129211672 418201232 129211672 11208117 4720704519 4421142475 106481 302116518 Schedule H (Form 5500) 2011 Page 3 (a) Amount (b) Total 2b (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 (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. -212652711 514317909 685401364 8527598 98108811 726970620 113888217 41569256 685401364 BOND BEEBE, P.C. 13092044 -66140351 -2044000 X 5094247 115932217 52-1044197 1485601 26991611 X Schedule H (Form 5500) 2011 Page 4- X Part IV Compliance Questions 4 CCTs and PSAs do not complete Part IV. MTIAs, 103-12 IEs, and GIAs do not complete 4a, 4e, 4f, 4g, 4h, 4k, 4m, 4n, or 5. 103-12 IEs also do not complete 4j and 4l. MTIAs also do not complete 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 -123456789012345 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 -123456789012345 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 -123456789012345 d 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 -123456789012345 f 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 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:-123 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 ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHIABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 X X X X X X X 625000 1 X X X X 2340940000 X X 454506 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 section 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 2011 This Form is Open to Public Inspection. For calendar plan year 2011 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 and OMB Control Numbers, see the instructions for Form 5500. Schedule R (Form 5500) 2011 v.012611 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 06/30/2012 0 52-1050282 07/01/2011 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN X X UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 002 X 0 Schedule R (Form 5500) 2011 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 items 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 items 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 items 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 items 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 items 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 items 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): _______________________________ 2016 2016 2016 2016 2016 13-2566594 59-2981186 25-1125516 84-1521723 84-1521724 63-0653224 CONSOLIDATION COAL COMPANY JIM WALTER RESOURCES, INC. EASTERN ASSOCIATED COAL LLC CUMBERLAND COAL RESOURCES, LP EMERALD COAL RESOURCES, LP DRUMMOND COMPANY, INC. 1 31 31 31 31 31 31 5.50 5.50 5.50 5.50 5.50 X X X X X 12 X 12 12 12 12 12 35470514 21073531 8566008 7276052 6923726 6850416 2016 Schedule R (Form 5500) 2011 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 ...................................................................................................................................................14a 123456789012345 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 item 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 items (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 item 19(b)? X Effective duration X Macaulay duration X Modified duration X Other (specify): 15 77609 0 85345 28 X 80544 X 945 0.90 0.96 3 United Mine Workers of America 1974 Pension Plan Financial Statements For the Years Ended June 30,2012 and 2011 --BOND BEEBE __ACCOUNTANTS & ADVISORS UNITED IVIINE WORKERS OF AMERICA 1974 PENSION PLAN TABLE OF CONTENTS FOR THE YEARS ENDED JUNE 30, 2012 AND 2011 REPORT OF INDEPENDENT AUDITORS 1 FINANCIAL STATEMENTS Statements of Net Assets Available for Benefits 2 Statements of Changes in Net Assets Available for Benefits 3 Notes to Financial Statements 4 -27 REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON SUPPLEMENTAL INFORMATION REQUIRED BY THE DEPARTMENT OF LABOR'S RULES AND REGULATIONS FOR REPORTING AND DISCLOSURE UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 28 SCHEDULE G - Part I Explanation of Loans and Fixed Income Obligations in Default SCHEDULE H - Item 4i Schedule of Assets Held for Investment Purposes at End of Year SCHEDULE H - Item 4i Schedule of Assets (Acquired and Disposed of Within Year) SCHEDULE H - Item 4j Schedule of Reportable Transactions ··BONDBEEBE ••ACCOUNTANTS & ADVISORS REPORT OF INDEPENDENT AUDITORS To the Trustees and Participants United Mine Workers of America 1974 Pension Plan We have audited the accompanying statements of net assets available for benefits of the United Mine Workers of America 1974 Pension Plan as of June 30,2012 and 2011 and the related statements of changes in net assets available for benefits for the years then ended. These financial statements are the responsibility of the Plan's management. Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audits to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the financial statements referred to above present fairly, in all material respects, information regarding the United Mine Workers of America 1974 Pension Plan's net assets available for benefits as of June 30, 2012, and the changes therein for the year then ended, and its financial status as of June 30, 2011, and the changes therein for the year then ended, in conformity with accounting principles generally accepted in the United States of America. A Professional Corporation Bethesda, IVID December 14,2012 A PROFESSIONAL CORPORATION WITH OFFICES IN BETHESDA, MD AND ALEXANDRIA, VA 1 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS JUNE 30, 2012 AND 2011 ASSETS Cash and cash equivalents -net of outstanding checks Investments -at fair value Investments held Investments on loan -Note 14 Securities lending collateral received as cash and invested -Note 14 Receivables Investment income Contributions from signatory employers Due for securities sold Due from other trusts Other Furniture, equipment and leasehold improvements -cost less accumulated depreciation and amortization of $3,461,000 and $3,138,000 Other assets TOTAL ASSETS LIABILITIES Accounts payable and accrued administrative expenses Obligation to refund collateral received as cash -Note 14 Due for securities purchased Accrued administrative employees' pension benefit liability Note 8 Accrued administrative employees' postretirement benefits other than pensions -Note 9 Other TOTAL LIABILITIES NET ASSETS AVAILABLE FOR BENEFITS 2012 2011 $ 144,678,000 $ 75,874,000 3,795,214,000 293,288,000 4,088,502,000 299,990,000 4,145,554,000 186,358,000 4,331,912,000 190,963,000 6,673,000 9,914,000 51,920,000 20,836,000 115,000 89,458,000 7,796,000 10,257,000 72,376,000 27,003,000 74,000 117,506,000 807,000 1,320,000 4,624,755,000 975,000 2,538,000 4,719,768,000 6,129,000 299,990,000 49,057,000 5,609,000 190,963,000 49,577,000 20,032,000 20,336,000 40,933,000 124,000 416,265,000 $ 4,208,490,000 31,981,000 157,000 298,623,000 $ 4,421,145,000 See Notes to Financial Statements 2 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN STATEMENTS OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS FOR THE YEARS ENDED JUNE 30, 2012 AND 2011 2012 2011 ADDITIONS Investment income Net appreciation in fair value of investments -Note 3 $ 305,881,000 $ 653,733,000 Interest 36,938,000 36,880,000 Dividends 28,775,000 28,465,000 Securities lending income -Note 14 668,000 346,000 Other 10,220,000 4,038,000 382,482,000 723,462,000 Investment expenses (13,092,000) (11,465,000) 369,390,000 711,997,000 Contributions from signatory employers -Notes 2 and 5 129,174,000 122,642,000 Contributions -withdrawal liability 38,000 298,000 Other income 2,619,000 2,744,000 TOTAL ADDITIONS 501,221,000 837,681,000 DEDUCTIONS Pension benefits -Note 1 674,336,000 639,676,000 Death benefits -Note 1 11,062,000 11,929,000 Administrative expenses -Note 2 24,531,000 24,022,000 TOTAL DEDUCTIONS 709,929,000 675,627,000 NET INCREASE (DECREASE) BEFORE EMPLOYEE BENEFIT ADJUSTMENTS (208,708,000) 162,054,000 Employees' pension-related changes other than net periodic pension cost -Note 8 (765,000) 2,854,000 Employees' postretirement-related changes other than net periodic postretirement benefit cost -Note 9 (3,182,000) 2,729,000 NET INCREASE (DECREASE) IN NET ASSETS AVAILABLE FOR BENEFITS (212,655,000) 167,637,000 NET ASSETS AVAILABLE FOR BENEFITS AT BEGINNING OF YEAR 4,421,145,000 4,253,508,000 NET ASSETS AVAILABLE FOR BENEFITS AT END OF YEAR $ 4,208,490,000 $ 4,421,145,000 See Notes to Financial Statements 3 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN NOTES TO FINANCIAL STATEMENTS FOR THE YEARS ENDED JUNE 30, 2012 AND 2011 NOTE 1: PLAN AND TRUST DESCRIPTION The following brief description of the United Mine Workers of America 1974 Pension Plan (the Plan) and Trust (the Trust) is provided for general information purposes only. Participants should refer to the Plan and Trust documents for more complete information. General The Trust is an irrevocable trust established by the National Bituminous Coal Wage Agreement of 1974 (1974 Agreement) that became effective December 6, 1974. Pursuant to the 1974 Agreement, the National Bituminous Coal Wage Agreement of 2011 (2011 Agreement) that became effective July 1, 2011, and related prior agreements, the Trust provides pension benefits to eligible individuals who retire under provisions of the Plan. Pursuant to the 2011 Agreement and related prior agreements, the Plan defines the type and amount of pension benefits that are provided by the Trust. The Plan also defines the eligibility requirements that individuals must meet to receive benefits from the Trust. The United Mine Workers of America (UMWA) 1950 Pension Plan merged into the Plan on June 30,2007. Benefits -1974 Participants A mine worker who was regularly employed in a classified job on December 6, 1974 or who has earned a year of credited signatory service after December 5, 1974. Normal Retirement Participants are eligible for normal retirement benefits when they either (1) reach age sixty-five with five years of signatory service, subject to break-in-service rules or (2) reach age sixty-two with ten years of signatory service or twenty years of credited service including the required years of signatory service. Signatory service is defined as time during which a participant worked as an employee in a classified job for an employer signatory to the National Bituminous Coal Wage Agreement then in effect. The Plan limits the amount of nonsignatory service that may be recognized by the benefit formula. In addition to the twenty year credited service requirement, the participant must have the following service with an employer signatory to the National Bituminous Coal Wage Agreement: Years of Signatory Maximum Number of Years of Nonsignatory Date of Retirement Service Required Service Included in Credited Service Before 1/1/77 1/1/77 to 12/31/77 5 6 15 14 1/1/78 to 12/31/78 7 13 1/1/79 to 12/31/79 1/1/80 to 12/31/80 8 9 12 11 1/1/81 and after 10 10 Age Fifty-five Retirement Pension Participants are eligible for early retirement benefits when they reach age fifty-five with at least ten years of signatory service or twenty years of credited service including the required years of signatory service. The dollar amount for such benefit is subject to reduction for early commencement in accordance with the provisions of the Plan. 4 NOTES TO FINANCIAL STATEMENTS NOTE 1: PLAN AND TRUST DESCRIPTION -continued Disability Retirement Participants are eligible for disability retirement benefits when the disability is due to a mine accident occurring on or after December 6, 1974, while the participant is employed in a classified job for a signatory employer, and the participant is eligible for Social Security Disability Insurance benefits as a result of such an accident. The benefit is payable as either: • A normal disability benefit to participants with at least ten years of signatory service prior to retirement, or • A minimum disability benefit to participants with less than ten years of signatory service prior to retirement. Deferred Vested Pension Participants vest upon completion of ten years of signatory service or twenty years of credited service (as defined under Normal Retirement Pension eligibility). Participants also vest upon completion of five years of signatory service with one hour of service on or after July 1, 1999. Vested participants who retire prior to attaining age fifty-five and who do not qualify for a Deferred Vested Pension -Special or a Deferred Vested Pension Enhanced 1996 are eligible for this benefit, which is sUbject to an actuarial reduction. Deferred Vested Pension -Special Vested participants who were between the ages of fifty and fifty-five on their last day of work, which occurs on or after June 7, 1981, who have at least twenty years of signatory service, and who were either (1) laid-off and had not refused recall or (2) terminated under Article III, Section U) of the 2002 Agreement (or physically unable to perform regular work) and not employed in the coal industry thereafter, are eligible for the benefits. This type of benefit was deleted as of January 1,2007, for participants who retired under the 2011 Agreement. Those individuals may be eligible for a similar benefit under an existing pension type that makes the Deferred Vested Pension -Special redundant. Deferred Vested Pension -Enhanced 1996 Vested participants who ceased classified work on or after December 16, 1993, but prior to attaining age 55, who have at least twenty years of signatory service, and who were either (1) laid-off and had not refused recall or (2) terminated under Article III, Section U) of the Wage Agreement (or physically unable to perform regular work) and not employed in the coal industry thereafter, and the participants' pension benefits are not in pay status on or before August 16, 1996 are eligible for the benefits. Special Permanent Layoff Pension Vested participants who ceased classified work on or after January 1, 1998, and had twenty years of signatory service, prior to age fifty-five and who either (1) had been permanently laid-off due to mine closing, or (2) permanently laid off (i.e, on layoff status at least 180 days and not refused recall), are eligible for this benefit, which is calculated as if the participants were age 55. Vested participants who do not have credited signatory service between November 1, 1997 and June 17, 1998 and who return to work after June 18, 1998, must work either 250 hours of credited signatory service or return to work as a result of a recall to fill a bona fide job opening. 5 NOTES TO FINANCIAL STATEIVIENTS NOTE 1: PLAN AND TRUST DESCRIPTION -continued Special 30-and-Out Layoff Pension Vested participants whose last day of credited service is on or after January 1, 2002, and who had at least 30 years of signatory service on such last day of credited service and who have been laid off and not refused recall are eligible for this benefit. The dollar amount of such benefit is the amount the participant would be eligible to receive under the Normal Retirement option, not subject to reduction for early commencement. Any participant who, because of layoff, was not actively at work as of December 31, 2001, must either earn at least 250 hours of credited service following his return to work, or return to work as the result of a recall determined by the Trustees to have been to fill a bona fide job opening and not for the purpose of qualifying for this Special 30-and-Out Layoff Pension Benefit to be eligible for this benefit. This type of benefit was deleted as of January 1, 2007, for participants who retired under the 2011 Agreement. Those individuals may be eligible for a similar benefit under an existing pension type that makes the Special 30-and-Out Layoff Pension redundant. 30-and-Out Pension Vested participants whose last day of credited service is on or after January 1, 2003 and who had at least 30 years of signatory service on such last day of credited service are eligible for this benefit. The dollar amount of such benefit is the amount the participant would be eligible to receive under the Normal Retirement option, not subject to reduction for early commencement. Any participant who, because of layoff, was not actively at work as of December 31, 2001, must either earn at least 250 hours of credited service following his return to work, or return to work as a result of a recall determined by the Trustees to have been to fill a bona fide job opening, and not for the purpose of qualifying for this 30-and-Out Pension Benefit to be eligible for this benefit. Surviving Spouse Benefit Generally, eligible surviving spouses of participants who had attained age fifty-five and were receiving, or were eligible to receive at the time of death, a pension (except Deferred Vested participants who have less than twenty years of credited service) are eligible for this benefit, which is equal to 75 percent of the participant's pension. A Surviving Spouse Benefit of $10,000 plus $100 a month is also provided for participants who completed at least ten years of credited service and who died as a result of a mine accident during the term of the National Bituminous Coal Wage Agreement of 1978 or 1981. Joint and Survivors Annuity If a participant qualifies for a pension under the Plan but is not covered by a Surviving Spouse Benefit, the pension benefit otherwise provided to such participant shall be reduced actuarially and 50 percent of such reduced pension benefit will be continued, after the death of the participant, for the life of any eligible surviving spouse. However, such participant may elect not to take a joint and survivor annuity and instead receive an unreduced pension benefit for life only. Preretirement Survivors Annuity An eligible surviving spouse is entitled to receive a preretirement survivor annuity if the participant completed ten years of signatory service for vesting purposes and died on or after October 1, 1984, and before attaining age fifty-five. 6 NOTES TO FINANCIAL STATEMENTS NOTE 1: PLAN AND TRUST DESCRIPTION -continued Death Benefits Subject to the following conditions and exceptions, death benefits are provided to the named beneficiaries of any pensioner (other than a pensioner receiving a deferred vested pension based upon less than twenty years of credited service or a pensioner receiving a pension based in whole or in part upon years of service credited under the terms of Article II (G) of the Plan) whose death occurs on or after February 1, 1991. The pensioner's last credited signatory service must have been with an employer signatory to the 2011 or 2007 Agreement (where applicable) or any agreement that provides for conforming contributions to the Plan. The death benefit shall be equal to $8,500 for deaths occurring on or after January 1, 2007, if the named beneficiary is the pensioner's surviving spouse or dependent. In any other case, the death benefit shall be equal to $7,000 for deaths occurring on or after January 1, 2007. Death benefits are not provided by the Plan for pensioners who are also eligible beneficiaries of the UMWA Combined Benefit Fund. Supplemental Payments Pensioners and surviving spouses as of October 31, 2011 and 2010, each received one-time single sum supplemental payments of $580 (service pension), or $455 (surviving spouse or disability). Benefits -1950 Participants A mine worker who qualifies for a pension benefit and who ceased performing classified work for an Employer prior to December 31,1975 or became disabled between May 28,1946 and December 6, 1974 as a result of a mine accident. Normal Retirement A participant is eligible for normal retirement benefits when he ceases work, attains age fifty-five, and has completed one of the two service requirements described below: • Twenty years of credited service including service with an employer signatory to the National Bituminous Coal Wage Agreement: Years of Signatory Date Attains Age 55 Service Reguired Before 1/1/77 1/1/77 to 12/31/77 5 6 1/1/78 to 12/31/78 7 1/1/79 to 12/31/79 1/1/80 to 12/31/80 8 9 1/1/81 and after 10 • Ten years signatory service including at least three years after December 31,1970. Disability Retirement A participant is eligible for disability retirement benefits when the disability is due to a mine accident that occurred between May 29, 1946 and December 6, 1974, when the participant worked in a classified job for a signatory employer, and when the participant is eligible for Social Security Disability Insurance benefits as a result of such an accident. 7 NOTES TO FINANCIAL STATEMENTS NOTE 1: PLAN AND TRUST DESCRIPTION -continued Widow's Pension Commencing March 1, 1982, a widow's pension is available to the widow of a pensioner receiving benefits under this Plan at time of death if the widow was married to such pensioner throughout the nine-month period ending on the date of the pensioner's death (unless such nine-month period would be waived for purposes of Social Security widow's benefits). Termination with Vested Rights Participants' rights vest upon completion of either twenty years of credited service (including the required amount of signatory service) or ten years of signatory service and at least three years of which are signatory after December 31, 1970. Death Benefits Death benefits are provided for eligible survivors of any participant who either: (a) was receiving pension payments under this Plan at the time of death and was eligible for health benefits under the UMWA 1992 Benefit Plan; UIVIWA 1993 Benefit Plan; or a plan maintained by an employer pursuant to section 9711 of the Internal Revenue Code, or (b) had made application for, and was eligible to receive, such payments and benefits. The death benefit shall be equal to $8,500 for deaths occurring on or after January 1, 2007, for such participant with dependents at the time of his death, and $7,000 for deaths occurring on or after January 1, 2007, for such participant without dependents at the time of his death. Death benefits are not provided by the Plan for pensioners who are participants of the UMWA Combined Benefit Fund. Supplemental Payments Pensioners and surviving spouses as of October 31, 2011 and 2010, each received one-time single sum supplemental payments of $580 (service pension), or $455 (surviving spouse or disability). NOTE 2: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES The Plan's accounting policies reflect practices common to employee benefit plans and conform with accounting principles generally accepted in the United States of America. Significant accounting policies are summarized as follows: Cash Equivalents Demand deposits and highly liquid investments with a maturity of three months or less when acquired, are considered cash equivalents. Investments Valuation and Income Recognition If available, quoted market prices are used to value investments. The amount shown in Note 3 for investments that have no quoted market price represents estimated fair value. Many factors are considered in arriving at that fair value. Corporate stocks and certain registered investment companies, certain U.S. government securities and other investments are valued based on quoted market prices. Certain U.S. government securities, short-term and foreign currency investments, corporate debt instruments and certain registered investment companies and other investments are valued using quoted prices of like assets, corroborated market data, indices and/or yield curves. Common/collective trusts are valued by the investment manager or the sponsor based on the value of the underlying investments of the trust. Partnership interests are usually recorded at the net asset value reported to the Plan by the investment managers in accordance with written policy. Fair value estimates of the partnership interests are reviewed, monitored and adjusted if appropriate by the Trustees of the Plan in accordance with the written policy. 8 NOTES TO FINANCIAL STATEMENTS NOTE 2: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES -continued The Plan also invests in real estate which principally consists of rental properties sUbject to long-term leases, through wholly-owned title holding and limited liability corporations exempt from tax under Internal Revenue Code Section 501 (c)(2). These investments are recorded at the estimated fair value reported by the corporations' third party management, which is estimated on the basis of future rental receipts and estimated residual values discounted at rates commensurate with the risks involved. The assets of the corporations are appraised periodically by independent appraisers. The valuations of these investments are reviewed, monitored and adjusted if appropriate by the Trustees of the Plan in accordance with written policy. Purchases and sales of securities are recorded on a trade-date basis. Investment receivables and investment payables represent amounts due and payable, respectively, for security transactions not yet settled at period end. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date. Realized and unrealized gains and losses on the value of investments are recognized in net appreciation in fair value of investments on the statements of changes in net assets available for benefits. Signatory Employer Contributions Receivables Contributions from signatory employers are accrued based upon signatory employer remittance reports and cash receipts subsequent to year-end. Management believes all contributions receivable are collectible and no allowance for uncollectible accounts has been provided. Financial Instruments with Off-Balance-Sheet Risk The Plan is a party to a variety of derivative and hedge fund investments. These investments may be used to hedge or shift exposure to the currency, equity and fixed income markets and are carried at market value. Realized and unrealized gains and losses are included in net appreciation in fair value of investments on the statements of changes in net assets available for benefits. Administrative Expenses The Plan pays for administrative services provided to it and to other irrevocable trusts established pursuant to the 1974 Agreement, the 2011 Agreement, related interim agreements, and the Coal Industry Retiree Health Benefit Act of 1992. Administrative expenses applicable solely to each plan have been directly charged to that plan. The remaining administrative expenses were allocated among the plans based on functional activities using predetermined factors meaningful to each particular function. Administrative expenses totaling approximately $24,531,000 and $24,022,000 for the years ended June 30,2012 and 2011, respectively, are shown net of cost allocated to related party plans. Use of Estimates The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities, disclosure of contingent assets and liabilities, and the actuarial present value of accumulated plan benefits at the date of the financial statements and changes therein during the reporting period. Actual results could differ from those estimates. 9 NOTES TO FINANCIAL STATEIVIENTS NOTE 2: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES -continued Furniture, Equipment and Leasehold Improvements Furniture, equipment and leasehold improvements are capitalized at cost. Depreciation and amortization on furniture, equipment and leasehold improvements are calculated on the straight-line method over the estimated useful lives of the assets. Furniture and equipment is depreciated over 3 to 10 years, and leasehold improvements are amortized over the term of the lease. Depreciation and amortization expenses, after allocation to other related plans, for the years ended June 30, 2012 and 2011 were $217,000 and $241,000, respectively. Recognition of Benefits Benefits are recognized when paid. Subsequent Events In preparing these financial statements, management of the Plan has evaluated events and transactions that occurred after June 30,2012 for potential recognition or disclosure in the financial statements. These events and transactions were evaluated through December 14,2012, the date that the financial statements were available to be issued. NOTE 3: INVESTMENTS Investments of the Plan at June 30, 2012 and 2011 were: 2012 2011 Short-term and foreign currency investments $ 3,372,000 $ 12,441,000 Corporate stocks -common 726,405,000 793,085,000 Corporate stocks -preferred 1,645,000 2,418,000 Registered investment companies 374,252,000 456,603,000 U.S. government securities 525,160,000 454,557,000 Corporate debt instruments 142,373,000 159,916,000 Partnership/joint venture interests 559,064,000 557,506,000 Real estate 236,626,000 312,133,000 Common/collective trusts 1,227,746,000 1,303,460,000 Other 291,859,000 279,793,000 $ 4,088,502,000 $ 4,331,912,000 The fair values of the individual investments that represent five percent or more of the Plan's net assets available for benefits are as follows: SSGA MSCI EAFE Index SL Fund $ 251,555,000 $ 301,274,000 SSGA U.S. Long Credit Fund $ 286,080,000 $ 257,755,000 Blackrock Active Long Credit Fund $ 485,326,000 $ 477,333,000 10 NOTES TO FINANCIAL STATEMENTS NOTE 3: INVESTMENTS -continued During the years ended June 30,2012 and 2011, the Plan's investments, including investments bought, sold and held during the year, appreciated (depreciated) in value by $305,881,000 and $653,733,000, respectively, as shown in the schedule presented below: 2012 2011 Investments -at fair value as determined by quoted market price Corporate stocks -common $ (25,407,000) $ 225,215,000 Corporate stocks -preferred (515,000) 2,100,000 Registered investment companies (38,418,000) 79,988,000 U.S. government securities 151,175,000 (15,370,000) Other 51,353,000 (4,514,000) 138,188,000 287,419,000 Investments -at estimated fair value Short-term and foreign currency investments 52,000 928,000 U.S. government securities 54,940,000 (9,668,000) Corporate debt instruments (4,979,000) 20,514,000 Registered investment companies (27,804,000) 22,930,000 Partnership/joint venture interests 19,857,000 71,811,000 Real estate 20,767,000 20,786,000 Common/collective trusts 98,795,000 188,625,000 Other 6,065,000 50,388,000 167,693,000 366,314,000 $ 305,881,000 $ 653,733,000 Financial Instruments with Off-Balance-Sheet Risk Partnership/Joint Venture Interests The Plan's partnership/joint venture interests consist primarily of limited partnership interests in private equity partnerships. Funds are provided to the investment managers as investments are consummated. As of June 30, 2012 and 2011, the Plan had outstanding commitments to fund an additional $94,558,000 and $97,262,000, respectively, of investments in this asset class. Derivative Financial Instruments As discussed in Notes 2 and 15, the Plan may use derivative financial instruments in the normal course of business to hedge or shift exposure to the currency, equity and fixed income markets. 11 NOTES TO FINANCIAL STATEMENTS NOTE 4: FAIR VALUE MEASUREMENTS Accounting principles generally accepted in the United States of America define fair value as the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date, establish a fair value reporting hierarchy and define three broad levels of inputs (the assumptions that market participants would use in pricing the asset or liability) as noted below: Level 1 Inputs are quoted prices in active markets for identical assets or liabilities that the reporting entity has the ability to access at the measurement date. Level 1 assets may include securities that are traded in an active exchange market or actively traded in over-the-counter markets. Level 2 Valuation is based on directly or indirectly observable inputs other than quoted prices included within Level 1 such as: quoted prices for similar assets or liabilities in active markets, quoted prices for identical or similar assets or liabilities in markets that are not active or inputs other than quoted prices that are observable or can be corroborated to observable market data for substantially the full term of the asset or liability. Level 3 Valuation is based on unobservable inputs for the asset or liability. Level 3 assets may include financial instruments whose value is determined using pricing models with internally developed assumptions, discounted cash flow methodologies, or similar techniques, as well as instruments for which the determination of fair value requires significant management judgment or estimation. A financial instrument's level within the fair value hierarchy is based on the lowest level of any input that is significant to the fair value measurement. The availability of observable market data is monitored to assess the appropriate classification of financial instruments within the fair value hierarchy. Changes in economic conditions or model-based valuation techniques may require the transfer of financial instruments from one fair value level to another. In such instances, the transfer is reported at the end of the reporting period. During the year ended June 30,2012, the Plan transferred fixed income securities from Level 2 to Level 3 because market prices were no longer provided by the investment custodian's pricing source. A detailed description of the valuation methodology for investments is included in Note 2. Cash and cash equivalents are valued using quoted prices of like assets, corroborated market data, indices and/or yield curves. There have been no changes in the methodology used at June 30, 2012 and 2011. 12 NOTES TO FINANCIAL STATEMENTS NOTE 4: FAIR VALUE MEASUREMENTS -continued As of June 30, 2012 and 2011, assets measured at fair value on a recurring basis are summarized by level within the fair value hierarchy as follows: 2012 Level 1 Level 2 Level 3 Total Fair Value Cash and cash equivalents Commingled funds Convertible securities Equities Fixed income securities Future contracts Preferred securities Private equities Real estate Short-term and foreign currency investments Securities lending collateral received as cash and invested Repurchase agreements Asset-backed floating Floating rate notes Commercial papers Certificates of deposit $ 1,007,122,000 292,788,000 2,541,000 1,645,000 $ 144,678,000 26,601,000 365,493,000 3,372,000 99,099,000 19,000 61,195,000 88,772,000 50,905,000 $ 663,184,000 930,066,000 559,064,000 236,626,000 $ 144,678,000 663,184,000 26,601,000 1,007,122,000 1,588,347,000 2,541,000 1,645,000 559,064,000 236,626,000 3,372,000 99,099,000 19,000 61,195,000 88,772,000 50,905,000 $ 1,304,096,000 $ 840,134,000 $ 2,388,940,000 $ 4,533,170,000 Level 1 Level 2 2011 Level 3 Total Fair Value Cash and cash equivalents $ $ 75,874,000 $ $ 75,874,000 Commingled funds 805,171,000 805,171,000 Convertible securities 31,253,000 31,253,000 Equities 1,126,592,000 1,126,592,000 Fixed income securities 299,567,000 295,763,000 892,044,000 1,487,374,000 Future contracts (2,830,000) (2,830,000) Preferred securities 1,905,000 367,000 2,272,000 Private equities 557,506,000 557,506,000 Real estate 312,133,000 312,133,000 Short-term and foreign currency investments 12,441,000 12,441,000 Securities lending collateral received as cash and invested Repurchase agreements 57,269,000 57,269,000 Asset-backed floating 1,258,000 1,258,000 Floating rate notes 59,980,000 59,980,000 Commercial papers 50,881,000 50,881,000 Certificates of deposit 21,575,000 21,575,000 $ 1,425,234,000 $ 606,294,000 $ 2,567,221,000 $ 4,598,749,000 13 NOTES TO FINANCIAL STATEMENTS NOTE 4: FAIR VALUE MEASUREMENTS -continued The following table represents a reconciliation for the years ended June 30,2012 and 2011 for assets measured at fair value on a recurring basis using Level 3 inputs: Commingled Funds Fixed Income Securities Preferred Securities Private Eguities Real Estate Total Balance at July 1, 2010 $ 580,895,000 $ 945,393,000 $ 304,000 $ 471,787,000 $ 351,481,000 $ 2,349,860,000 Total gains or losses Unrealized gains (losses) Realized gains Purchases, sales, issuances and settlements -net 88,570,000 105,012,000 30,694,000 36,248,000 29,691,000 (119,288,000) 63,000 36,703,000 34,951,000 14,065,000 (3,198,000) 23,984,000 (60,134,000) 158,386,000 193,638,000 (134,663,000) Balance at June 30, 2011 805,171,000 892,044,000 367,000 557,506,000 312,133,000 2,567,221,000 Total gains or losses (realized/unrealized) Unrealized gains (losses) Realized gains (losses) Purchases Sales Transfers into Level 3 (95,425,000) 26,484,000 8,065,000 (81,111,000) 117,459,000 28,599,000 287,958,000 (398,349,000) 2,355,000 (269,000) (98,000) (478,000) 20,335,000 59,870,000 (78,169,000) (9,895,000) 30,662,000 3,815,000 (100,089,000) 11,661,000 105,811,000 359,708,000 (657,816,000) 2,355,000 Balance at June 30, 2012 $ 663,184,000 $ 930,066,000 $ $ 559,064,000 $ 236,626,000 $ 2,388,940,000 The fair values as of June 30, 2012 and 2011 of the following investments have been provided by the investment entities using the net asset value per unit of the investment: 2012 2011 Unfunded Unfunded Fair Value Commitments Fair Value Commitments Commingled funds (a) $ 660,022,000 $$ 800,873,000 $ Fixed income securities (b) 889,794,000 892,044,000 Private equities (c) 559,064,000 94,558,000 557,506,000 97,262,000 Real estate (d) 49,932,000 46,974,000 $ 2,158,812,000 $ 94,558,000 $ 2,297,397,000 $ 97,262,000 (a) This category includes investments in collective investment funds that have invested in common and preferred stocks, rights/warrants, security lending collateral, short-term securities, bonds and notes, U.S. Treasury bills, futures and foreign currency contracts, and collective investment funds. Invested amounts may be redeemed on a daily or monthly basis. (b) This category includes investments in funds that hold commercial paper, U.S. Treasury bills, U.S. government securities, international government bonds, securities purchased under agreements to resell, short-term investments, swaps, Bridgewater funds, futures and forward currency contracts and collective funds. Invested amounts may be redeemed on a daily, monthly or semi-monthly basis. 14 NOTES TO FINANCIAL STATEMENTS NOTE 4: FAIR VALUE MEASUREMENTS -continued (c) This category includes investments in private equity partnerships and joint ventures which invest in common stock (domestic & foreign), preferred stock, note, subordinated debt, warrants and options, promissory notes, corporate bonds, and private industrial, technology and energy companies. Redemption of interest in this category of investment may be done only with written consent of the general partner. There is generally a 90 day waiting period to receive the fair value of interest in the partnership. (d) This category includes investments in real estate partnerships and real estate properties located throughout the U.S. An investor may withdraw once per quarter subject to available cash, as determined by the trustee for the investments. A written request is required 45 days prior to quarter end. NOTE 5: FUNDING POLICY Benefits of the Plan are being funded primarily through contributions by employers signatory to the 2011 Agreement and related prior agreements. The 2011 and 2007 Agreements provide for employer contributions at a rate of $5.00 per hour worked by participants and $0.96 per ton produced or acquired on or after January 1, 2010, $5.50 per hour worked by participants and $1.06 per ton produced or acquired on or after January 1, 2011, and $5.50 per hour worked by participants and $1.10 per ton produced or acquired on or after July 1, 2011. Under the Employee Retirement Income Security Act (ERISA) as amended by the Pension Protection Act of 2006 (PPA), on September 27,2010, the Plan's actuary certified that the Plan is in seriously endangered status, as that term is defined in Section 305(b)(1) of ERISA and Section 432(b)(1) of the Internal Revenue Code (Code), for the plan year beginning July 1, 2010. In June 2011, the Bituminous Coal Operators' Association (BCOA) elected funding relief under ERISA Section 304(b)(8)(B) and Code Section 431 (b)(8)(B), as added by the Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010, and the Plan's actuary revised the September 27, 2010 certification to reflect this election. As a result, the Plan's status was redetermined to be neither critical nor endangered for the plan year beginning July 1, 2010, and the adoption of a funding improvement plan was unnecessary. On September 28, 2011, the Plan's actuary certified that the Plan is in seriously endangered status, as that term is defined in Section 305(b)(1) of ERISA and Section 432(b)(1) of the Code, for the plan year beginning July 1, 2011. Based on this seriously endangered status certification, the UMWA and BCOA settlors adopted a funding improvement plan in accordance with applicable law. On September 26,2012, the Plan's actuary certified that the Plan is in seriously endangered status, as that term is defined in Section 305(b)(1) of ERISA and Section 432(b)(1) of the Code, for the plan year beginning July 1,2012. Based on this seriously endangered status certification, the UMWA and BCOA settlors will update the funding improvement plan in accordance with applicable law. NOTE 6: PLAN TERMINATION Upon the termination of the Plan, the Plan shall remain in force and effect for the period necessary to complete the payment of benefits, in accordance with the terms of the Plan, to the extent assets in the Plan are available to pay such benefits and subject to any applicable requirements of federal law concerning employer liability. The signatory employers have guaranteed the benefits provided by the Plan during the term of the 2011 Agreement. In addition, some benefits may be fully or partially provided for by the existing assets and the Pension Benefit Guaranty Corporation (PBGC), but under the law, other benefits may not be provided for at all. The level of benefits guaranteed by the PBGC is subject to statutory ceiling which may be adjusted periodically. 15 NOTES TO FINANCIAL STATEMENTS NOTE 7: ACTUARIAL PRESENT VALUE OF ACCUMULATED PLAN BENEFITS Accumulated plan benefits are expected future periodic payments that are attributable under the Plan's provisions to the service that participants have rendered. Accumulated plan benefits include benefits expected to be paid to (a) retired or terminated participants or their beneficiaries, (b) beneficiaries of deceased participants and (c) present participants or their beneficiaries. Benefits under the Plan are based on participants' years of credited service. Benefits payable under all circumstances (retirement, death, disability and termination of employment) are included, to the extent that they are deemed attributable to employee service rendered prior to the dates on which the benefit information is presented, the valuation dates, July 1, 2011 and 2010. The actuarial present value of accumulated plan benefits is determined by an independent actuarial firm. It is that amount that results from applying actuarial assumptions to adjust the accumulated plan benefits to reflect the time value of money (through discounts for interest) and the probability of payment (by means of decrements such as for death, disability, withdrawal, or retirement) between the valuation date and the expected date of payment. Actuarial assumptions are based on the presumption that the Plan will continue. Were the Plan to terminate, different actuarial assumptions and other factors might be applicable in determining the actuarial present value of accumulated plan benefits. The significant actuarial assumptions used to determine the actuarial present value of accumulated plan benefits as of July 1, 2011 and 2010 were: • Life expectancy of participants: • Preretirement mortality, RP-2000 Mortality Table for Male Employees, assumed to improve by 0.75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99, • Postretirement mortality, RP-2000 Mortality Table for Blue Collar Healthy Male Annuitants with ages set forward one year and assumed to improve by 0.75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99, • Spouse and widow mortality, Unisex Pension 1984 Mortality Table with ages set back two years, assumed to improve by 0.75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99, • Disability mortality, incidence is 1.5% per year for ages 20 through 64. Mortality of disabled lives in accordance with the Unisex Pension 1984 Mortality Table set forward two years, assumed to improve by 0.75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99; • Administrative expenses, 0.2% of assets for investment expenses plus 3.5% of benefit payments for other administrative expenses. • Turnover rates, from 125% of the Vaughn Table plus 4%; • Retirement at age 50 to 65 at rates that vary by age at retirement. • l\Iet investment return -7.8% per year. 16 NOTES TO FINANCIAL STATEMENTS NOTE 7: ACTUARIAL PRESENT VALUE OF ACCUMULATED PLAN BENEFITS -continued The actuarial present value of accumulated plan benefits as of July 1, 2011 and 2010, respectively, is as follows: Vested benefits 2011 2010 Participants currently receiving payments Other participants l\Jonvested benefits $ 6,932,614,000 2,048,715,000 8,981,329,000 72,455,000 $ 6,592,840,000 2,003,680,000 8,596,520,000 168,445,000 $ 9,053,784,000 $ 8,764,965,000 The changes in the actuarial present value of accumulated plan benefits for the plan year 2011 were as follows: Actuarial present value of accumulated plan benefits at July 1, 2010 $ 8,764,965,000 Increase (decrease) attributable to Increase for interest due to decrease in the discount period 389,207,000 Changes in assumptions 488,166,000 Benefits paid (651,605,000) Benefits accumulated, including actuarial gain/ loss 63,051,000 288,819,000 Actuarial present value of accumulated plan benefits at July 1, 2011 $ 9,053,784,000 The changes in assumptions are the change in the interest rate used to calculate the withdrawal liability and accounting information. The actuarial present value of accumulated plan benefits at July 1, 2011 was based on the PBGC's annuity interest rate, 3.96% for 20 years and 4.32% thereafter. The actuarial present value of accumulated plan benefits at July 1, 2010 was based on the PBGC's annuity interest rate, 4.63% for 20 years and 4.51 % thereafter. As of June 30, 2012 and 2011, the Plan's actuarially determined Minimum Funding Standards Account met the minimum funding requirements of ERISA. NOTE 8: EMPLOYEES' PENSION PLAN The Plan sponsors a multiple employer pension plan covering substantially all of the employees of participating employers. The benefits are based on years of service and the employee's four years of highest earnings. The Plan's funding policy is to contribute annually at least the minimum required by ERISA. Contributions are intended to provide for benefits that are attributed to service to date and for those expected to be earned in the future. Net periodic pension costs and the funded status of the Employees' Pension Plan are determined by the Plan's actuaries. 17 NOTES TO FINANCIAL STATEIVIENTS NOTE 8: EMPLOYEES' PENSION PLAN -continued The employees of the Plan, who are generally participants of the Employees' Pension Plan, also provide services to other plans. Accordingly, a portion of the unfunded obligation and related expense have been allocated to other plans and are included in due from other trusts, which is reflected on the statements of net assets available for benefits. The allocated expense is comprised of two components, the net periodic pension cost and the adjustment for pension-related changes other than net periodic pension cost, which are included on the statements of changes in net assets available for benefits. The net periodic pension expense, which is included in administrative expenses on the statements of changes in net assets available for benefits, was computed as follows: 2012 2011 Service cost $ 1,928,000 $ 1,937,000 Interest cost 3,391,000 3,327,000 Expected return on plan assets (3,454,000) (3,210,000) Amortization of prior service cost 74,000 74,000 Recognized actuarial loss 2,372,000 2,053,000 4,311,000 4,181,000 Amount allocated to the other plans for shared employees 2,093,000 1,988,000 1974 Pension Plan net periodic pension expenses $ 2,218,000 $ 2,193,000 Summary of significant actuarial assumptions used to determine net periodic pension costs for the years ended June 30, 2012 and 2011: Discount rate 5.20 % 5.20 % Rate of compensation increase 4.50 % 4.50 % Expected long-term rate of return on plan assets 7.00 % 7.25 % The computation of accrued pension liability as of June 30, 2012 and 2011 was as follows: Projected benefit obligation $ (76,034,000) $ (68,086,000) Fair value of plan assets 56,002,000 47,750,000 Accrued pension liability $ (20,032,000) $ (20,336,000) As of June 30,2012 and 2011, the accumulated benefit obligation was $68,011,000 and $60,952,000, respectively. As of June 30, 2012 and 2011, actuarial amounts that have not yet been recognized as components of net periodic benefit cost, before allocation to other related plans, were: Prior service cost $ 323,000 $ 397,000 Net loss 27,165,000 25,629,000 $ 27,488,000 $ 26,026,000 18 NOTES TO FINANCIAL STATEMENTS NOTE 8: EMPLOYEES' PENSION PLAN -continued Prior service cost and net loss not yet recognized as components of net periodic benefit cost are recognized in the computation of projected benefit obligation and, consequently, annual changes in these amounts are recognized as adjustments to net assets available for benefits. Changes in these amounts, to the extent not recognized as current expense, are reflected as pension-related changes other than net periodic pension cost. For the year ended June 30, 2012, the Plan recognized a decrease in net assets available for benefits of $765,000 for these changes. For the year ended June 30, 2011, the Plan recognized an increase in net assets available for benefits of $2,854,000 for these changes. Amounts expected to be recognized as components of net periodic benefit cost, before allocation to other related plans, during the year ending June 30, 2013 are as follows: Prior service cost $ 70,000 Net loss 3,654,000 $ 3,724,000 Summary of significant actuarial assumptions to determine benefit obligations at June 30, 2012 and 2011: 2012 2011 Discount rate 3.80 % 5.20 % Rate of compensation increase 4.00 % 4.50 % The Employees' Pension Plan's assets are invested with the objective of being able to meet current and future benefit payment needs, while controlling pension expense volatility and future contributions. Employees' Pension Plan assets are diversified among U.S. large cap equities, U.S. small cap equities, international equities, U.S. fixed income investments and cash. The "strategic target" allocation is 55% equities, 43% fixed income funds, and 2% cash. The Employees' Pension Plan's asset allocations at June 30, 2012 and 2011, by asset category are as follows: Equities 53.3 % 55.2 % Fixed income funds 44.8 44.5 Other (including cash) 1.9 0.3 100 % 100 % As of June 30, 2012 and 2011, assets of the Employees' Pension Plan measured at fair value on a recurring basis are summarized by level within the fair value hierarchy as follows: 2012 Level 1 Level 2 Level 3 Total Fair Value Equity funds Fixed income funds Cash and cash equivalents $ $ 1,122,000 $ 30,351,000 25,520,000 $ 30,351,000 25,520,000 1,122,000 $ $ 1,122,000 $ 55,871,000 $ 56,993,000 19 NOTES TO FINANCIAL STATEIVIENTS NOTE 8: EMPLOYEES' PENSION PLAN -continued Level 1 Level 2 2011 Level 3 Total Fair Value Equity funds Fixed income funds Cash and cash equivalents $ $ 129,000 $ 26,828,000 21,663,000 $ 26,828,000 21,663,000 129,000 $ $ 129,000 $ 48,491,000 $ 48,620,000 The table below represents a reconciliation for the years ended June 30,2012 and 2011 of assets measured at fair value on a recurring basis using Level 3 inputs. Fixed Income Equity Funds Funds Total Balance at June 30, 2010 $ 19,246,000 $ 19,334,000 $ 38,580,000 Total gains or losses (realized/unrealized) Unrealized gains (losses) 5,599,000 (957,000) 4,642,000 Realized gains 755,000 550,000 1,305,000 Purchases, sales, issuances and settlements -net 1,228,000 2,736,000 3,964,000 Balance at June 30, 2011 26,828,000 21,663,000 48,491,000 Total gains or losses (realized/unrealized) Unrealized gains (losses) (1,324,000) 8,019,000 6,695,000 Realized gains 850,000 2,524,000 3,374,000 Purchases 6,979,000 5,569,000 12,548,000 Sales (2,982,000) (12,255,000) (15,237,000) Balance at June 30, 2012 $ 30,351,000 $ 25,520,000 $ 55,871,000 No plan assets are expected to be returned to the employers during fiscal year 2013. The Plan and the other plans contributed $6,076,000 and $6,618,000 to the Employees' Pension Plan for the years ended June 30,2012 and 2011, respectively. Management of the Plan and the other plans expect to contribute $2,678,000 to the Employees' Pension Plan during fiscal year 2013. The Employees' Pension Plan paid benefits of $7,885,000 and $3,274,000 to eligible 1974 Pension Plan employees during the years ended June 30, 2012 and 2011, respectively. As of June 30, 2012, expected benefit payments for each of the next five years and for the following five year period in aggregate are as follows: 2013 $ 6,087,000 2014 $ 6,054,000 2015 $ 5,831,000 2016 $ 5,440,000 2017 $ 5,256,000 2018-2022 $ 25,106,000 NOTE 9: POSTRETIREMENT BENEFITS OTHER THAN PENSIONS The Plan sponsors a health benefits plan covering its administrative employees. The plan pays health insurance premiums for retirees who are not Medicare eligible. The plan substitutes Medicare supplemental coverage for the regular health coverage once retirees become Medicare eligible. Retirees who have less than 20 years of service must contribute a portion of the premiums until they become Medicare eligible. 20 NOTES TO FINANCIAL STATEMENTS NOTE 9: POSTRETIREMENT BENEFITS OTHER THAN PENSIONS -continued The accrued administrative employees' postretirement benefits other than pensions, which are included on the statements of net assets available for benefits, reflect the entire liability for employees' postretirement benefits other than pensions. As certain employees' benefits are allocated to the other trust funds, an allocated portion of the liability is included in due from other trusts, which is included on the statements of net assets available for benefits. Components of net periodic postretirement benefit cost which is included in administrative expenses for the years ended June 30,2012 and 2011 are as follows: 2012 2011 Service cost $ 1,254,000 $ 1,436,000 Interest cost 1,724,000 1,813,000 Amortizations Transition obligation 323,000 323,000 Prior service cost 472,000 472,000 3,773,000 4,044,000 Amount allocated to other plans for shared employees 1,836,000 1,962,000 1974 Pension Plan net periodic postretimement benefits $ 1,937,000 $ 2,082,000 As of June 30, 2012 and 2011, actuarial amounts that have not yet been recognized as components of net periodic postretirement benefit cost, before allocation to other related plans, were: Prior service cost $ 1,408,000 $ 1,879,000 Net (gain) loss 4,935,000 (2,044,000) Transition obligation 969,000 1,292,000 $ 7,312,000 $ 1,127,000 Prior service cost, net (gain) loss and transition obligation not yet recognized as components of net periodic postretirement benefit cost are recognized in the computation of accumulated benefit obligation and, consequently, annual changes in these amounts are recognized as aqjustments to net assets available for benefits. Changes in these amounts, to the extent not recognized as current expense, are reflected as postretirement-related changes other than net periodic postretirement benefit cost. For the year ended June 30, 2012, the Plan recognized a decrease in net assets available for benefits of $3,182,000 for these changes. For the year ended June 30, 2011, the Plan recognized an increase in net assets available for benefits of $2,729,000 for these changes. Amounts expected to be recognized as components of net periodic postretirement benefit cost, before allocation to other related plans, during the year ending June 30, 2013 are as follows: Amortization of prior service cost $ 472,000 Amortization of transition obligation 323,000 $ 795,000 21 NOTES TO FINANCIAL STATEMENTS NOTE 9: POSTRETIREMENT BENEFITS OTHER THAN PENSIONS -continued The Plan's postretirement health benefits plan is unfunded. The computation of accrued postretirement benefit obligation as of June 30, 2012 and 2011 was as follows: 2012 2011 Accumulated postretirement benefit obligation Retirees, beneficiaries and covered dependents $ 15,754,000 $ 12,986,000 Active plan participants eligible for benefits 9,656,000 7,178,000 Active plan participant not yet eligible 15,523,000 11,817,000 40,933,000 31,981,000 Plan assets at fair value Accrued postretirement benefit obligation in excess of plan assets $ 40,933,000 $ 31,981,000 Weighted average assumptions at June 30, 2012 and 2011 were as follows: Discount rate 4.10 % 5.50 % The effect of change in assumed health care cost trend rates for the years ended June 30,2012 and 2011 is as follows: Effect on total service cost and interest cost components One-percentage point increase $ 495,000 $ 553,000 One-percentage point decrease $ (401,000) $ (448,000) Effect on year-end postretirement benefit obligation One-percentage point increase $ 6,910,000 $ 4,859,000 One-percentage point decrease $ (5,620,000) $ (4,012,000) Change in benefit obligations for the years ended June 30, 2012 and 2011 is as follows: Accumulated postretirement benefit obligation at beginning of year $ 31,981,000 $ 34,244,000 Increase (decrease) attributable to Service cost 1,254,000 1,436,000 Interest cost 1,724,000 1,813,000 Net benefits paid (1,006,000) (925,000) Actuarial (gain)/Ioss 6,980,000 (4,587,000) 8,952,000 (2,263,000) Accumulated postretirement benefit obligation at end of year $ 40,933,000 $ 31,981,000 22 NOTES TO FINANCIAL STATEMENTS NOTE 10: LEASE AGREEMENTS The Plan is obligated under various operating lease agreements for office space and equipment. These lease expenses are allocated along with other administrative expenses (Note 2). Minimum annual rentals required for future fiscal years are: 2013 2014 2015 2016 2017 Thereafter $ 2,017,000 2,045,000 2,080,000 2,184,000 2,228,000 6,410,000 $ 16,964,000 Rental expenses incurred during fiscal years 2012 and 2011 before allocation to other plans were $3,016,000 and $3,045,000, respectively. NOTE 11: RELATED PARTY TRANSACTIONS The Plan has contracted with a number of investment companies to participate in certain investment funds operated by them. These investments include: Blackrock Extended Market Fund, Blackrock Equity Index Fund, Capital Guardian -Emerging Markets Growth Fund, Dimensional Fund Advisors Small Cap Trust and Dimensional Fund Advisors Micro Cap Trust. Transactions in such investments qualify as party-in-interest transactions that are exempt from prohibited transaction rules. NOTE 12: RISK AND UNCERTAINTIES The Plan invests in various investment securities. Investment securities are exposed to various risks such as interest rate, market and credit risks. Due to the level of risk associated with certain investment securities, it is at least reasonably possible that changes in the values of investment securities will occur in the near term and that such changes could materially affect the amounts reported in the statements of net assets available for benefits. The actuarial present value of accumulated plan benefits (Note 7) is reported based on certain assumptions pertaining to interest rates, inflation rates and employee demographics, all of which are supjected to change. Due to uncertainties inherent in the estimations and assumptions process, it is at least reasonably possible that changes in these estimates and assumptions in the near term would be material to the financial statements. NOTE 13: TAX STATUS The Plan obtained its latest determination letter on July 19, 2012, in which the Internal Revenue Service stated that the Plan, as then designed, was in compliance with the applicable requirements of the Internal Revenue Code. The Plan administrator and its counsel believe the Plan as designed and operated through June 30, 2012 was in compliance with the applicable Code requirements and consistent with the terms of the plan document. Therefore, they believe that the Plan was qualified and the related trust was tax-exempt as of the financial statement date. Accounting principles generally accepted in the United States of America require management to evaluate income tax positions taken and recognize a tax liability if the organization has taken an uncertain position that more likely than not would not be sustained upon examination by the Internal Revenue Service. Management has analyzed the tax positions taken by the Plan and has concluded that as of June 30, 2012, there are no uncertain positions taken or expected to be taken that would require recognition of a liability or disclosure in the financial statements. The Plan is subject to routine audits by taxing jurisdictions; however, there are currently no audits in progress for any tax periods. Management believes the Plan is no longer subject to income tax examinations for years prior to the year ended June 30, 2009. 23 NOTES TO FINANCIAL STATEMENTS NOTE 14: SECURITIES LENDING PROGRAM The Trustees of the Plan have entered into an agreement with the bank that acts as custodian for the Plan's investments, which authorizes the bank to lend securities held in the Plan's accounts to third parties. The bank must obtain collateral from the borrower in the form of cash, letters of credit issued by an entity other than the borrower, or acceptable securities. Both the collateral and the securities loaned are marked-to-market on a daily basis so that an adequate amount of collateral has been received from the borrower. In the event that the loaned securities are not returned by the borrower, the bank will, at its own expense, either replace the loaned securities or, if unable to purchase those securities on the open market, credit the Plan's accounts with cash equal to the market value of the loaned securities. Once cash collateral is received by the custodian bank, it is invested and the investments are subject to market and credit risk. The custodial bank is not responsible for any losses on invested collateral. Although the Plan's securities lending activities are collateralized as described above, and although the terms of the securities lending agreement with the custodial bank require the bank to comply with government rules and regulations related to the lending of securities held by ERISA plans, the securities lending program involves both market and credit risks. In this context, market risk refers to the possibility that the borrowers of securities will be unable to collateralize their loan upon a sudden material change in the fair value of the loaned securities or the collateral, or that the bank's investment of cash collateral received from the borrowers of the Plan's securities may be subject to unfavorable market fluctuations. Credit risk refers to the possibility that counter-parties involved in the securities lending program may fail to perform in accordance with the terms of their contracts. To date, the Plan has experienced no material losses in connection with the securities lending program. At June 30, 2012 and 2011, respectively, the market value of securities loaned, by asset category, was as follows: 2012 2011 u.S. government securities $ 234,785,000 $ 139,018,000 Corporate and foreign government bonds 2,648,000 9,182,000 Corporate stocks 55,150,000 38,158,000 Registered investment companies 705,000 $ 293,288,000 $ 186,358,000 Collateral received for loaned securities was as follows: Received as cash and invested $ 299,990,000 $ 190,963,000 In order to present the statements of net assets available for benefits in accordance with accounting principles generally accepted in the United States of America, the fair value of loaned securities is separately identified, the value of investments of cash received as collateral is reflected as an asset and the obligation to refund the cash collateral received is reflected as a liability. 24 NOTES TO FINANCIAL STATEMENTS NOTE 14: SECURITIES LENDING PROGRAM -continued In fiscal years 2012 and 2011, under the terms of the securities lending agreement, the Plan received 80% on the first $1,250,000 in gross revenue derived from all securities lending activities and was prospectively increased to 87% on the remainder of the earnings. The net income derived from securities lending activities earned during the years ended June 30,2012 and 2011 was $668,000 and $346,000, respectively. These amounts are included statements of changes in net assets available for benefits and were determined as follows: 2012 2011 Gross earnings on collateral $ 959,000 $ 336,000 Rebate (to) from securities borrower (124,000) 96,000 l\Iet earnings on collateral 835,000 432,000 Fees paid to custodial bank (167,000) (86,000) $ 668,000 $ 346,000 NOTE 15: DERIVATIVES Derivative contracts are instruments such as futures, forwards, swaps or option contracts, that derive their value from underlying assets, indices, reference rates or a combination of these factors. The investors enter into a contractual agreement to exchange cash or securities at a future date, the value of which is determined by the performance of the underlying asset during the life of the contract. Derivatives provide a flexible and low-cost way to structure portfolios and are used to manage risk as well to capture market mispricings. The Plan uses derivatives to earn income and enhance returns, to adjust the risk profile of its portfolio, to replace more traditional direct investments, or to obtain exposure to other inaccessible markets and to make direct investment in foreign currencies. Such contracts involve a risk that the market movement of the underlying financial instrument may not be in the direction forecasted. All changes in the value of open derivative contracts are settled on a regular basis, usually daily. This daily settlement process acts to ensure performance of all parties to the investment contracts and mitigates credit risk. At June 30, 2012 and 2011, the Plan had the following open derivative contracts: 2012 2011 Asset derivatives Units / Shares Fair Value Units / Shares Fair Value U.S. government bond futures =======1=,1=18= $ 2,541,000 $ Liability derivatives U.S. government bond futures =$==== =======1=,2=11= $ 2,830,000 25 NOTES TO FINANCIAL STATEMENTS NOTE 15: DERIVATIVES -continued The derivatives are included in investments on the statements of net assets available for benefits. During the years ended June 30, 2012 and 2011, the Plan recognized net investment gains from derivatives totaling $50,179,000 and $92,000, respectively, which are included in net appreciation in fair value on the statements of changes in net assets available for benefits. The net investment gains from derivatives are as follows: 2012 2011 Futures U.S. government securities $ 49,790,000 $ 99,000 Index (4,000) 49,790,000 95,000 Foreign exchange contracts 389,000 (3,000) $ 50,179,000 $ 92,000 NOTE 16: LITIGATION In June 2011, Deutsche Bank and other secured creditors of Tribune Company named the Plan as a defendant in a lawsuit in the U.S. District Court for the District of Columbia. This action was one of numerous cases filed in various district courts against all former shareholders of Tribune Company who tendered shares during a 2007 leveraged buyout involving the company. The Plaintiffs assert that the leveraged buyout was a constructive fraudulent conveyance to shareholders; plaintiffs seeks avoidance and recovery of tender proceeds. The Plan's investment manager, LSV Asset Management, held and tendered shares for payment of approximately $1,600,000 on behalf of the Plan, thus the relief sought in the action could include repayment by the Plan of this amount. In 2008, Tribune Company filed for protection under Chapter 11 of the Bankruptcy Code in the U.S. Bankruptcy Court for Delaware. In 2010 Tribune's unsecured creditors filed a similar action against a class of defendants, the description of which would include the Plan, as an adversary proceeding in the Delaware bankruptcy case, seeking similar relief. The cases have been consolidated for pre-trial proceedings in the Southern District of New York. The bankruptcy court has instructed that the matters be stayed pending a ruling on motions to dismiss the actions. The Plan's Trustees have agreed that LSV Asset Management, as fiduciary under ERISA for this investment, should provide for the Plan's defense in these matters. The Trustees and their counsel expect to present valid defenses, but they are unable to predict the outcome of this litigation. On July 9, 2012, Patriot Coal Company and ninety-nine of its subsidiaries filed for protection under Chapter 11 of the Bankruptcy Code in the United States Bankruptcy Court for the Southern District of New York. Patriot and its subsidiary companies that are signatory to the National Bituminous Coal Wage Agreement of 2011 and its predecessor agreements have an estimated contribution obligation to the Plan of apprOXimately $23,000,000 for calendar year 2012. The Plan has been assigned to participate in the Unsecured Creditors' Committee in the case. Several creditors have moved for a change of venue to the Southern District of West Virginia. The United Mine Workers of America International Union and the United States Trustee for the Southern District of New York moved to transfer the case from New York, the Plan joined the motion, and the New York court has ordered that the case be transferred to the U.S. Bankruptcy Court for the Eastern District of Missouri. Patriot and its subsidiaries have continued to meet their contribution obligations, but their preliminary filings in the case indicate that they intend to seek the court's approval of a rejection of all or some of the their collective bargaining obligations. If Patriot and its subsidiaries were permitted to withdraw from the Plan, they would incur withdrawal liability in an amount estimated to be approximately $959,000,000. The Plan's Trustees and their counsel are unable to predict the outcome of this bankruptcy case at this time. 26 NOTES TO FINANCIAL STATEMENTS NOTE 17: RECLASSIFICATION Certain prior year information has been reclassified to conform with the current year presentation. The Plan previously recorded an asset as an investment rather than a cash equivalent. The Plan previously recorded income distributions from investments in limited partnerships and real estate as interest income rather than in its own category. These reclassifications had no impact on the amount of net assets available for benefits as of June 30, 2011 or the change in net assets available for benefits for the year then ended as reflected in previously issued financial statements. 27 ··BONDBEEBE ••ACCOUNTANTS 8( ADVISORS REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON SUPPLEMENTAL INFORMATION REQUIRED BY THE DEPARTMENT OF LABOR'S RULES AND REGULATIONS FOR REPORTING AND DISCLOSURE UNDER THE EIVIPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 To the Trustees and Participants United Mine Workers of America 1974 Pension Plan We have audited the financial statements of United Mine Workers of America 1974 Pension Plan as of and for the year ended June 30, 2012, and our report thereon dated December 14, 2012 which expressed an unqualified opinion on those financial statements, appears on page 1. Our audit was conducted for the purpose of forming an opinion on the financial statements as a whole. The supplemental schedules of assets held for investment purposes at end of year, reportable transactions, assets (acquired and disposed of within year) and explanation of loans and fixed income obligations in default are presented for purposes of additional analysis and are not a required part of the basic financial statements but are supplementary information required by the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the financial statements. The information has been subjected to the auditing procedures applied in the audit of the financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the information is fairly stated in all material respects in relation to the financial statements as a whole. A Professional Corporation Bethesda, MD December 14, 2012 A PROFESSIONAL CORPORATION WITH OFFICES IN BETHESDA, MD AND ALEXANDRIA, VA 28 5500 SCHEDULE OF LOANS AND FIXED INCOME SECURITIES IN DEFAULT FOR THE PERIOD JULY 2011 THROUGH JUNE 2012 Account Number Identity and address of obligor Principal Interest Detailed description of Loan or Bond MWAF3001002 DYNEGY HOLDINGS INC 0.00 0.00 7.750% 06/01/2019 26816LAW2 MWAF3001002 NGC CORP CAPITAL TRUST I 0.00 0.00 8.316% 06/01/2027 62912PAC5 MWAF3001002 DYNEGY HOLDINGS INC 0.00 11,818.75 7.625 10/15/2026 629121AC8 MWAF3001002 DYNEGY HOLDINGS INC 0.00 0.00 7.125% 05/15/2018 629121AF1 MWAF3001002 NORTHERN TELECOM CAP CORP 0.00 0.00 7.875% 06/15/2026 665810AB3 MWAF8000062 OSPREY TR US$ SER SECD NT 144A 0.00 0.00 7.797% 01/15/2049 688407AD7 MWAF3001002 RESIDENTIAL CAPITAL LLC 0.00 141,728.13 9.625% 05/15/2015 76114EAH5 The above bonds are currently in default. Full repayment of the obligations is deemed to be unlikely. The investment managers are attempting to maximize any value that the bonds still hold and will continue to pursue repayment. Amount received during reporting year Plan Year Ended June 30, 2012 Plan No. 002 EIN 52-1050282 United Mine Workers of America 1974 Benefit Plan United Mine Workers of America 1974 Benefit Plan EIN 52-1050282 Plan No. 002 Plan Year Ended June 30, 2012 Form 5500, Schedule H, Part IV, Line 4i Schedule of Assets (Held At End of Year) (a)(b)(c)(d)(e) Description of investment including Identity of issue, borrower,maturity date, rate of interest Current lessor, or similar party collateral, par, or maturity value Cost value Cash held at broker see attached 8,265,836$ 8,326,324$ net of pending activity (5,711,791) (5,711,791) 2,554,045 2,614,533 U.S. Government securities see attached 401,238,911 525,160,295 Corpopate debt instruments - other see attached 146,189,741 142,372,718 Corporate stocks - preferred see attached 1,794,321 1,644,867 Corporate stocks - common see attached 726,884,233 726,589,754 Partnership/joint venture interests see attached 561,717,308 558,879,025 Real estate see attached 239,230,389 237,186,389 Other see attached 21,003,855 22,267,327 reclass from common collective trusts 3,520,432 2,909,957 net of short sales see attached (1,077,456) (560,706) 23,446,831 24,616,578 Common collective trusts see attached 911,982,291 1,227,746,046 reclass to other (3,520,432) (2,909,957) 908,461,859 1,224,836,089 103-12 investmnet entities see attached 168,091,998 269,596,518 Registered investment companies see attached 557,524,381 520,862,073 3,737,134,017$ 4,234,358,839$ Current Expense value Identity of incurred of asset on Net party Purchase Selling Lease with Cost of transaction gain or involved Description of asset price price rental transaction asset date (loss) (a)(b)(c)(d) (e)(f)(g)(h)(i) See attached Schedule of Reportable Assets United Mine Workers of America 1974 Pension Plan EIN 52-1050282 Form 5500, Schedule H, Part IV, Line 4j Plan Year Ended June 30, 2012 Plan No. 002 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 4a – Actuarial Certification of Status J:\UMW\DOC\OTHER\2011 schmb ln4a cert&illus 52-1050282 002 umwnyo 74pp.doc Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 4a – Illustration Supporting Actuarial Certification of Status Year Beg – 7/1 Beginning-of-Year Credit Balance Net FSA Charges Including Normal Cost Expected Employer Contributions End-of-Year Credit Balance 2011 $2,156,359,000 $577,934,000 $128,065,000 $1,834,601,000 2012 1,834,601,000 318,590,000 121,689,000 1,760,695,000 2013 1,760,695,000 488,973,000 115,632,000 1,491,059,000 2014 1,491,059,000 514,816,000 109,878,000 1,166,553,000 2015 1,166,553,000 538,869,000 104,412,000 785,127,000 2016 785,127,000 447,813,000 99,219,000 466,713,000 2017 466,713,000 570,115,000 94,285,000 (13,506,000) J:\UMW\DOC\OTHER\2011 schmb ln4a cert&illus 52-1050282 002 umwnyo 74pp.doc Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions 1974 Pension Plan (Other than Former 1950 Pension Plan) (Based on National Bituminous Coal Wage Agreement of 2011) Class of Employee Covered: 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 (2012 NIMs) will not earn any vesting, signatory, or credited service. 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. 2012 NIMs and EMs will be eligible for normal and minimum disability benefits and, if they meet the eligibility requirements, lump sum death benefits. Effective Date: December 6, 1974. Date of Last Amendment: September 27, 2011. Normal Retirement: Eligibility: The earlier of (a) or (b): a) Age 62 with 10 years of signatory service or 20 years of credited service, including the required amount of signatory service. Signatory service is defined as time during which a participant worked as an employee in a classified job for an employer signatory to the bituminous coal wage agreement then in effect. The plan limits the amount of non-signatory service which may be recognized by the benefit formula. Date of Retirement Years of Signatory Service Required Maximum Number of Years of Non-Signatory Service Includable in Credited Service Before 1/1/1977 5 15 1/1/1977 to 12/31/1977 6 14 1/1/1978 to 12/31/1978 7 13 1/1/1979 to 12/31/1979 8 12 1/1/1980 to 12/31/1980 9 11 1/1/1981 and after 10 10 b) Age 65 with 5 years of signatory service, subject to the plan’s break-in- service rules. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Benefit: Monthly Benefit for Each Year of Service Retirements or Terminations Prior to 10/1/1984 From 1/1/1976 to 12/31/1976 From 1/1/1977 to 3/26/1978 From 3/27/1978 to 6/6/1981 From 6/7/1981 to 6/6/1983 From 6/7/1983 to 9/30/1984 Credited Non-Signatory Service: $ 7.50 $ 7.50 $ 7.50 $ 7.50 $ 7.50 Credited Signatory Service: 1st 10 Years 12.00 12.50 13.50 14.50 15.50 2nd 10 Years 12.50 13.00 14.00 15.00 16.00 3rd 10 Years 13.00 13.50 14.50 15.50 16.50 In Excess of 30 Years 13.50 14.00 15.00 16.00 17.00 Retirements or Terminations From 10/1/1984 Through 1/31/1988 From 10/1/1984 to 9/30/1987 From 10/1/1987 to 1/31/1988 Credited Non-Signatory Service: $ 7.50 $ 7.50 Credited Signatory Service: 1st 10 Years 16.50 17.00 2nd 10 Years 17.00 17.50 3rd 10 Years 17.50 18.00 In Excess of 30 Years 18.00 18.50 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Retirements or Terminations On or After 2/1/1988 The sum of (a) plus (b) plus (c) plus (d) plus (e). From 12/16/1993 to 12/31/1997 Pension Application Authorized From 2/1/1988 to 1/31/1991 From 2/1/1991 to 12/15/1993 On or Before 8/16/1996 After 8/16/1996 From 1/1/1998 to 12/31/1999 From 1/1/2000 to 12/31/2001 From 1/1/2002 to 12/31/2003 From 1/1/2004 to 12/31/2005 From 1/1/2006 to 12/31/2006 From 1/1/2007 to 12/31/2008 From 1/1/2009 to 12/31/2010 On or After 1/1/2011 (a) Credited Non- Signatory Service: $ 7.50 $10.00 $10.00 $12.00 $12.00 $14.00 $18.00 $20.00 $24.00 $28.00 $32.00 $34.00 (b) Credited Signatory Service Earned Prior to 2/1/1989: 1st 10 Years 20.00 22.50 26.50 28.50 32.50 34.50 38.50 40.50 44.50 48.50 52.50 54.50 2nd 10 Years 20.50 23.00 27.00 29.00 33.00 35.00 39.00 41.00 45.00 49.00 53.00 55.00 3rd 10 Years 21.00 23.50 27.50 29.50 33.50 35.50 39.50 41.50 45.50 49.50 53.50 55.50 In Excess of 30 Years 21.50 24.00 28.00 30.00 34.00 36.00 40.00 42.00 46.00 50.00 54.00 56.00 (c) Credited Signatory Service Earned From 2/1/1989 Through 1/31/1990: 27.50 30.00 34.00 36.00 40.00 42.00 46.00 48.00 52.00 56.00 60.00 62.00 (d) Credited Signatory Service Earned From 2/1/1990 Through 12/15/1993: 32.00 34.50 38.50 40.50 44.50 46.50 50.50 52.50 56.50 60.50 64.50 66.50 (e) Credited Signatory Service Earned On or After 12/16/1993: N/A N/A 41.50 43.50 47.50 49.50 53.50 55.50 59.50 63.50 67.50 69.50 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Form of Payment: Unmarried participants: Benefit payments are made during the participant's lifetime (life annuity). Married participants: Unreduced benefits are paid during the lifetime of the participant with 75% of the unreduced benefit continued to an eligible spouse after the participant's death (postretirement surviving spouse benefit). Early Retirement: Eligibility: Age 55 with 10 years of signatory service or 20 years of credited service, including the required amount of signatory service. Benefit: Benefit as defined for Normal Retirement if pension commences at age 62. If benefit commences before age 62, the benefit is equal to the Normal Retirement benefit reduced ¼% for each month that retirement precedes age 62. Form of Payment: Same as Normal Retirement. Disability Retirement: Eligibility: 1974 Participants, New Inexperienced Miners first hired on or after January 1, 2012, and Electing Miners who become disabled due to a mine accident on or after December 6, 1974, while in a classified signatory job and the participant is eligible for social security disability benefits as a result of such accident, and: 1) Normal disability benefit: at least 10 years of service prior to retirement. 2) Minimum disability benefit: less than 10 years of service prior to retirement. Service for purposes of determining disability retirement eligibility and benefits includes 1974 Pension Plan credit hours and – for New Inexperienced Miners first hired on or after January 1, 2012, and Electing Miners – Years of Supplemental Pension Contributions. Benefit: Normal: The benefit calculated in accordance with the Normal Retirement Benefit schedule in effect at retirement. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Minimum: Retirement Date Benefit Amount Prior to 3/27/1978 $125.00 3/27/1978 to 6/6/1981 135.00 6/7/1981 to 6/6/1983 145.00 6/7/1983 to 9/30/1984 155.00 10/1/1984 to 9/30/1987 165.00 10/1/1987 to 1/31/1988 170.00 2/1/1988 to 1/31/1990 190.00 2/1/1990 to 12/31/1997 200.00 1/1/1998 to 12/31/2001 215.00 1/1/2002 to 12/31/2006 230.00 1/1/2007 to 12/31/2008 245.00 On or After 1/1/2009 250.00 Form of Payment: Same as Normal Retirement. Deferred Vested Retirement – Regular: Eligibility: Termination of employment after completion of 5 (10, for participants who do not have an hour of signatory service on or after July 1, 1999) years of signatory service or 20 years of credited service (as defined under Normal Retirement eligibility) before age 55. Benefit: Benefit calculated in accordance with the Normal Retirement Benefit schedule in effect on the last day of credited service (actuarially reduced for Early Retirement). With 20 years of credited service, there is a minimum monthly benefit of $195 ($200, effective January 1, 2009). Form of Payment: Unmarried participants: Benefit payments are made during the participant’s lifetime (life annuity). Married participants with at least 20 years of credited service: unreduced postretirement surviving spouse benefit. Married participants with less than 20 years of credited service: 50% joint and survivor benefit which is actuarially equivalent to a life annuity, if elected. Deferred Vested Retirement – Special: Eligibility: Cessation of work on or after June 7, 1981, between ages 50 and 55, after 20 years of signatory service and either (1) laid off and not refused recall, or (2) terminated under Article III, Section (j) of the Wage Agreement (or physically unable to perform regular work) and not employed in coal industry thereafter. Benefit: Benefit calculated in accordance with the Normal Retirement Benefit schedule in effect on the last day of credited service (if paid after age 55 and before age 62: benefit reduced by ¼% for each month payment commencement precedes age 62). Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Form of Payment: Same as Deferred Vested Retirement – Regular. Note: This benefit was deleted as of January 1, 2007, for participants who retire under the 2007 Agreement, because the benefit had become redundant. Deferred Vested Retirement – Enhanced 1996: Eligibility: Cessation of work on or after December 16, 1993, before age 55, after 20 years of signatory service, either (1) laid off and not refused recall, or (2) terminated under Article III, Section (j) of the Wage Agreement (or physically unable to perform regular work) and not employed in coal industry thereafter, and the participant’s pension benefits are not in pay status on or before August 16, 1996. Benefit: Same as Deferred Vested Retirement – Special. Form of Payment: Same as Deferred Vested Retirement—Regular Deferred Vested Retirement – Special Permanent Layoff Pension: Eligibility: Last day of credited service on or after January 1, 1998, before age 55, after 20 years of signatory service and either (1) permanently laid off due to a mine closing, or (2) permanently laid off (i.e., on layoff status at least 180 days and not refused recall). Benefit: Benefit calculated in accordance with the Normal Retirement Benefit schedule in effect on the last day of credited service, determined as if the participant were age 55 (for purposes of applying a reduction for Early Retirement). Form of Payment: Same as Deferred Vested Retirement – Regular. Special 30-and-Out Layoff Pension: Eligibility: Last day of credited service on or after January 1, 2002, after 30 years of signatory service, and laid off and not refused recall. If not actively at work as of December 31, 2001 (because of a layoff), either (1) earned at least 250 hours of credited signatory service following return to work, or (2) returned to active employment as the result of a bona fide job opening. Benefit: Benefit calculated in accordance with the Normal Retirement Benefit schedule in effect on the last day of credited service, without actuarial reduction on account of age. Form of Payment: Same as Deferred Vested Retirement – Regular. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Note: This benefit was deleted as of January 1, 2007, for participants who retire under the 2007 Agreement, because the benefit had become redundant. 30-and-Out Pension: Eligibility: Last day of credited service on or after January 1, 2003, after 30 years of signatory service. If not actively at work as of December 31, 2001 (because of layoff), either (1) earned at least 250 hours of credited signatory service following return to work, or (2) returned to active employment as the result of a bona fide job opening. Benefit: Same as Special 30-and-Out Layoff Pension. Form of Payment: Same as Deferred Vested Retirement – Regular. Pension Increases: a) Pension increases for participants who retired prior to 2/1/1988, other than those with: a) Minimum Disability Retirement Pensions or, for increases prior to 2/1/1988, b) Deferred Vested Retirement pensions. Effective Date of Increase Increase Applicable to Retirements Prior to Amount of Monthly Pension Increase 1/1/1977 12/31/1976 $ 10.00 4/1/1978 3/27/1978 10.00 4/1/1979 3/27/1978 10.00 4/1/1980 3/27/1978 5.00 7/1/1981 6/7/1981 10.00 7/1/1982 6/7/1981 10.00 7/1/1983 6/7/1981 5.00 10/1/1984 10/1/1984 10.00 10/1/1987 10/1/1984 10.00 2/1/1988 2/1/1988 20.00 2/1/1990 2/1/1988 10.00 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions b) Minimum Disability Retirement pensions for participants who retired prior to 2/1/1988, as follows: Effective Date of Increase Increase Applicable to Retirements Prior to Amount of Monthly Pension Increase 4/1/1978 3/27/1978 $ 5.00 4/1/1979 3/27/1978 5.00 4/1/1980 3/27/1978 2.50 7/1/1981 6/7/1981 5.00 7/1/1982 6/7/1981 5.00 7/1/1983 6/7/1981 2.50 Effective Date of Increase Increase Applicable to Retirements Prior to Amount of Monthly Pension 10/1/1984 10/1/1984 $160.00 10/1/1987 10/1/1984 170.00* 2/1/1988 2/1/1988 190.00 2/1/1990 2/1/1988 200.00 1/1/1998 1/1/1998 215.00 1/1/2002 1/1/2002 230.00 *$165 if approved after October 1, 1984. c) Minimum pensions for surviving spouses of pensioners (other than deferred vested pensioners not eligible for the Deferred Vested Retirement--Special benefit for increases prior to February 1, 1988) who died prior to February 1, 1988: Effective Date of Increase Increase Applicable to Retirements Prior to Amount of Monthly Pension Increase 10/1/1984 10/1/1984 $ 5.00 10/1/1987 10/1/1984 5.00 Effective Date of Increase Increase Applicable to Retirements Prior to Amount of Monthly Pension Increase 2/1/1988 2/1/1988 (1/31/1988 amount + $10) x 1.5 2/1/1990 2/1/1988 (1/31/1988 amount + $15) x 1.5 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions d) Pensions of participants eligible for a Deferred Vested Retirement--Regular pension who ceased work prior to June 7, 1981, and satisfy the criteria for a Deferred Vested Retirement-- Special pension are recomputed (prospectively only) using the ¼% reduction and the Normal Retirement benefit schedule in effect on the last day of credited service. Pensions of such participants are increased by any increases applicable to Early Retirement pensioners which occurred after the date of retirement and application for pension. e) A monthly benefit increase of $15 is provided to all pensioners and surviving spouses in pay status, and to all terminated vested participants (not yet in pay status), on January 1, 1998. f) A monthly benefit increase of $15 is provided to all pensioners and surviving spouses in pay status, and to all terminated vested participants (not yet in pay status), on January 1, 2002. g) A monthly benefit increase of $15 is provided to all pensioners and surviving spouses in pay status, and to all terminated vested participants (not yet in pay status), on January 1, 2007. h) A monthly benefit increase of $5 is provided to all pensioners and surviving spouses in pay status, and to all terminated vested participants (not yet in pay status), on January 1, 2009. Preretirement Surviving Spouse Benefit: Eligibility: Eligible for an immediate pension at time of death, except Deferred Vested participants with less than 20 years of Credited Service. Benefit: 75% of the pension that the participant would have received had he elected a pension on the day preceding his death. Form of Payment: Life annuity to eligible spouse. Preretirement Joint and Survivor Annuities: Eligibility: Not eligible for a Preretirement Surviving Spouse Benefit and either qualifies for a pension or has 5 (10, for participants who do not have an hour of signatory service on or after July 1, 1999) years of signatory service. Benefit: A percentage 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. The percentage is 50% for participants who qualify for a pension and 75% for other participants who are under age 55. Form of Payment: Life annuity to eligible spouse, first payable at the later of date of death or the month the participant would have attained age 55. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Special Surviving Spouse Benefit: Eligibility: January 1, 1998, surviving spouses who 1) were married to a miner who died as a result of a mine accident during the term of the 1978 or 1981 Wage Agreement (with 10 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. Benefit: Lump sum of $10,000 on February 1, 1998, plus monthly benefit of $100 beginning February 1, 1998, and continuing until remarriage or death. Lump Sum Death Benefit: Eligibility: Regular and disabled pensioners (other than those receiving a deferred vested pension based on less than 20 years of credited service) whose death occurs on or after February 1, 1991, and whose last service was with an employer signatory to an agreement providing for such benefits. Effective February 1, 1993, pensioners who are eligible beneficiaries of the UMWA Combined Benefit Fund are not eligible for lump sum death benefits from this plan. Benefit: For deaths on or after January 1, 2007: lump sum equal to $8,500 for the named beneficiary who is the surviving spouse or an eligible dependent, and $7,000 for any other named beneficiary. For deaths during 2002-2006, the amounts are $7,000 and $6,000, respectively. One-time Single Sum Payments: Eligibility: Regular and disabled pensioners and surviving spouses whose pension is in pay status on the day before the payment date. Benefit: One-time single sum payments of $565 for regular pensioners and $440 for disabled pensioners and surviving spouses, payable on November 1 of 2007, 2008, and 2009. One-time single sum payments of $580 for regular pensioners and $455 for disabled pensioners and surviving spouses, payable on November 1 of 2010 and 2011. Social Security Supplement: Eligibility: Pensioners and surviving spouses whose last signatory employer is obligated to current Agreement benefits and who also meet the following requirements: pensioners and surviving spouses who are not eligible for unreduced Social Security benefits, entitled to Employer-provided benefits under the Employer Plan and subject to such plan's annual deductible, and ineligible for Medicare disability benefits. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Deferred vested pensioners with less than 20 years of service are not eligible for the supplement. Benefit: Lump sum social security supplement of $1,000 payable on each January 1 of years 1994-2006 (or a pro-rata portion based on length of eligibility within the calendar year). Note: This benefit was deleted as of January 1, 2007, for participants who retire under the 2007 Agreement, because the benefit had expired by its own terms. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Former 1950 Pension Plan (Merged with 1974 Pension Plan as of June 30, 2007) (Based on National Bituminous Coal Wage Agreement of 2011) Class of Employee Covered: Persons who terminated classified signatory employments prior to December 31, 1975, and are eligible for a pension upon attaining age 55 (not eligible for pension benefits under the pre-merger UMWA 1974 Pension Plan). Effective Date: December 6, 1974. Date of Last Amendment: September 27, 2011. Normal Retirement: Eligibility: Ceases work, attains age 55 and completes service under (a) or (b): (a) 20 years credited service including service with an employer signatory to the bituminous coal wage agreement: Date Attains Age 55 Years of Signatory Service Required Before 1/1/1977 5 years 1/1/1977 to 12/31/1977 6 years 1/1/1978 to 12/31/1978 7 years 1/1/1979 to 12/31/1979 8 years 1/1/1980 to 12/31/1980 9 years 1/1/1981 and After 10 years (b) 10 years signatory service including at least 3 years after 12/31/1970. Credited Service: Service in a classified job in the bituminous coal industry may be credited for work prior to April 1971, but this is non-signatory service unless the employee is in a classified job for an employer signatory to the wage agreement then in effect. Benefit: (a) For pensioners with at least 20 years of credited service: Monthly Benefit Period Beginning Without Black Lung Benefits With Black Lung Benefits 1/1/1975 $200 $200 1/1/1976 225 215 1/1/1977 250 225 4/1/1978 275 275 7/1/1981 290 290 7/1/1982 305 305 7/1/1983 315 315 10/1/1984 325 325 10/1/1987 335 335 2/1/1988 365 365 2/1/1990 375 375 1/1/1998 390 390 1/1/2002 405 405 1/1/2007 420 420 1/1/2009 425 425 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions (b) For pensioners with less than 20 years of credited service: Monthly Benefit Amount to be Multiplied by the Ratio of Years of Credited Signatory Service to 20 Years Period Beginning Without Black Lung Benefits With Black Lung Benefits 1/1/1975 $200 $200 1/1/1976 225 215 1/1/1977 250 225 7/1/1981 250 250 The amounts determined in (b) above shall be increased according to the following schedule: Effective Date of Increase Amount of Monthly Pension Increase 2/1/1988 $30 2/1/1990 10 1/1/1998 15 1/1/2002 15 1/1/2007 15 1/1/2009 5 Form of Payment: Life annuity. Disability Retirement: Eligibility: Disabled as the result of a mine accident which occurred after 5/29/1946 while in a classified job and eligible for Social Security disability benefits as a result of such accident. Benefit: Period Beginning Monthly Benefit 1/1/1975 $125.00 4/1/1978 130.00 4/1/1979 135.00 4/1/1980 137.50 7/1/1981 147.50 7/1/1982 152.50 7/1/1983 157.50 10/1/1984 167.50 10/1/1987 177.50 2/1/1988 207.50 2/1/1990 217.50 1/1/1998 232.50 1/1/2002 247.50 1/1/2007 262.50 1/1/2009 267.50 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Form of Payment: Life annuity, converted to a retirement pension if service eligible at age 55. Termination with Vested Rights: Eligibility: Termination of employment after completion of 10 years of signatory service, at least 3 years of which are signatory service after 12/31/1970. Benefit: (a) For pensioners with at least 20 years of credited service: Monthly Benefit Period Beginning Without Black Lung Benefits With Black Lung Benefits 1/1/1975 $200 $200 1/1/1976 225 215 1/1/1977 250 225 4/1/1978 275 275 7/1/1981 290 290 7/1/1982 305 305 7/1/1983 315 315 10/1/1984 325 325 10/1/1987 335 335 2/1/1988 365 365 2/1/1990 375 375 1/1/1998 390 390 1/1/2002 405 405 1/1/2007 420 420 1/1/2009 425 425 (b) For pensioners with less than 20 years of credited service: the amounts shown below multiplied by the ratio of years of credited signatory service (to the nearest ¼ year) to 20 years. Monthly Benefit Period Beginning Without Black Lung Benefits With Black Lung Benefits 1/1/1975 $200 $200 1/1/1976 225 215 1/1/1977 250 225 7/1/1981 250 250 The amounts determined in (b) above shall be increased according to the following schedule: Effective Date of Increase Amount of Monthly Pension Increase 2/1/1988 $30 2/1/1990 10 1/1/1998 15 1/1/2002 15 1/1/2007 15 1/1/2009 5 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Form of Payment: Life annuity. Widow's Benefit: Eligibility: Widows of pensioners receiving benefits under this plan at time of death, who were married to such pensioner throughout nine-month period ending on date of pensioner's death (unless such nine-month period would be waived for purposes of determining entitlement to widows' insurance benefits under the Social Security Act). Benefit: Period Beginning Monthly Benefit 3/1/1982 $ 95 10/1/1984 100 10/1/1987 105 2/1/1988 120 2/1/1990 125 1/1/1998 140 1/1/2002 155 1/1/2007 170 1/1/2009 175 Form of Payment: Life annuity, except payment ceases upon remarriage. Note: In limited circumstances, surviving spouses may be entitled to other survivor benefits in lieu of the above. Lump Sum Death Benefit: Eligibility: Regular and disabled pensioners whose death occurs on or after February 1, 1991. Effective February 1, 1993, lump sum death benefits are not payable from the 1950 Pension Plan for pensioners who are eligible beneficiaries of the UMWA Combined Benefit Fund. Regular pensioners with less than 20 years of credited service who used non-classified service for vesting purposes are not eligible for lump sum death benefits. Benefit: For deaths on or after January 1, 2007: lump sum equal to $8,500 for regular and disabled pensioners with widow or dependents, and $7,000 for other regular and disabled pensioners. For deaths during 2002-2006, the amounts are $7,000 and $6,000, respectively. One-Time Single Sum Payments: Eligibility: Regular and disabled pensioners and widows whose pension is in pay status on the day before the payment date. Benefit: On November 1 of 2007, 2008, and 2009: one-time single sum payments of $565 for regular pensioners with at least 20 years of credited service, $440 for regular pensioners with less than 20 years of credited service and disabled pensioners and widows. On November 1 of 2010 and 2011: one-time single sum payments of $580 for regular pensioners with at least 20 years of credited service, $455 for regular pensioners with less than 20 years of credited service and disabled pensioners and widows. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions Significant Events None Summary of Changes in Principal Eligibility or Benefit Provisions All benefit increases specified in the National Bituminous Coal Wage Agreement of 2007 are fully reflected for funding liability. The National Bituminous Coal Wage Agreement of 2011 was ratified in June 2011; it is effective July 1, 2011, and expires December 31, 2016. It calls for contributions of $5.50 per hour worked (including hours worked by New Inexperienced Miners and Electing Miners) and $1.10 contribution per ton of “purchased coal.” The only potential benefit change contained in this Agreement is a $1,500 increase in lump sum death benefits that is effective for eligible pensioner deaths on or after July 1, 2013. This benefit is expected to be first reflected in the 2013 funding valuation. The following other changes have no effect on current valuation results since they will be reflected in future demographic experience of the plan: x New Inexperienced Miners first hired on or after January 1, 2012 (2012 NIMs) will not earn any vesting, signatory, or credited service. x Miners who are active participants may opt out of the plan on or after January 1, 2012 (EMs). After the opt-out date, EMs will earn service credit for vesting and “any early retirement adjustments based on the type of pension benefit,” but not signatory or credited service. x 2012 NIMs and EMs will be eligible for normal and minimum disability benefits and, if they meet the eligibility requirements, lump sum death benefits. These benefits will be determined as if the miner had not been a 2012 NIM or EM. j:\umw\doc\other\2011 schmb ln6 planprov 52-1050282 002 umwnyo 74pp.doc Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods A. Actuarial Cost Method All plan benefits are valued under the Unit Credit Actuarial Cost Method. This method determines the actuarial present value of accrued benefits, or Actuarial Accrued Liability. This is the reserve required at the valuation date to provide all normal retirement, early retirement, deferred vested retirement, disability, and surviving spouse benefits expected to be paid to current participants based on credited service and benefit levels at the beginning of the plan year, except that benefit increases effective during the plan year are reflected on a pro rata basis for the portion of the plan year in which they are in effect. Assets – the funded part of the Actuarial Accrued Liability. Unfunded Actuarial Accrued Liability – the remaining unfunded part of the Actuarial Accrued Liability. Expected Unfunded Actuarial Accrued Liability – Unfunded Actuarial Accrued Liability developed in the prior year's valuation, increased by normal cost and one year's interest at the valuation interest rate, and reduced by total contributions made toward the prior plan year's cost with interest credited at the valuation interest rate from the date contributed. Actuarial Gains and Losses – deviations in emerging plan experience from that anticipated in the actuarial assumptions. The Expected Unfunded Actuarial Accrued Liability less the Unfunded Actuarial Accrued Liability equals the net Actuarial Gain (or Actuarial Loss, if negative). Plan costs arise from two sources: a Normal Cost and an Amortization Payment for the Unfunded Actuarial Accrued Liability. 1) Normal Cost: The actuarial present value of benefits deemed to accrue during the plan year. 2) Amortization Payment: On July 1, 1976 an initial Unfunded Actuarial Accrued Liability was determined as the actuarial present value of projected benefits attributed to past service by the Individual Entry Age Normal Actuarial Cost Method (described below) and this amount was then "frozen" so as to be unaffected by future experience gains and losses. This Unfunded Frozen Actuarial Accrued Liability was subsequently redetermined to reflect changes in the Actuarial Accrued Liability due to plan amendments and changes in assumptions. The Unfunded Frozen Actuarial Accrued Liability increased each year due to interest and decreased each year due to Amortization Payments. The Unfunded Frozen Actuarial Accrued Liability as of July 1, 1976 must be funded over a period of not more than 40 years. A 40- year amortization period also applied to Actuarial Accrued Liabilities generated by plan amendments and changes in assumptions adopted before September 26, 1980. For benefit improvements adopted or assumption changes made after September 26, 1980, the 40-year amortization period was reduced to 30 years. Under the Pension Protection Act of 2006, such bases first established in plan years beginning on or after July 1, 2008 are amortized over 15 years (or shorter periods, for short-term benefits). Under the Unit Credit Actuarial Cost Method effective July 1, 2009, actuarial gains and losses are also amortized over 15 years. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods On July 1, 1976 the Unfunded Frozen Actuarial Accrued Liability, determined by the Individual Entry Age Normal Actuarial Cost Method, represented the amount of assets that would have been accumulated in the plan (a) had the funding for each participant commenced on his assumed entry age, and (b) had the amount funded each year from assumed entry age to July 1, 1976 equaled a level annual dollar amount which, if paid from assumed entry age to assumed retirement age, would have fully covered all future benefits. When the plan was amended or assumptions were changed, the Unfunded Frozen Actuarial Accrued Liability was adjusted to reflect the increase or decrease in Actuarial Accrued Liability, an amount that would have been accumulated with respect to each participant had the amendment or change been in effect since that participant's assumed entry age. IRS Letter 1744 dated April 24, 2007 required changes in funding methodology and revisions to 1974 Pension Plan funding standard accounts for 2003-04, 2004-05, and 2005-06. (These changes are set forth in Schedule B of the 2006 Form 5500.) The new method required reestablishing the unfunded liability under the Individual Entry Age Normal Actuarial Cost Method whenever a negative normal cost would have otherwise been produced. The 1950 Pension Plan was merged into the 1974 Pension Plan as of June 30, 2007. The merged plan continued use of the 1974 Pension Plan cost method through June 30, 2009. The prior 1950 Pension Plan used the Unit Credit Actuarial Cost Method. Effective July 1, 2009, the Actuarial Cost Method for the merged plan was changed from Entry Age Normal, Frozen Initial Liability to Unit Credit. Under this method, a new amortization base is established whenever there is a plan amendment, assumption change, method change, or actuarial gain or loss. Effective July 1, 2011, a new software system was used for the valuation. This change did not materially affect costs and liabilities and it met the conditions of automatic IRS approval under Section 4.04 (Approval for Change in Valuation Software) of Revenue Procedure 2000-40. Valuation of Assets General Methodology. The Actuarial Value of Assets is equal to a moving average of market values in which investment income is recognized over a five-year period beginning July 1, 2007. (The July 1, 2007, Actuarial Value of Assets was equal to Market Value.) Investment income equal to the expected return on plan assets is recognized immediately. Any difference between the actual investment income (on a market value basis) and the expected return is recognized over a five-year period (20% in the first year, 40% in the second year, and so on, until the full 100% is recognized in the fifth year). In addition, the Actuarial Value of Assets must be no greater than 120% and no less than 80% of the fair market value of assets. Funding Relief Modifications. For plan years beginning on and after July 1, 2010, the difference between the actual investment income (on a market value basis) and the expected return for the plan year ended June 30, 2009, is recognized on a level basis over 10 years beginning July 1, 2009. In addition, for the plan year beginning July 1, 2010, the corridor was expanded to permit the Actuarial Value of Assets to be no greater than 130% and no less than 80% of the fair market value of assets. For the plan year beginning July 1, 2011, and later years the corridor returned to 80%/120% of market value. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods Actuarial Assumptions The actuarial assumptions underlying the costs are shown below: 1. Assumptions Concerning Future Events Funding Interest Rate: 8%1. Administrative Expenses: 0.2%1 of assets for investment expenses plus 3.5% of benefit payments for other administrative expenses. This assumption is based on a study of experience during July 1, 2004, through June 30, 2010. Turnover: 125% of the Vaughn Table (ultimate rates) plus 4%. Illustrative rates are: Age Rates 20 27.3% 30 16.6 40 12.1 50 9.6 55 0.0 Participants terminating before age 55 with at least 20 years of signatory service are assumed to be permanently laid off. This assumption is based on a study of experience during July 1, 2005, through June 30, 2010. Retirement Age: Rates varying by age as follows: Active Participants Age Service <30 Years Service > 30 Years Vested Terminations 50 13% 51 13 52 13 53 13 54 20 55 10% 38 45% 56 7 34 19 57 7 30 12 58 8 30 9 59 9 30 6 60 10 30 6 61 14 35 6 62 40 70 100 63 30 45 64 60 30 65 100 100 1 For purposes of the valuation, the 8% interest assumption is reduced by the 0.2% of assets administrative expense assumption, producing a 7.8% interest assumption net of administrative expenses. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods This assumption is based on a study of experience during July 1, 2006, through June 30, 2010, for actives and July 1, 2005, through June 30, 2010, for vested terminations. Future vested terminations are assumed to retire at age 60 (or exit age, with 20+ years). Preretirement Mortality: RP-2000 Mortality Table for Male Employees, assumed to improve by .75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99, for funding. Postretirement Mortality: RP-2000 Mortality Table for Blue Collar Healthy Male Annuitants with ages set forward one year and assumed to improve by .75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99. Illustrative rates (before assumed improvements per 1,000 are: Age Rates 55 7.67 60 11.52 65 18.23 70 29.34 80 78.16 90 196.37 Spouse and Widow Mortality: Unisex Pension 1984 Mortality Table with ages set back two years, assumed to improve by .75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99. Disability: Incidence is 1.5% per year for ages 20 through 64. This assumption is based on a study of experience during July 1, 2004, through June 30, 2010. Mortality of disabled lives in accordance with the Unisex Pension 1984 Mortality Table set forward two years, assumed to improve by .75% per year for 15 years (beginning July 1, 2008) at each age between 55 and 99. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods Future Service: Active participants will earn, for each calendar year they remain active participants in the 1974 Pension Plan, credited signatory service as shown in the following chart: Participant Category Annual Future Service Active participants who earned a full year of service every calendar year since entry, during the period starting in 1997 1.00 year Continuing actives with partial service year credit in prior calendar year 0.75 year All other active participants 0.75 year This assumption is primarily used to determine normal cost and estimated benefit payments. It is also used for determining future eligibility for disability benefits and for early retirement and payment form subsidies. Rehire: Retired, non-retired disabled, and terminated participants are assumed to be permanently terminated or retired (i.e., will not be rehired). Surviving Spouses: 80% of eligible participants are married and wives are four years younger than their husbands, except that data is reported for spouses of prior 1950 Pension Plan pensioners. These spouses are not currently eligible for benefits, but can become eligible when the pensioner dies. It is assumed that surviving spouses will not remarry. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods 2. Assumptions Made With Respect to Employee Data Entry Age: I) 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. II) Participants Without Complete Past Service Data Assumed to enter at age 24 or present age, if younger. Past Service: I) Participants With Credible Past Service Data Actual service earned to end of calendar year preceding valuation date plus ½ of the assumed future service for the six-month period ending on the valuation date. II) Participants Without Complete Past Service Data The sum of (a) plus (b) plus (c). (a) 1/2 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 Pre-1977 Annual Category Past Service Active participants who earned a full year of service every calendar year since entry, during the period starting in 1977 1.00 year All other active and terminated participants 0.85 year Sex: All participants, other than surviving spouses, are assumed to be males. It is assumed that females constitute a very small percentage of the participant population and the use of male mortality rates for all participants (other than surviving spouses) would not have a material impact on the valuation results. Form of Payment: Future pensioners not eligible for a postretirement surviving spouse benefit are assumed to receive a life annuity or an actuarially equivalent 75% joint and survivor annuity. Current pensioners are assumed to be eligible for a postretirement surviving spouse benefit based on data provided by status code. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods Attained Age: All non-retired participants are at least 18 years old and no active participants have exceeded their 80th birthday. Data submitted outside this range are assumed to be miscoded and are adjusted to the appropriate age limit. (Adjustments were made for 0 active participants.) All terminated participants over age 65 are assumed to be either dead or ineligible to receive a pension and are excluded from the valuation. (25,617 such participants were excluded.) Active Participant: All non-retired participants with a full or partial service credit in the preceding calendar year are assumed to be active participants on the valuation date. Date of Birth: Participants with no known date of birth are assumed to have the same average age as the other participants in the same status category. (This assumption was applied to 76 active and 4,081 terminated participants.) Participant Data Not On Valuation Data Base: It was assumed that the reported vested terminated population should be increased by 0.6% to reflect missing data. Missing participants are assumed to have the same census characteristics as the reported participants. The valuation data was adjusted to correct for the assumed missing information. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Statement of Actuarial Assumptions/Methods Statement of Changes in Assumptions or Methods and Justifications for Such Changes The RPA ’94 current liability interest rate was changed to 4.48% for 2011 from 4.58% for 2010 (the highest rate in the acceptable range for each year). In addition, the RPA ’94 current liability mortality table was changed to the separate annuitant/nonannuitant mortality tables for males and females for the 2011 plan year as set forth in Regulations section 1.412(l)(7)-1 from the comparable 2010 plan year tables. A new valuation software system was used for the July 1, 2011, actuarial valuation. This change did not materially affect costs and liabilities and it met the conditions of automatic IRS approval under Section 4.04 (Approval for Change in Valuation Software) of Revenue Procedure 2000-40. Effective July 1, 2010, the asset valuation method was revised to reflect the plan sponsor’s election of funding relief. The return to the corridor of 80%/120% of market value for plan years beginning July 1, 2011, and later is also considered a funding method change. Both changes are deemed approved under IRC Section 431(b)(8)(B)(ii). A 10-year charge base was not established as of July 1, 2011, for the re- imposition of the 80%/120% corridor, since that method change had no effect on the actuarial value of assets. See the “Valuation of Assets” section of this attachment for a full description of the asset valuation method. All other actuarial methods and assumptions are identical to the assumptions used in the July 1, 2010, valuation. j:\umw\doc\other\2011 schmb ln6 assmp&meth 52-1050282 002 umwnyo 74pp.doc Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 8b – Schedule of Active Participant Data In each cell, the number is the count of active participants for each age/service combination. j:\umw\doc\other\2011 schmb ln8b actptp 52-1050282 002 umwnyo 74pp.doc Years of Credited Service as of July 1, 2011 Age Less than 1 1-4 5-9 10-14 15-19 20-24 25-29 30-34 35-39 40+ Total Under 25 115 283 15 413 25-29 111 553 242 906 30-34 107 532 434 13 1,086 35-39 90 479 481 27 5 1,082 40-44 58 398 380 41 30 5 912 45-49 35 246 249 46 51 60 10 6 703 50-54 12 111 153 41 74 1,043 123 183 1,740 55-59 3 37 56 20 79 610 1,159 423 79 2,466 60-64 3 28 16 11 73 663 27 207 9 1,037 65-69 2 1 2 5 26 13 7 19 75 70+ 1 2 1 2 1 7 Total 531 2,642 2,040 205 253 1,798 1,981 653 295 29 10,427 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Lines 9c and 9h – Schedule of Funding Standard Account Bases AMORTIZATION SCHEDULE FOR MINIMUM FUNDING STANDARD DETERMINED AS OF JULY 1, 2011 Amortization Period Date Original Remaining Balances Amortization Charges Established Period Period Initial Outstanding1 Payment Initial Unfunded Frozen Actuarial Accrued Liability 7/1/1976 40 years 5 $2,096,144,000 $658,379,000 $152,160,000 Benefit Increases 7/1/1977 40 years 6 42,396,000 15,513,000 3,092,000 Benefit Increases 7/1/1978 40 years 7 164,492,000 68,132,000 12,056,000 Benefit Increases 7/1/1979 40 years 8 7,492,000 3,440,000 552,000 Benefit Increases 7/1/1980 40 years 9 3,262,000 1,637,000 241,000 Benefit Increases 7/1/1982 30 years 1 17,138,000 1,348,000 1,348,000 Benefit Increases 7/1/1983 30 years 2 123,884,000 18,806,000 9,751,000 Benefit Increases 7/1/1985 30 years 4 149,836,000 42,640,000 11,887,000 Benefit Increases 7/1/1987 30 years 6 50,461,000 20,201,000 4,029,000 Benefit Increases 7/1/1988 30 years 7 767,523,000 347,380,000 61,473,000 Benefit Increases 7/1/1989 30 years 8 167,986,000 84,062,000 13,468,000 Assumption Changes 7/1/1989 30 years 8 91,845,000 45,975,000 7,364,000 Benefit Increases 7/1/1990 30 years 9 87,508,000 47,679,000 7,023,000 Benefit Increases 7/1/1991 30 years 10 285,295,000 167,294,000 22,918,000 Benefit Increases 7/1/1994 30 years 13 319,252,000 221,529,000 25,714,000 Assumption Changes 7/1/1995 30 years 14 192,373,000 139,432,000 15,507,000 Benefit Increases 7/1/1997 30 years 16 155,332,000 121,200,000 12,541,000 Benefit Increases 7/1/1998 30 years 17 560,740,000 451,497,000 45,304,000 Assumption Changes 7/1/1998 30 years 17 118,380,000 95,324,000 9,564,000 Benefit Increases 7/1/1999 30 years 18 46,904,000 38,852,000 3,792,000 Assumption Changes 7/1/1999 30 years 18 4,591,000 3,805,000 371,000 Benefit Increases 7/1/2000 30 years 19 43,056,000 36,564,000 3,481,000 Benefit Increases/Assumption Changes 7/1/2002 30 years 21 520,163,000 461,186,000 42,055,000 Benefit Increases/Assumption Changes 7/1/2003 30 years 22 58,888,000 53,196,000 4,761,000 Benefit Increases 7/1/2004 30 years 23 27,854,000 25,594,000 2,252,000 Benefit Increases 7/1/2005 30 years 24 64,941,000 60,595,000 5,251,000 Benefit Increases 7/1/2006 30 years 25 62,618,000 59,265,000 5,063,000 Benefit Increases 7/1/2007 30 years 26 502,065,000 481,412,000 40,592,000 Benefit Increases 7/1/2008 15 years 12 40,344,000 35,454,000 4,319,000 Benefit Increases 7/1/2009 15 years 13 37,307,000 34,407,000 3,994,000 Funding Method Change 7/1/2009 10 years 8 1,352,071,000 1,156,275,000 185,236,000 Benefit Increases 7/1/2010 15 years 14 15,500,000 14,921,000 1,659,000 Assumption Changes 7/1/2010 15 years 14 13,283,000 12,786,000 1,422,000 Actuarial Loss 7/1/2011 15 years 15 247,154,000 247,154,000 26,459,000 Benefit Increases 7/1/2011 15 years 15 13,818,000 13,818,000 1,479,000 $8,451,896,000 $5,286,752,000 $748,178,000 Prior 1950 Pension Plan Charges 5,047,102,000 1,079,683,000 368,941,000 Total Charges $13,498,998,000 $6,366,435,000 $1,117,119,000 1 The outstanding balances are equal to the present value of the minimum amortization payments over the remaining amortization period. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Lines 9c and 9h – Schedule of Funding Standard Account Bases AMORTIZATION SCHEDULE FOR MINIMUM FUNDING STANDARD DETERMINED AS OF JULY 1, 2011 Amortization Period Date Original Remaining Balances Amortization Credits Established Period Period Initial Outstanding Payment Assumption Changes 7/1/1979 40 years 8 $12,011,000 $5,516,000 $884,000 Assumption Changes 7/1/1982 30 years 1 5,631,000 448,000 448,000 Assumption Changes 7/1/1983 30 years 2 168,274,000 25,526,000 13,246,000 Assumption Changes 7/1/1984 30 years 3 218,698,000 48,217,000 17,293,000 Assumption Changes 7/1/1988 30 years 7 460,737,000 208,524,000 36,901,000 Assumption Changes 7/1/1991 30 years 10 40,246,000 23,598,000 3,233,000 Termination of Coverage 7/1/1993 30 years 12 18,492,000 12,217,000 1,488,000 Assumption Changes 7/1/2000 30 years 19 67,650,000 57,441,000 5,470,000 Assumption Changes 7/1/2001 30 years 20 4,326,000 3,754,000 350,000 Assumption Changes 7/1/2004 30 years 23 126,541,000 116,263,000 10,231,000 Funding Method Change 7/1/2003 10 years 2 462,371,000 122,105,000 63,346,000 Funding Method Change 7/1/2004 10 years 3 49,209,000 18,796,000 6,742,000 Funding Method Change 7/1/2005 10 years 4 196,925,000 96,759,000 26,979,000 Funding Method Change 7/1/2006 10 years 5 316,469,000 187,601,000 43,357,000 Funding Method Change 7/1/2007 10 years 6 469,970,000 322,822,000 64,387,000 Funding Method Change 7/1/2007 10 years 6 353,477,000 242,805,000 48,427,000 Assumption Changes 7/1/2008 15 years 12 180,156,000 158,320,000 19,287,000 Actuarial Gain 7/1/2010 15 years 14 239,507,000 230,548,000 25,641,000 Funding Method Change 7/1/2010 10 years 9 376,915,000 350,649,000 51,638,000 $3,767,605,000 $2,231,909,000 $439,348,000 Prior 1950 Pension Plan Credits 1,709,703,000 437,786,000 130,701,000 Total Credits $5,477,308,000 $2,669,695,000 $570,049,000 Net Amortization Payment as of July 1, 2011 = Total Payments on Charges Less Total Payments on Credits $547,070,000 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Lines 9c and 9h – Schedule of Funding Standard Account Bases PRIOR 1950 PENSION PLAN AMORTIZATION SCHEDULE FOR MINIMUM FUNDING STANDARD DETERMINED AS OF JULY 1, 2011 Amortization Period Balances Charges Date Established Remaining Period Initial Outstanding Amortization Payment Combined Charges 7/1/1989 1.13 years $3,918,713,000 $316,507,000 $281,446,000 Benefit Increases 7/1/1991 10 years 129,588,000 70,636,000 9,677,000 Assumption Changes 7/1/1991 10 years 18,060,000 9,842,000 1,349,000 Assumption Changes 7/1/1992 11 years 108,049,000 62,800,000 8,081,000 Asset Transfer 7/1/1993 12 years 210,000,000 129,447,000 15,769,000 Assumption Changes 7/1/1993 12 years 88,237,000 54,389,000 6,626,000 Benefit Changes 7/1/1994 13 years 79,702,000 51,898,000 6,025,000 Assumption Changes 7/1/1995 14 years 60,136,000 41,005,000 4,560,000 Benefit Changes 7/1/1997 16 years 173,833,000 128,644,000 13,310,000 Assumption Changes 7/1/1998 17 years 35,806,000 27,440,000 2,754,000 Actuarial Loss 7/1/1999 3 years 9,760,000 2,725,000 976,000 Actuarial Loss 7/1/2000 4 years 4,801,000 1,735,000 483,000 Benefit Changes 7/1/2002 21 years 22,225,000 19,065,000 1,739,000 Assumption Changes 7/1/2002 21 years 13,728,000 11,777,000 1,074,000 Assumption Changes 7/1/2003 22 years 47,090,000 41,352,000 3,701,000 Actuarial Loss 7/1/2004 8 years 25,131,000 16,306,000 2,612,000 Plan Change 7/1/2005 24 years 596,000 550,000 48,000 Assumption Changes 7/1/2005 24 years 10,645,000 9,811,000 850,000 Actuarial Loss 7/1/2006 10 years 17,638,000 13,684,000 1,875,000 Plan Change 7/1/2006 25 years 552,000 520,000 44,000 Actuarial Loss 7/1/2007 11 years 2,120,000 1,764,000 227,000 Plan Change 7/1/2007 26 years 70,692,000 67,786,000 5,715,000 $5,047,102,000 $1,079,683,000 $368,941,000 Credits Restoration of 6/30/1983 Credit Balance 7/1/1983 2 years $1,279,126,000 $182,720,000 $94,790,000 Assumption Changes 7/1/1990 9 years 18,772,000 9,510,000 1,400,000 Termination of Coverage 7/1/1993 12 years 86,219,000 53,148,000 6,474,000 Assumption Changes 7/1/1994 13 years 94,625,000 61,615,000 7,153,000 Assumption Changes 7/1/1996 15 years 12,942,000 9,214,000 987,000 Actuarial Gain 7/1/1997 1 year 16,717,000 1,646,000 1,646,000 Actuarial Gain 7/1/1998 2 years 60,878,000 11,635,000 6,037,000 Assumption Changes 7/1/1999 18 years 31,363,000 24,854,000 2,426,000 Assumption Changes 7/1/2000 19 years 22,441,000 18,307,000 1,743,000 Actuarial Gain 7/1/2003 7 years 35,840,000 20,772,000 3,675,000 Assumption Changes 7/1/2004 23 years 16,250,000 14,646,000 1,289,000 Actuarial Gain 7/1/2005 9 years 12,303,000 8,773,000 1,292,000 Assumption Changes 7/1/2006 25 years 22,227,000 20,946,000 1,789,000 $1,709,703,000 $437,786,000 $130,701,000 j:\umw\doc\other\2011 schmb ln9c9h fundacct 52-1050282 002 umwnyo 74pp.doc Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 11 – Justification for Change in Actuarial Assumptions The RPA ’94 current liability interest rate was changed to 4.48% for 2011 from 4.58% for 2010 (the highest rate in the acceptable range for each year). In addition, the RPA ’94 current liability mortality table was changed to the separate annuitant/nonannuitant mortality tables for males and females for the 2011 plan year as set forth in Regulations section 1.412(l)(7)-1 from the comparable 2010 plan year tables. All other actuarial assumptions are identical to the assumptions used in the July 1, 2010, valuation. j:\umw\doc\other\2011 schmb ln11 chngassmp 52-1050282 002 umwnyo 74pp.doc The entire report has been attached to the Account'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, 2012 Plan No. 002 EIN 52‐1050282 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 Year End) Form 5500, Schedule H, Part IV, Line 4i Plan Year Ended June 30, 2012 Plan No. 002 EIN 52‐1050282 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, 2012 Plan No. 002 EIN 52‐1050282 See attachment to the Accountant's Audit Report attached at Accountant's Opinio UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN Explanation of Fixed Obligations in Default Form 5500, Schedule H, Part IV, Line 4b Plan Year Ended June 30, 2012 Plan No. 002 EIN 52‐1050282 Ð´¿² Ò¿³»Û×Òæ Ð´¿² Í°±²±®ù Ò¿³»ÐÒæ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ Ý±²¬®·¾«¬·±² ®¿¬» ø·² ¼±´´¿® ¿²¼ ½»²¬÷ Þ¿» «²·¬ ³»¿«®»æ Ø±«®´§É»»µ´§Ë²·¬ ±º °®±¼«½¬·±²Ñ¬¸»® ø°»½·º§÷æ ß¬¬¿½¸³»²¬ ¬± îðïï Ú±®³ ëëðð Í½¸»¼«´» Îô ´·²» ïí» ó ×²º±®³¿¬·±² ±² Ý±²¬®·¾«¬·±² Î¿¬» ¿²¼ Þ¿» Ë²·¬ United Mine Workers of America 1974 Pension Plan 52-1050282 UMWA 1974 Pension Trust Board of Trustees 002 5.50 X 1.10 X