The URL can be used to link to this page

Home My WebLink About20150410PAC to Staff 32.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), 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 2010 This Form is Open to Public Inspection Part I Annual Report Identification Information For calendar plan year 2010 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 1b Three-digit plan number (PN) 001 1a Name of plan ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1c Effective date of plan YYYY-MM-DD 2a Plan sponsor’s name and address (employer, if for a single-employer plan) (Address should include room or suite no.) 2b Employer Identification Number (EIN) 012345678 2c Sponsor’s telephone number 0123456789 2d Business code (see instructions) 012345 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 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. YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE SIGN HERE Signature of plan administrator Date Enter name of individual signing as plan administrator YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE SIGN HERE Signature of employer/plan sponsor Date Enter name of individual signing as employer or plan sponsor YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE SIGN HERE 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 (2010) v.092307.1 06/30/2011 X 202-521-2200 12/06/1974 04/13/2012 525920 B. V. HYLER, TRUSTEE Filed with authorized/valid electronic signature. 002 07/01/2010 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 04/13/2012 X X Filed with authorized/valid electronic signature. Form 5500 (2010) Page 2 3b Administrator’s EIN 012345678 3c Administrator’s telephone number 0123456789 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 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: 1x 1x 1x 1x 1x 1x 1x 1xx 1xx 1xx b If the plan provides welfare benefits, enter the applicable welfare feature codes from the List of Plan Characteristic Codes in the instructions: 1x 1x 1x 1x 1x 1x 1x 1x 1xx 1xx 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 I (Financial Information – Small Plan) (3) X ___ A (Insurance Information) (2) X MB (Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information) - signed by the plan actuary (4) X C (Service Provider Information) (5) X D (DFE/Participating Plan Information) (3) X SB (Single-Employer Defined Benefit Plan Actuarial Information) - signed by the plan actuary (6) X G (Financial Transaction Schedules) X 86186 12304 202-521-2200 10427 X 121239 52-1050282 X X X UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 2121 K STREET N.W. SUITE 350 WASHINGTON, DC 20037-1879 31898 1B 1G 43 63455 X X 118084 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 2010 This Form is Open to Public Inspection For calendar plan year 2010 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. B Three-digit plan number (PN) 001 A Name of plan ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 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) 2010 v.092308.1 MERCER 06/30/2011 01 52-1050282 0 6757439000 688263000 07/01/2010 212-345-7087 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 4253508000 03/15/2012 002 5481125000 6757439000 07 51118000 11-03555 2010 X 9671801000 CAROL R. GRAMER 1166 AVENUE OF THE AMERICAS, NEW YORK, NY 10036-2708 Schedule MB (Form 5500) 2010 Page 2- a Current value of the 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 ABCDE 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?..........................................................................................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% 123.12% f Salary scale ...................................................................................6f 123.12% 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 with 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 784047000 A A 11/26/2010 1683636000 X 3.5 N 08/15/2010 09/15/2010 10/15/2010 11/15/2010 12/15/2010 01/15/2011 02/15/2011 10154 03/15/2011 1405789000 04/15/2011 7541000 X 122940000 10124000 9374000 10120000 10276000 9718000 10332000 10536000 4253509409 11960000 1 05/15/2011 15.7 06/15/2011 07/15/2011 4.58 7204118000 X 9671801000 10596000 A 12106000 10257000 X 96862 13.1 3.5 X 0 277847000 43.98 8.00 14223 A 121239 8.00 Schedule MB (Form 5500) 2010 Page 3- 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?......................................................... 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 9l, enter the difference .........................................................................9n -123456789012345 2155376000 6765590000 0 5352222000 0 -51638000 3325290000 1219121000 3374497000 3057265000 1101896000 X X 238807000 29014000 88211000 2432011000 122940000 580739000 0 5 1 -376915000 Schedule MB (Form 5500) 2010 Page 4 9 o Current year’s accumulated reconciliation account: (1) Due to waived funding deficiency accumulated prior to the 2010 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) 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 2010 This Form is Open to Public Inspection. For calendar plan year 2010 or fiscal plan year beginning and ending B Three-digit plan number (PN) 001 A Name of plan ABCDEFGHI 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) 2010 v.092308.1 94-3205364 23-1945930 52-1050282 06/30/2011 X KTR CAPITAL PARTNERS GRANTHAM,MAYO,OTTERLOO & CO LLC BLUM CAPITAL PARTNERS, LP THE VANGUARD GROUP, INC. 07/01/2010 002 140 BROADWAY NEW YORK, NY 10005 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 04-2691242 Schedule C (Form 5500) 2010 Page 2- (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 20-8031906 20-4202660 06-1452020 HARVEST ADVISORS V, LLC HARVEST PARTNERS V, LP UBS REALTY INVESTORS LLC 1 Schedule C (Form 5500) 2010 Page 3 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 EMPLOYEE NONE NONE 10 15 25 27 28 29 30 36 49 50 27 28 50 51 27 28 50 51 10177850 3307 02078774 X 1161560 X X 52-6159008 1974 PENSION TRUST 13-2871809 BRIDGEWATER & ASSOCIATES CITY OF LONDON INVESTMENT GROUP 1125 AIRPORT ROAD COATESVILLE, PA 19320 X X X Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 X NONE NONE NONE 27 28 34 50 51 27 28 50 51 19 1088311 300 963632 X 0891322 X X 33-0123114 AMERICAN REALTY CORE 13-3379970 13-5160382 ING CLARION BANK OF NEW YORK MELLON X 1 X Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 X NONE NONE NONE 27 28 50 51 11 16 50 27 28 50 51 829087 784805 0740065 X 06-1543710 BLACKROCK FINANCIAL MANAGEMENT INC. 13-2836900 04-1867445 MERCER HUMAN RESOURCE CON SSGA GLOBAL X X 2 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 X NONE NONE NONE 27 28 50 51 27 28 50 51 27 28 50 51 68 728093 518169 0472971 X 27-0184174 BLACKROCK INST TRUST CO 48-1140940 13-4064930 NISA INVESTMENT ADVISORS ALLIANCE BERNSTEIN X X 3 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 X NONE NONE NONE 27 28 50 51 27 28 50 51 27 28 50 51 464510 133364439202 0416943 XX X 13-5123346 JP MORGAN GUARANTEE TRUST CO. 23-6819730 61-1553760 DIMENSIONAL FUND ADVISORS UBS TRUMBULL FUND X 4 X Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 404418 385358 372500 01-0614895 INTECH 75-2403190 04-1554520 BARROW HANLEY, MEWINNEY LOOMIS SAYLES X X X 5 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 350685 0338501 330900 X 23-2772200 LSV ASSET MANAGEMENT 92-2553868 23-0891050 CAPITAL GUARDIAN MORGAN, LEWIS & BOCKIUS L X X 6 X Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 320957 287226 201795 94-6581660 BLACKROCK INST TRUST CO 13-3575636 13-1931123 GOLDMAN SACHS ASSET MGMT ARGUS INVESTORS X X X 7 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 29 50 190414 186330 157143 04-0025081 SSGA 13-3417984 52-1182494 BLOOMBERG FINANCE, L.P. MOONEY GREEN BAKER SAINDO X X X 8 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 10 50 49 50 138124 0 129908 99199 X 52-0556948 T. ROWE PRICE 52-1044197 47-0751768 BOND BEEBE VERIZON X X 9 X Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 22 50 49 50 95388 81467 59844 52-0975591 KELLY PRESS INC 36-1436000 54-1490546 MARSH USA, INC. K & R INDUSTRIES X X X 10 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 15 50 15 50 55127 55035 53641 52-0969534 BREDHOFF & KAISER 52-1729143 52-1471842 DATABANK IMX, INC. LEXIS-NEXIS X X X 11 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 72 50 49 50 47061 46804 40850 88-0443249 MICROSOFT LICENSING, GP 22-3693659 53-0191325 BURGISS GROUP, LLC, THE DOYLE PRINTING & OFFSET C X X X 12 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 49 50 38964 36798 33987 13-3036745 AUTOMATIC DATA PROCESSING 94-3329945 56-1133017 DATA DRIVEN DECISION, INC SAS INSTITUTE, INC. X X X 13 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 49 50 25 50 31839 29121 28726 95-2755361 WILSHIRE ASSOCIATES, INC. 20-5093181 84-1256502 ICORE NETWORKS, INC. FRONTRANGE SOLUTIONS USA X X X 14 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 20633 20032 18828 CONVEY COMPLIANCE SYSTEMS, INC. 52-1668212 XIOTECH CORPORATION SPRINT 3650 ANNAPOLIS LANE, SUITE 190 PLYMOUTH, MN 55447 PO. BOX 219100 KANSAS CITY, MO 64121-9100 X X X 15 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 16 49 50 18637 18626 18479 26-2521148 AUTOMON NORTECT UNITED PARCEL SERVICE, IN 7531 LEESBURG PIKE, #300 FALLS CHURCH, VA 22043 PO BOX 7247-0244 PHILADELPHIA, PA 19170 X X X 16 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 50 49 50 18030 17250 16770 94-6507863 BLACKROCK INST TRUST CO 74-3025382 52-0913097 ALIGNMENT CAPITAL GROUP NMS IMAGING, INC. X X X 17 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 15 50 16621 16435 16387 41-1624730 LEASE FINANCE GROUP, INC 13-4924710 23-2106195 A T & T SUNGARD AVAILABILITY SERV X X X 18 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 28 34 50 51 49 50 15829 13516 12268 36-3556041 SAP AMERICA, INC. 94-6052285 BLACKROCK INST TRUST CO. UNITED BUSINESS TECHNOLOGY 9218 GAITHER ROAD GAITHERSBURG, MD 20877 X X X 19 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 50 72 49 15 11872 11806 11503 13-3932439 TRADEWEB FRONTIER DELL SECUREWORKS P.O. BOX 20550 ROCHESTER, NY 14602-0550 P.O. BOX 534583 ATLANTA, GA 30353 X X X 20 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 49 11396 11145 10940 52-1212890 MILLER & CHEVALIER 52-1954506 13-3458861 SHARP COMMUNICATIONS SERV PROTRACK INTERNATIONAL, INC. X X X 21 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 17 50 10243 9953 9821 16-1313143 IMMEDIATE MAILING SERVICE INSIGHT DIRECT, USA LEE, KYU P.O. BOX 731069 DALLAS, TX 75373-1069 9816 COMMONWEALTH ROAD FAIRFAX, VA 22032 X X X 22 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 72 16 50 72 9705 9632 9454 06-1031656 BARCALY'S CAPITAL, INC. 13-3954297 20-4530702 BUCK CONSULTANTS, LLC THOMAS REUTERS X X X 23 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 8971 8959 8365 INFORPRINT SOLUTIONS CO. 52-1738021 39-1455803 ALLIED TELECOM GROUP QWEST, INC. 4111 NORTHSIDE PKWY ATLANTA, GA 30327 X X X 24 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 49 50 8250 8220 8087 71-0427007 FEDEX 36-3580100 53-0179108 BOWE BELL & HOWELL CO. PARSONS PAPER CO., INC., F X X X 25 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 7205 7011 6684 20-1868030 COLLIAS, GARY 53-0182885 26-1172273 WASHINGTON POST, THE LAZ PARKING X X X 26 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 49 50 16 50 6527 6297 6000 CATE BOWER COMMUNICATIONS 13-3975524 VERIAN TECHNOLOGIES MCLAGAN PARTNERS, INC. 5109 HOLLY DRIVE WEST RIVER, MD 20778 8701 MALLARD CREEK RD, #238 CHARLOTTE, NC 28262 X X X 27 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 49 50 49 5786 5730 5495 75-2275152 CITRIX SYSTEMS INC 91-1178250 41-2189625 ULTRABAC SOFTWARE ACCUITY, INC X X X 28 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 29 49 5164 5018 5012 23-1433012 PEPPER HAMILTION 61-1358524 74-2947183 SALES, TILLMAN, WALLBAUM BLACKBAUD FUNDWARE X X X 29 Schedule C (Form 5500) 2010 Page 4- (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 (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 (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 NONE28 0 533927 XX 13-3970785 K2 ADVISORS LLC X 30 Schedule C (Form 5500) 2010 Page 5- 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. 13-3970786 13-3970786 28 520525 13 13402 K2/D&S MANAGEMENT CO., L.L.C.MANAGEMENT FEES K2/D&S MANAGEMENT CO., L.L.C.RESEARCH EXPENSES K2 ADVISORS LLC K2 ADVISORS LLC 1 Schedule C (Form 5500) 2010 Page 6- 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 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 1234567890 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 (a) Enter name and EIN or address of service provider (see instructions) (b) Nature of Service Code(s) (c) Describe the information that the service provider failed or refused to provide ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 1234567890 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 (a) Enter name and EIN or address of service provider (see instructions) (b) Nature of Service Code(s) (c) Describe the information that the service provider failed or refused to provide ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 1234567890 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 (a) Enter name and EIN or address of service provider (see instructions) (b) Nature of Service Code(s) (c) Describe the information that the service provider failed or refused to provide ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 1234567890 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 (a) Enter name and EIN or address of service provider (see instructions) (b) Nature of Service Code(s) (c) Describe the information that the service provider failed or refused to provide ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 1234567890 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 (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) 2010 Page 7- a Name: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b EIN: 123456789 c Position: ABCDEFGHI ABCDEFGHI ABCD e Telephone: 1234567890 d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 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 e Telephone: 1234567890 d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 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 e Telephone: 1234567890 d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 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 e Telephone: 1234567890 d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 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 e Telephone: 1234567890 d Address: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD 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 2010 This Form is Open to Public Inspection. For calendar plan year 2010 or fiscal plan year beginning and ending B Three-digit plan number (PN) 001 A Name of plan ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 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) 2010 v.092308.1 06/30/2011 27-0184174-001 94-6507863-001 98-0501381-001 477332567 16-1675706-001 40467951 61530853 04-0025081-204 36843829 94-6052285-001 35486089 23-6819730-004 170619863 52-1050282 31701018 C C E E C C 07/01/2010 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) 2010 Page 2- 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 ALPHA TILTS FUND BZW BARCLAYS MONEY MARKET MSCI EAFE INDEX - NL SSGA - CANADA MSCI INDEX - NL 04-0025081-141 04-0025081-241 98-0674465-001 94-6581660-001 94-6450621-001 04-0025081-240 04-0025081-551 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. BLACKROCK INSTITUTIONAL TRUST CO. STATE STREET BANK AND TRUST COMPANY STATE STREET BANK AND TRUST COMPANY 92949716 257755315 E C 16976925 301274161 41604234 0 0 0 0 C C E C C C C THE SMALL CAP SUBTRUST US LONG CREDIT Schedule D (Form 5500) 2010 Page 3- 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 Administation 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 2010 This Form is Open to Public Inspection. For calendar plan year 2010 or fiscal plan year beginning and ending B Three-digit plan number (PN) 001 A Name of plan: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 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) 2010 v.092308.1 06/30/2011 52-1050282 NORTHERN TELECOM CAP CORP OSPREY CORPORATION 07/01/2010 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN 195 THE WEST MALL TORONTO, ONTARIO M9C5K1 CA 1835 BRIARWOOD ROAD, N.W. ATLANTA, GA 30329-1605 UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 70687 18599 10000 0 CORPORATE BOND, $900,000 FACE VALUE 7.875%, DUE 06/15/2026 002 CORPORATE BOND, $255,000 FACE VALUE 7.797%, DUE 01/15/2049 0 0 0 0 0 1283 900000 255000 Schedule G (Form 5500) 2010 Page 2- (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 1 Schedule G (Form 5500) 2010 Page 3- 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) 2010 Page 4- 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 -123456789012345 (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transactions 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 transactions 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 -123456789012345 (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transactions 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 transactions 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 -123456789012345 (a) Identity of party involved (b) Relationship to plan, employer, or other party-in-interest (c) Description of transactions 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 -123456789012345 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 2010 This Form is Open to Public Inspection For calendar plan year 2010 or fiscal plan year beginning and ending B Three-digit plan number (PN) 001 A Name of plan ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 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) 2010 v.092308.1 107248418 557505897 06/30/2011 796632386 10256558 14835 264629650 351481047 501153195 15144329 52-1050282 2417695 158634474 07/01/2010 2139856 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN 1235506825 UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 002 1413633 13087 216783477 312133353 454556768 471597000 10460408 790289904 186577210 18493714 1400516 152368055 12446614 1299912871 533414249497507379 1281716 Schedule H (Form 5500) 2010 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 1213558727 70309547 1359044517 17883638 198249133 4327572 17098551 268558680 146624 4720704519 4421142475 31856001 10283254 84881035 57925977 241636067 145485790 25451176 122939682 299562044 122939682 7502180 4522068089 4253509409 65358 194476454 Schedule H (Form 5500) 2010 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. 167633066 849145473 651608685 52636769 211590430 681512407 169600687 29903722 651608685 BOND BEEBE, P.C. 11464482 83306612 12469863 X 6278326 157130824 52-1044197 3702240 14737000 X Schedule H (Form 5500) 2010 Page 4- 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: -123456789012345 5b If, during this plan year, any assets or liabilities were transferred from this plan to another plan(s), identify the plan(s) to which assets or liabilities were transferred. (See instructions.) 5b(1) Name of plan(s) 5b(2) EIN(s) 5b(3) PN(s) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 123456789 123 X X X X X X X 625000 1 X X X X 2492221000 X X 89286 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 2010 This Form is Open to Public Inspection. For calendar plan year 2010 or fiscal plan year beginning and ending B Three-digit plan number (PN) 001 A Name of plan ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 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 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(es). 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) 2010 v.092308.1 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 ................................................................................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 06/30/2011 0 52-1050282 07/01/2010 UNITED MINE WORKERS OF AMERICA 1974 PENSION PLAN X X UMWA 1974 PENSION TRUST BOARD OF TRUSTEES 002 X 0 Schedule R (Form 5500) 2010 Page 2- 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): 2011 2011 2011 2011 2011 13-2566594 59-2981186 25-1125516 84-1521723 84-1521724 63-0653224 CONSOLIDATION COAL COMPANY JIM WALTER RESOURES, INC. EASTERN ASSOCIATED COAL LLC CUMBERLAND COAL RESOURCES, LP EMERALD COAL RESOURCES, LP DRUMMOND COMPANY, INC. 1 30 31 31 30 30 31 5.50 5.50 5.50 5.50 5.50 5.50 X X X X X X 06 12 12 06 06 12 34881882 15809998 7102494 7058135 6606116 5541657 2011 Schedule R (Form 5500) 2010 Page 2- 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): 63-0653224 DRUMMOND COMPANY INC. X 2 31 1.06 12 763241 2011 Schedule R (Form 5500) 2010 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 80544 0 89583 33 X 85345 X 940 0.94 0.97 3 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 2007) 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. Effective Date: December 6, 1974. Date of Last Amendment: July 28, 2009. 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: Disability is 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 signatory service prior to retirement. 2) Minimum disability benefit: less than 10 years of signatory service prior to retirement. Benefit: Normal: The benefit calculated in accordance with the Normal Retirement Benefit schedule in effect at retirement. 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 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 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). 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. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions 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. Note: This benefit was deleted as of January 1, 2007, for participants who retire under the 2007 Agreement, because the benefit had become redundant. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions 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 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 Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions 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 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. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions 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. 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. Plan: United Mine Workers of America 1974 Pension Plan EIN/PN: 52-1050282/002 Schedule MB, Line 6 – Summary of Plan Provisions 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. 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 2007) 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: July 28, 2009. 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 effective on or before January 1, 2009, are reflected for funding liability. In addition, the benefit increases effective January 1, 2011, are reflected on a prorata basis for funding. j:\umw\doc\other\2010 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 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\2010 schmb ln8b actptp 52-1050282 002 umwnyo 74pp.doc Years of Credited Service as of July 1, 2010 Age Less than 1 1-4 5-9 10-14 15-19 20-24 25-29 30-34 35-39 40+ Total Under 25 45 251 22 318 25-29 66 467 199 1 733 30-34 47 524 372 9 952 35-39 70 416 417 29 6 1 939 40-44 29 300 308 41 20 4 702 45-49 25 210 199 43 52 148 14 9 700 50-54 8 97 125 31 106 1,459 70 273 2,169 55-59 2 25 62 19 92 1,233 642 470 82 2,627 60-64 2 15 18 19 67 604 25 190 8 948 65-69 1 1 1 2 4 4 25 8 17 63 70+ 1 2 3 Total 292 2,293 1,720 192 298 2,916 1,336 802 280 25 10,154 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, 2010 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 6 $2,096,144,000 $762,901,000 $152,160,000 Benefit Increases 7/1/1977 40 years 7 42,396,000 17,483,000 3,092,000 Benefit Increases 7/1/1978 40 years 8 164,492,000 75,258,000 12,056,000 Benefit Increases 7/1/1979 40 years 9 7,492,000 3,743,000 552,000 Benefit Increases 7/1/1980 40 years 10 3,262,000 1,760,000 241,000 Benefit Increases 7/1/1981 30 years 1 148,387,000 11,573,000 11,573,000 Benefit Increases 7/1/1982 30 years 2 17,138,000 2,593,000 1,343,000 Benefit Increases 7/1/1983 30 years 3 123,884,000 27,196,000 9,751,000 Benefit Increases 7/1/1985 30 years 5 149,836,000 51,442,000 11,887,000 Benefit Increases 7/1/1987 30 years 7 50,461,000 22,768,000 4,029,000 Benefit Increases 7/1/1988 30 years 8 767,523,000 383,718,000 61,473,000 Benefit Increases 7/1/1989 30 years 9 167,986,000 91,448,000 13,468,000 Assumption Changes 7/1/1989 30 years 9 91,845,000 50,012,000 7,364,000 Benefit Increases 7/1/1990 30 years 10 87,508,000 51,252,000 7,023,000 Benefit Increases 7/1/1991 30 years 11 285,295,000 178,107,000 22,918,000 Benefit Increases 7/1/1994 30 years 14 319,252,000 231,214,000 25,714,000 Assumption Changes 7/1/1995 30 years 15 192,373,000 144,850,000 15,507,000 Benefit Increases 7/1/1997 30 years 17 155,332,000 124,971,000 12,541,000 Benefit Increases 7/1/1998 30 years 18 560,740,000 464,132,000 45,304,000 Assumption Changes 7/1/1998 30 years 18 118,380,000 97,991,000 9,564,000 Benefit Increases 7/1/1999 30 years 19 46,904,000 39,833,000 3,792,000 Assumption Changes 7/1/1999 30 years 19 4,591,000 3,901,000 371,000 Benefit Increases 7/1/2000 30 years 20 43,056,000 37,399,000 3,481,000 Benefit Increases/Assumption Changes 7/1/2002 30 years 22 520,163,000 469,871,000 42,055,000 Benefit Increases/Assumption Changes 7/1/2003 30 years 23 58,888,000 54,108,000 4,761,000 Benefit Increases 7/1/2004 30 years 24 27,854,000 25,994,000 2,252,000 Benefit Increases 7/1/2005 30 years 25 64,941,000 61,462,000 5,251,000 Benefit Increases 7/1/2006 30 years 26 62,618,000 60,040,000 5,063,000 Benefit Increases 7/1/2007 30 years 27 502,065,000 487,171,000 40,592,000 Benefit Increases 7/1/2008 15 years 13 40,344,000 37,208,000 4,319,000 Benefit Increases 7/1/2009 15 years 14 37,307,000 35,911,000 3,994,000 Funding Method Change 7/1/2009 10 years 9 1,352,071,000 1,257,848,000 185,236,000 Benefit Increases 7/1/2010 15 years 15 15,500,000 15,500,000 1,659,000 Assumption Changes 7/1/2010 15 years 15 13,283,000 13,283,000 1,422,000 $8,339,311,000 $5,393,941,000 $731,808,000 Prior 1950 Pension Plan Charges 5,058,824,000 1,371,649,000 370,088,000 Total Charges $13,398,135,000 $6,765,590,000 $1,101,896,000 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, 2010 Amortization Period Date Original Remaining Balances Amortization Credits Established Period Period Initial Outstanding Payment Assumption Changes 7/1/1979 40 years 9 $12,011,000 $6,001,000 $884,000 Assumption and Method Changes 7/1/1981 30 years 1 137,106,000 10,697,000 10,697,000 Assumption Changes 7/1/1982 30 years 2 5,631,000 856,000 440,000 Assumption Changes 7/1/1983 30 years 3 168,274,000 36,925,000 13,246,000 Assumption Changes 7/1/1984 30 years 4 218,698,000 62,021,000 17,293,000 Assumption Changes 7/1/1988 30 years 8 460,737,000 230,336,000 36,901,000 Assumption Changes 7/1/1991 30 years 11 40,246,000 25,124,000 3,233,000 Termination of Coverage 7/1/1993 30 years 13 18,492,000 12,821,000 1,488,000 Assumption Changes 7/1/2000 30 years 20 67,650,000 58,755,000 5,470,000 Assumption Changes 7/1/2001 30 years 21 4,326,000 3,832,000 350,000 Assumption Changes 7/1/2004 30 years 24 126,541,000 118,082,000 10,231,000 Funding Method Change 7/1/2003 10 years 3 462,371,000 176,616,000 63,346,000 Funding Method Change 7/1/2004 10 years 4 49,209,000 24,178,000 6,742,000 Funding Method Change 7/1/2005 10 years 5 196,925,000 116,737,000 26,979,000 Funding Method Change 7/1/2006 10 years 6 316,469,000 217,384,000 43,357,000 Funding Method Change 7/1/2007 10 years 7 469,970,000 363,851,000 64,387,000 Funding Method Change 7/1/2007 10 years 7 353,477,000 273,664,000 48,427,000 Assumption Changes 7/1/2008 15 years 13 180,156,000 166,152,000 19,287,000 Actuarial Gain 7/1/2010 15 years 15 239,507,000 239,507,000 25,641,000 Funding Method Change 7/1/2010 10 years 10 376,915,000 376,915,000 51,638,000 $3,904,711,000 $2,520,454,000 $450,037,000 Prior 1950 Pension Plan Credits 1,709,703,000 536,811,000 130,702,000 Total Credits $5,614,414,000 $3,057,265,000 $580,739,000 Net Amortization Payment as of July 1, 2010 = Total Payments on Charges Less Total Payments on Credits $521,157,000 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, 2010 Amortization Period Balances Charges Date Established Remaining Period Initial Outstanding Amortization Payment Combined Charges 7/1/1989 2.13 years $3,918,713,000 $575,052,000 $281,446,000 Benefit Increases 7/1/1991 11 years 129,588,000 75,202,000 9,677,000 Assumption Changes 7/1/1991 11 years 18,060,000 10,479,000 1,349,000 Assumption Changes 7/1/1992 12 years 108,049,000 66,337,000 8,081,000 Asset Transfer 7/1/1993 13 years 210,000,000 135,850,000 15,769,000 Assumption Changes 7/1/1993 13 years 88,237,000 57,080,000 6,626,000 Benefit Changes 7/1/1994 14 years 79,702,000 54,168,000 6,025,000 Assumption Changes 7/1/1995 15 years 60,136,000 42,598,000 4,560,000 Actuarial Loss 7/1/1996 1 year 11,722,000 1,147,000 1,147,000 Benefit Changes 7/1/1997 17 years 173,833,000 132,646,000 13,310,000 Assumption Changes 7/1/1998 18 years 35,806,000 28,209,000 2,754,000 Actuarial Loss 7/1/1999 4 years 9,760,000 3,504,000 976,000 Actuarial Loss 7/1/2000 5 years 4,801,000 2,092,000 483,000 Benefit Changes 7/1/2002 22 years 22,225,000 19,424,000 1,739,000 Assumption Changes 7/1/2002 22 years 13,728,000 11,999,000 1,074,000 Assumption Changes 7/1/2003 23 years 47,090,000 42,061,000 3,701,000 Actuarial Loss 7/1/2004 9 years 25,131,000 17,738,000 2,612,000 Plan Change 7/1/2005 25 years 596,000 557,000 48,000 Assumption Changes 7/1/2005 25 years 10,645,000 9,951,000 850,000 Actuarial Loss 7/1/2006 11 years 17,638,000 14,569,000 1,875,000 Plan Change 7/1/2006 26 years 552,000 527,000 44,000 Actuarial Loss 7/1/2007 12 years 2,120,000 1,863,000 227,000 Plan Change 7/1/2007 27 years 70,692,000 68,596,000 5,715,000 $5,058,824,000 $1,371,649,000 $370,088,000 Credits Restoration of 6/30/1983 Credit Balance 7/1/1983 3 years $1,279,126,000 $264,289,000 $94,790,000 Assumption Changes 7/1/1990 10 years 18,772,000 10,222,000 1,400,000 Termination of Coverage 7/1/1993 13 years 86,219,000 55,776,000 6,474,000 Assumption Changes 7/1/1994 14 years 94,625,000 64,310,000 7,153,000 Assumption Changes 7/1/1996 16 years 12,942,000 9,534,000 987,000 Actuarial Gain 7/1/1997 2 years 16,717,000 3,174,000 1,647,000 Actuarial Gain 7/1/1998 3 years 60,878,000 16,830,000 6,037,000 Assumption Changes 7/1/1999 19 years 31,363,000 25,483,000 2,426,000 Assumption Changes 7/1/2000 20 years 22,441,000 18,725,000 1,743,000 Actuarial Gain 7/1/2003 8 years 35,840,000 22,944,000 3,675,000 Assumption Changes 7/1/2004 24 years 16,250,000 14,875,000 1,289,000 Actuarial Gain 7/1/2005 10 years 12,303,000 9,430,000 1,292,000 Assumption Changes 7/1/2006 26 years 22,227,000 21,219,000 1,789,000 $1,709,703,000 $536,811,000 $130,702,000 j:\umw\doc\other\2010 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 3 – Contributions Made to the Plan The contributions shown on Line 3 of this Schedule MB for the plan year ended June 30, 2011, were made during the period August 2010 through July 2011. The contributions shown on Line 3 of the Schedule MB attached to the Form 5500 for the plan year ended June 30, 2010, were actually made in the period August 2009 through July 2010, but were erroneously shown as having been made in the period August 2010 through July 2011 (i.e., the contributions were inadvertently shown as having been made a year later than they actually were). The actual contribution amounts taken into account for the plan year ended June 30, 2010, and the dates of such contributions, are as follows: This typographical error had no substantive effect on the Funding Standard Account for the plan year ended June 30, 2010, and no adjustment is required for the plan year ended June 30, 2011. j:\umw\doc\other\2010 schmb ln3 contributions 52-1050282 002 umwnyo 74pp.doc Date Amount paid by employer(s) Date Amount paid by employer(s) 08/15/2009 5,831,000 02/15/2010 8,936,000 09/15/2009 7,672,000 03/15/2010 8,876,000 10/15/2009 7,412,000 04/15/2010 9,812,000 11/15/2009 8,032,000 05/15/2010 10,310,000 12/15/2009 7,364,000 06/15/2010 8,705,000 01/15/2010 8,013,000 07/15/2010 10,460,000 Total 101,423,000 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 4.58% for 2010 from 4.63% for 2009 (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 2010 plan year as set forth in Regulations section 1.412(l)(7)-1 from the comparable 2009 plan year tables. We analyzed recent turnover and regular and disabled retirement experience for active participants and retirement experience for vested terminated participants. Regular retirement rates for actives were reviewed in total and separately for participants with and without 30 years of service. Based on this study, we changed regular retirement rates for active and vested terminated participants--with separate retirement tables for the two service groups--and retained the current turnover and incidence of disability assumptions. We also analyzed experience under the expense assumption, resulting in a modest increase in the administrative expenses component of the assumption. All other actuarial assumptions are identical to the assumptions used in the July 1, 2009, valuation. j:\umw\doc\other\2010 schmb ln11 chngassmp 52-1050282 002 umwnyo 74pp.doc