investment option addition request retirement … · by signing this document the plan trustee/plan...
TRANSCRIPT
INVESTMENT OPTION ADDITION REQUEST
Nationwide Retirement Plans • 1-800-548-6436 • Fax: 1-877-NF401ks (1-877-634-0157)
Section 1 GENERAL INFORMATION
The Plan Sponsor of_____________________________________________________________________________________________
wishes to add the following fund(s) as investment option(s) to the Plan. Please indicate the funds selected with an "X" below:
(Legal Plan Name as stated on the Program Agreement Face Page)
(Obtain this information from your Pension Plan Administrator)
RETIREMENT INNOVATOR
Case Number: _______________________________________________
By signing this document the Plan Trustee/Plan Representative recognizes that some funds within the list below have identical
portfolio holdings but different share classes and pricing tiers. Further, by choosing to offer more than one share class of the same
fund, the Plan Trustee/Plan Representative understands that participants invested in different share classes of the same fund will
incur different Asset Fees and may realize different performance results.
(must be a Nationwide business date): _________________(MM/DD/YYYY)(Requests will not be accepted prior to one month in advance of the above process date. If no date provided, standard processing applies.
Requested Process Date
Select FUND NAME VRU Code
Total FundProspectus
Gross Expense Ratio
Fund Payments to NationwideFund Code
Abrden Divrs Altrnatv A 1703 2.20.5GASA
Abrden Emrg Mkt A 4370 1.450.5BWTA
Abrden Eq Lng Shrt A 1704 2.850.5GMLA
Abrden Glbl Eq A 253 1.730.5GGLA
Abrden Glbl Natrl Rsrc A 1525 1.560.4GGNA
Abrden Intl Eq A 251 1.420.5GIGA
Abrden US Eq A 254 1.330.5GGTA
Alger Cap App Focs I 1872 1.150.5ALXA
Alger Cap App Inst I 1871 1.190.5ALRA
Alger Grn A 4433 1.490.5BZGA
Alger MdCap Gr Inst I 1873 1.230.5ALMA
Alger Spectra Inst 4319 1.430.5BURA
AllBer Blnd Style Intl A 2218 2.090.5AIZA
AllBer Cor Oppr K 1849 1.480.5ADKA
AllBer Disc Gr K 1855 1.260.5AKKA
AllBer Disc Val K 1856 1.250.5ASSA
AllBer Eq Inc K 1857 1.120.5AUXA
AllBer Glbl RealEstInvmt K 2216 1.430.5AKRA
AllBer Glbl Rsk Alloc K 1848 1.070.5ACKA
AllBer Glbl Val K 1850 2.110.5AGKA
AllBer Gr Inc K 1851 1.050.5ALKA
AllBer Hi Inc A 1007 0.910.5AGDA
AllBer Intl Gr K 1852 1.290.5AAWA
AllBer Intl Val K 1853 1.280.5AAKA
AllBer Intmd Bd K 2217 0.990.5AQKA
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10/2013
AllBer LgCap Gr K 1854 1.250.5AALA
AllBer Shrt Dur A 2219 0.940.5ADPA
AllBer Val K 1858 1.140.5AVKA
AllnzGI Focs Gr A 293 1.110.5PCFA
AllnzGI LgCap Gr A 2804 1.110.5RLAA
AllnzGI MdCap A 2805 1.130.6RDAA
AllnzGI NFJ Divd Val A 2011 1.060.5PNEA
AllnzGI NFJ Intl Val A 2802 1.30.5FJAA
AllnzGI NFJ LgCap Val A 2490 1.110.5PNBA
AllnzGI NFJ MdCap Val A 646 1.320.5PRNA
AllnzGI Oppr A 2803 1.320.5PPAA
AllnzGI Tech A 1520 1.570.5PRGA
Am Indep Stk A 3968 1.810.5BEHA
Am Indep US Infl Indx A 3970 1.10.5BEKA
AmBcn Bal Adv 2680 1.10.5BXXA
AmBcn Intl Eq Adv 2551 1.320.5ANLA
AmBcn LgCap Val Adv 2552 1.090.5LCGA
AmBcn SmCap Val Adv 2553 1.420.5SCVA
AmCent Cap Val A 1110 1.350.6ALVA
AmCent Cor Pls A 2751 0.90.5AQQA
AmCent Divrs Bd A 582 0.850.5ADBA
AmCent Eq Gr A 714 0.930.5AEGA
AmCent Fdmntl Eq A 2220 1.260.6ADAA
AmCent Glbl Gr A 259 1.350.6ACTA
AmCent GNMA A 1235 0.80.5AGNA
AmCent Hertg A 583 1.260.6ACHA
AmCent Inc Gr A 572 0.930.5ACIA
AmCent Infl Adj Bd A 707 0.720.5ABIA
AmCent Intl Bd A 1236 1.050.6AIBA
AmCent Intl Gr A 571 1.540.6TCGA
AmCent Lg Co Val A 469 1.120.6ALCA
AmCent MdCap Val A 4578 00.6CFRA
AmCent RealEst A 718 1.40.6ACRA
AmCent Sel A 705 1.250.6ACSA
AmCent Shrt Dur A 2752 0.850.5AQSA
AmCent ShtDrInflPrtBd A 2681 0.820.5APOA
AmCent Sm Co A 711 1.140.6ACQA
AmCent ST Govt A 710 0.80.5ABGA
AmCent Ultra A 703 1.240.6ACAA
AmCent Val A 720 1.250.6ACVA
AmCent Vis A 1237 1.260.6AWVA
AmFds Am Bal R3 816 0.950.6ARLA
AmFds Am Hi Inc Tr R3 368 1.030.6ARIA
AmFds Am Mut R3 387 0.970.6ARMA
AmFds AMCAP R3 292 1.040.6ARAA
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AmFds Bd Fd Am R3 814 0.920.6ARBA
AmFds Cap Inc Bldr R3 484 0.980.6ARRA
AmFds Cap Wld Bd R3 364 1.210.6ARCA
AmFds Cap Wld Gr Inc R3 388 1.10.6ARWA
AmFds EuroPacfc Gr R3 506 1.140.6AERA
AmFds Fdmntl Inv R3 815 0.960.6ARFA
AmFds Gr Fd Am R3 662 0.980.6ARGA
AmFds Inc Fd Am R3 692 0.960.6ARDA
AmFds Intmd Bd Fd Am R3 693 0.960.6AROA
AmFds Invmt Co Am R3 700 0.980.6AGVA
AmFds New Econ R3 702 1.180.6AGCA
AmFds New Prspct R3 706 1.120.6ARNA
AmFds New Wld R3 708 1.360.6ANWA
AmFds SmCap Wld R3 726 1.420.6ARSA
AmFds US Govt Sec R3 753 0.950.6ARVA
AmFds Wshngtn Mut Inv R3 767 0.970.6AWMA
Astn Mntg Cldwl Gr R 1145 1.310.5AMXA
BlkRk AllCapEnrgyRsrcInv A 2852 1.350.5BACA
BlkRk Basic Val Inv A 2013 0.860.5BMDA
BlkRk Cap App Inv A 1051 1.090.5MFGA
BlkRk Cor Bd Port Inv A 471 1.020.5BCBA
BlkRk Emrg Mkt Inv A 1299 1.680.5MCXA
BlkRk Enrgy Rsrc Inv A 1521 1.340.5BSSA
BlkRk Eq Divd Inv A 1048 0.990.5MDVA
BlkRk Eurofd Inv A 1049 1.330.5MDFA
BlkRk Flex Eq A 1798 1.40.5BBMA
BlkRk Glbl Alloc Inv A 1052 1.160.5MDLA
BlkRk Glbl SmCap Inv A 1053 1.430.5MDGA
BlkRk GNMA Inv A 694 1.060.5BGPA
BlkRk Hi Yld Bd Inv A 592 1.010.5BYBA
BlkRk Hlth Scnc Oppr Inv A 1795 1.30.5BSAA
BlkRk Infl Prtct Bd Inv A 2809 0.960.25BPRA
BlkRk Intl Bd Inv A 695 1.260.5BBPA
BlkRk Intl Inv A 4242 1.650.5BQTA
BlkRk Intl Oppr Inv A 594 1.580.5BISA
BlkRk Invmt Grd Bd Inv A 4278 1.080.5BSUA
BlkRk LgCap Cor Inv A 1057 1.280.5MLRA
BlkRk LgCap Gr Inv A 1058 1.260.5MLHA
BlkRk LgCap Val Inv A 1059 1.270.5MDXA
BlkRk Lng Hrizn Eq Inv A 1999 1.290.5MEGA
BlkRk Low Dur Bd Inv A 597 1.020.6BLDA
BlkRk MdCap Gr Eq Inv A 361 1.550.5BMCA
BlkRk MdCap Val Oppr Inv A 1061 1.250.5MDRA
BlkRk Mgd Vltlty Inv A 1793 1.280.65BPCA
BlkRk Natrl Rsrc Tr Inv A 1062 1.130.5MRFA
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10/2013
BlkRk Pacfc Inv A 1063 1.180.5MDCA
BlkRk SmCap Gr Eq Inv A 362 1.170.5BSCA
BlkRk SmCap Gr II Inv A 1064 1.580.5MDSA
BlkRk Ttl Rtn Inv A 2014 1.120.6BMHA
BlkRk Val Oppr Inv A 1065 1.270.5MSXA
Calamos Glbl Eq A 2855 1.530.5CAGA
Calamos Glbl Gr Inc A 2857 1.330.5CLOA
Calamos Gr A 2861 1.290.4CVRA
Calamos Gr Inc A 2859 1.090.4CVTA
Calamos Intl Gr A 2863 1.60.5IGRA
Calamos Mkt Nutrl Inc A 2865 1.180.5CIVA
Clvrt Bd A 1298 1.160.5CSIA
Clvrt Eq A 264 1.220.5CAEA
Clvrt Glbl AltrnatvEnrgy A 2174 2.570.4CGAA
Clvrt Inc A 261 1.30.5CAIA
Clvrt Intl Eq A 266 1.860.5CAWA
Clvrt SmCap A 2846 1.780.4CCVA
Clvrt Soc Indx A 263 1.110.5CASA
CohenStrs Intl Real A 2361 1.560.4IRFA
Col Bal A 2890 1.190.5CBLA
Col Contra Cor A 2893 1.210.5LCCA
Col Divd Oppr A 2110 1.10.5AIUA
Col Divrs Eq Inc A 120 1.120.5ADEA
Col Emrg Mkt Bd A 3974 1.180.5BEPA
Col Eq Val A 125 1.260.5AEVA
Col Glbl Opp A 1976 1.260.5AIMA
Col Hi Yld Bd A 130 1.10.5AEXA
Col Infl Prtct Sec A 2693 1.050.5APRA
Col Lfgoal Gr A 2913 1.330.5HBJA
Col Lg Cor Quant A 1725 1.220.5AQEA
Col LgCap Gr A 1869 1.210.5CLEA
Col MdCap Val Oppr A 1975 1.310.5AMVA
Col Mult Adv SmCap Val A 566 1.770.5AXSA
Col Seligman Glbl Tech A 2712 1.530.5SHGA
Col Seligman SmCap Val A 2771 1.550.5SVXA
Col Strat Inc A 2916 1.030.5HBMA
DE Divrs Inc A 1242 0.950.5DPDA
DE Emrg Mkt A 1243 1.750.5DDEA
DE Intl Val Eq A 1247 1.50.5DGXA
DE REIT A 1402 1.350.5DPEA
DE Sel Gr A 1606 1.270.5DADA
DE SmCap Val A 1607 1.370.5DAEA
DE Smid Cap Gr A 1245 1.250.5DFCA
DE Val A 1609 1.170.5DAIA
Diamond Hill LgCap A 1481 1.060.5DHLA
PNF-0180AO.121
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10/2013
Diamond Hill SmCap A 1482 1.310.5DHSA
Drey Active MdCap A 734 1.20.55DNLA
Drey App 217 0.970.5DAFA
Drey Bal Oppr A 1522 1.370.5DBOA
Drey Glbl RealEst Sec A 2753 1.550.5DXLA
Drey Glbl Stk A 2755 1.280.5DXSA
Drey GNMA A 2018 1.030.5DGGA
Drey Grtr China A 1884 1.920.55DCXA
Drey Intl Bd A 2754 1.020.5DXIA
Drey Intl Eq A 2089 1.540.55DIAA
Drey Intl Val A 731 1.630.55DIVA
Drey Intmd Trm Inc A 2246 0.890.5DRIA
Drey MdCap Gr A 1881 1.530.5DFSA
Drey Natrl Rsrc A 1887 2.110.5DNAA
Drey Rsrch Gr A 4291 1.260.5BTKA
Drey Strat Val A 722 1.20.55DAVA
Drey Strcd MdCap A 1523 1.410.55DPAA
Drey Tech Gr A 316 1.450.55DPTA
Drey WW Gr A 1891 1.220.5DXPA
DWS Cap Gr A 1892 1.020.65DKBA
DWS Comm A 1068 1.720.5PTIA
DWS Cor Eq A 4318 0.930.5BUQA
DWS Enhcd Comdty Strat A 4478 1.510.5CBIA
DWS Eq Divd A 1067 1.20.5PKHA
DWS Glbl Bd A 1264 1.140.5SSZA
DWS Glbl Eq A 1070 1.70.5PDBA
DWS Glbl Gr A 1766 1.540.5SGQA
DWS Glbl Inc Bldr A 1072 0.920.5PKTA
DWS Glbl Infl A 2576 10.5TIPA
DWS Glbl Intl Ltn Am Eq A 1071 1.790.5PSLA
DWS Glbl SmCap Gr A 1069 1.580.65PKGA
DWS Hi Inc A 1265 0.920.5SKHA
DWS Intl A 2146 1.250.65SUIA
DWS LgCap Focs Gr A 1767 1.260.5SGGA
DWS LgCap Val A 1040 10.5PKDA
DWS MdCap Gr A 1266 1.310.5SSAA
DWS RREEF GlblRealEst SecA 2017 1.560.5SRGA
DWS RREEF RealEst Sec A 1267 0.990.5SRRA
DWS Shrt Dur A 2580 1.030.5SDUA
DWS SmCap Gr A 1268 1.460.5SDAA
DWS SmCap Val A 2774 1.190.5KDSA
DWS Wld Divd A 1136 1.290.5PDEA
DWSAltrnatv AsstAlloc A 2175 2.030.5SXAA
Eagle Cap App A 804 1.240.5HCAA
Eagle Gr Inc A 2582 1.120.5HRCA
PNF-0180AO.121
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10/2013
Eagle Series Tr MdCap Gr A 803 1.220.5HAGA
Eagle Series Tr MdCapStk A 806 1.20.5HMCA
Eagle Series Tr SmCap Gr A 807 1.110.5HSSA
EV Atlnta Cap SMID Cap A 2683 1.320.5EASA
EV Bal A 4442 1.160.5BZPA
EV Divd Bldr A 1572 1.070.5EVTA
EV Emrg Mkt Local Inc A 3976 1.410.5BERA
EV Flotng Rt A 1248 1.020.5EVBA
EV Glbl Macro Abs Rtn A 2756 1.320.5EGAA
EV Govt Oblgtns A 1018 1.10.5EVGA
EV Inc Fd of Boston A 1019 1.020.5EVIA
EV LgCap Gr A 2684 1.380.5EALA
EV LgCap Val A 1020 0.990.5EHSA
EV Mult Cap Gr A 1249 1.320.5EVXA
EV SmCap A 1022 1.40.5ETEA
EV Strat Inc A 2685 1.150.5ETSA
EV Tax Mgd Gr A 4443 1.030.5BZQA
EV WW Hlth Scnc A 1021 1.410.5ETHA
Fed Abs Rtn A 1611 1.690.5FADA
Fed Clover Sm Val A 2775 1.630.5VFAA
Fed Clover Val A 2713 1.390.5VCCA
Fed Eq Inc A 4511 1.230CCTA
Fed Eq Inc F 744 1.440.5FEQA
Fed Glbl Alloc A 752 1.50.5FSBA
Fed Hi Yld Tr Svc 237 1.260.5FHYA
Fed Intl Ldrs A 1357 1.470.5FGFA
Fed Intl SmMd Co A 748 2.020.5FISA
Fed IntrCntnentl A 2148 1.470.5FRIA
Fed Kaufman A 489 2.240.4FKFA
Fed Kaufman SmCap A 1364 2.310.5FKAA
Fed MDT All Cap Cor A 959 1.810.5QAAA
Fed MDT Bal A 2178 1.680FQGA
Fed MDT LgCap Gr A 2179 2.340FQLA
Fed MDT MdCapGr Strat A 746 1.410.5FGSA
Fed MDT SmCap Cor A 2181 6.010.5FQCA
Fed MDT SmCap Gr A 2182 2.850.5FQXA
Fed MDT Stk Tr Svc 751 1.320.5FSTA
Fed Prudnt Bear A 2686 2.530.5BEAA
Fed Strat Inc A 2149 1.330.5FSAA
Fed Ttl Rtn Bd A 2150 1.010.5FTLA
FidAdv Asst Mgr 70 A 2460 1.090.5FOLA
FidAdv Canada A 2388 1.080.5FCDA
FidAdv Divd Gr A 608 1.230.5FDGA
FidAdv Divrs Intl A 609 1.320.5FVDA
FidAdv Enrgy A 2724 1.170.5FNAA
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FidAdv Eq Inc A 282 1.020.5FEIA
FidAdv Euro Cap App A 1115 2.070.5FXAA
FidAdv Flotng Rt Hi Inc A 2776 0.990.5FFRA
FidAdv Glbl Cap App A 1117 1.430.5FGXA
FidAdv Gr Inc A 756 1.050.5FGIA
FidAdv Gr Oppr A 281 1.30.45FGOA
FidAdv Infl Prtct Bd A 1023 0.760.5FIPA
FidAdv Intl Cap App A 922 1.780.5FOXA
FidAdv Intl RealEst A 2022 1.440.5FIRA
FidAdv Invmt Grd Bd A 664 0.780.5FGBA
FidAdv Jpn A 2876 1.420.5FXJA
FidAdv Levr Co Stk A 1309 1.130.5FLSA
FidAdv LgCap A 757 1.250.5FLCA
FidAdv MdCap II A 1895 1.150.5FIAA
FidAdv New Insghts A 1308 1.010.5FNIA
FidAdv RealEst A 665 1.190.5FREA
FidAdv Shrt Fxd Inc A 551 0.70.5FAFA
FidAdv SmCap A 552 1.060.5FAPA
FidAdv Stk Sel All Cap A 4480 1.120.5CBKA
FidAdv StkSel MdCap A 758 0.950.45FMCA
FidAdv Strat Divd Inc A 4335 1.090.5BVJA
FidAdv Strat Inc A 666 0.980.5FSFA
FidAdv Tech A 4337 1.180.5BVLA
FidAdv Ttl Bd A 4339 0.820.5BVNA
FidAdv Val A 1311 1.350.5FAVA
FidAdv Val Ldrs A 1896 1.280.5FVLA
Fnkln Bal Sht Invmt A 975 0.990.5TBSA
Fnkln Bio Disc A 271 1.220.5TSBA
Fnkln DynaTech A 2486 0.960.5FKDA
Fnkln Flex Cap Gr A 272 0.990.4TSCA
Fnkln Glbl RealEst A 2151 1.680.4FARA
Fnkln Gr A 2537 0.960.4FKGA
Fnkln Gr Oppr A 269 1.250.4TSAA
Fnkln SmCap Gr A 492 1.360.5FSGA
Fnkln SmMdCap Gr A 958 0.980.5TSGA
Fnkln Strat Inc A 493 0.890.5FSIA
FnklnMSF Mut Becn A 977 1.140.5TMBA
FnklnMSF Mut Euro A 979 1.430.5TMEA
FnklnMSF Mut Glbl Disc A 978 1.320.5TMDA
FnklnMSF Mut Shrs A 308 1.120.5TMSA
FnklnTmp China Wld A 1769 1.870.5TCWA
FnklnTmp Devl Mkt Tr A 981 1.70.5TDMA
FnklnTmp Forgn A 550 1.210.5TFFA
FnklnTmp Glbl Bd A 4467 0.910.6CAVA
FnklnTmp Gr A 982 1.110.4TGFA
PNF-0180AO.121
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10/2013
FnklnTmp Ttl Rtn A 4538 1.060.6CDWA
Frost Divd Val A 2729 1.220.5FVAA
Frost Gr Eq A 2726 1.220.5FCEA
GabelliTTONWstwdSmCapEq A 2812 1.90.5WWSA
Gdmn HiQultyFlotngRt A 667 0.960.5GARA
GdmnScs Cap Gr A 763 1.480.5GCGA
GdmnScs Cnctrd Intl Eq A 774 1.720.5GIEA
GdmnScs Comdty Strat A 4477 1.130.5CBHA
GdmnScs Cor Fxd Inc A 764 0.810.5GCFA
GdmnScs Govt Inc A 771 10.5GGVA
GdmnScs Gr Inc A 772 1.220.5GGWA
GdmnScs Gr Oppr A 278 1.410.5GSGA
GdmnScs Hi Yld A 773 1.050.5GHYA
GdmnScs LgCap Gr Insghts A 766 1.160.5GCLA
GdmnScs LgCap Val A 1574 1.190.5GSLA
GdmnScs LgCapVal Insghts A 277 1.110.5GCVA
GdmnScs MdCap Val A 775 1.150.5GMCA
GdmnScs RealEst Sec A 1573 1.510.5GREA
GdmnScs Satellite Strat A 2882 1.470.5UABA
GdmnScs Shrt Dur Govt A 668 0.890.5GSDA
GdmnScs SmCap Eq Insghts A 153 1.460.5GCCA
GdmnScs SmCap Val A 777 1.440.5GSCA
GdmnScs US Eq Insghts A 768 1.20.5GUSA
Gughm Mgd Ftr Strat A 2636 1.680.5RMTA
Gughm Mult Hdg Strat H 1708 3.260.5RMXA
Gughm SmCap Val A 4273 2.20.5BSNA
Gughm USLngShrtMomntm H 1712 1.910.5RSRA
Heartland Sel Val Inv 1313 1.210.5HRSA
Heartland Val Inv 161 1.160.5HSCA
Heartland Val Pls Inv 1314 1.090.5HRVA
Heitman REIT A 2130 3.120.5PARA
Henssler Eq 2094 1.280.5HEQA
Hunt Divd Cptr A 2814 1.620.5HDCA
Hunt Fxd Inc Sec A 2589 1.310.5HFIA
Hunt Intl Eq A 2590 1.870.5HIEA
Hunt Md Corp Am A 2591 1.630.5HUMA
Hunt Mrtg Svc A 2592 1.360.5HMSA
Hunt Situs A 2593 1.610.5HSUA
Invsco Am Frnchs A 2912 1.180.5HBIA
Invsco Am Val A 1917 1.230.5VMSA
Invsco Bal Rsk Alloc A 4450 1.240.5BZXA
Invsco Charter A 1000 1.120.5AHTA
Invsco Comstk A 910 0.860.5VCAA
Invsco Divd Inc A 2911 1.340.5HBHA
Invsco Eq Inc A 304 0.810.5VKEA
PNF-0180AO.121
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Invsco Euro Gr A 1001 1.480.5AEDA
Invsco Glbl Cor Eq A 2909 1.340.5HBFA
Invsco Glbl Hlth Care A 1003 1.180.5AGHA
Invsco Glbl RealEst A 2000 1.480.5AEEA
Invsco GlbLowVltltyEqYld A 573 1.630.5AGTA
Invsco Gr Inc A 306 0.840.5VKWA
Invsco Intl Gr A 101 1.380.5AIEA
Invsco Low Vltlty Eq Yld A 2906 1.230.5HBCA
Invsco MdCap Cor Eq A 411 1.20.5AMCA
Invsco MdCap Gr A 553 1.280.5VGRA
Invsco RealEst A 576 1.250.5AREA
Invsco SmCap Disc A 1921 1.430.5VASA
Invsco SmCap Eq A 1234 1.340.5AMEA
Invsco Tech A 2910 1.520.5HBGA
Invsco Val Opp A 2905 1.270.5HBBA
JnHnck Bal R2 4521 1.210.5CDFA
JnHnck Clsc Val R2 4522 1.340.5CDGA
JnHnck Dscpid Val R2 4523 3.270.5CDHA
JnHnck Dscpld Val MdCap R2 4524 2.360.5CDIA
JnHnck Inc R2 4525 0.960.5CDJA
JnHnck Intl Cor R2 4526 20.950.5CDKA
JnHnck LgCap Eq R2 4527 1.220.5CDLA
JnHnck Rnier Gr R2 4528 20.660.5CDMA
JnHnck Sm Co R2 4529 20.470.5CDNA
JnHnck US Glbl Ldrs Gr R2 4530 1.380.5CDOA
Jns Bal S 2663 1.080.5YJAA
Jns Entrp S 2664 1.210.5YJGA
Jns Fd S 2667 1.050.5YJOA
Jns Flex Bd S 2665 0.950.5YJDA
Jns Frty S 984 1.040.5JACA
Jns Glbl Rsrch S 2673 1.280.5YJYA
Jns Gr Inc S 2668 1.160.5YJXA
Jns Intech US Cor S 2659 1.160.5YJLA
Jns Intech US Gr S 819 1.070.5JLGA
Jns Ovrseas S 2670 1.010.5YJJA
Jns Prkns MdCap Val S 2675 1.090.5YJVA
JPM Cor Bd A 924 0.980.5BBNA
JPM Cor Pls Bd A 938 0.970.5BNBA
JPM Emrg Mkt Eq A 2222 1.820.5JFAA
JPM Eq Inc A 936 1.090.5BENA
JPM Gr Advtg A 2223 1.30.5JVHA
JPM Hi Yld A 2224 1.340.5JOHA
JPM Intl Val A 2225 1.370.5JFEA
JPM Intrepid Advtg A 1774 2.510.5JICA
JPM Intrepid Am A 1772 1.030.5JIAA
PNF-0180AO.121
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10/2013
JPM Intrepid Euro A 2226 1.740.5JVEA
JPM Intrepid Gr A 1773 1.180.5JIXA
JPM Intrepid Intl A 2189 1.580.5JFTA
JPM Intrepid MdCap A 937 1.380.5BDMA
JPM Intrepid Val A 1775 1.230.5JIVA
JPM LgCap Gr A 930 1.160.5BLGA
JPM Ltd Dur Bd A 641 0.980.4BUTA
JPM MdCap Gr A 932 1.390.5BMGA
JPM SmCap Eq A 615 1.420.5JSEA
JPM SmCap Val A 935 1.420.5BSVA
JPM Strat Inc Oppr A 2732 1.170.5JSOA
JPM US Eq A 617 1.080.5JUSA
JPM US LgCap Cor Pls A 2227 2.380.5JLXA
JPM US RealEst A 2228 1.350.5JSUA
JPM Val Advtg A 2229 1.430.5JVAA
JPM Val Oppr A 1486 1.140.5JVOA
Lazard Intl Eq Sel Open 503 4.770.5LESA
Lazard Intl SmCap Eq Open 826 1.480.4LISA
Lazard Intl Strat Eq Open 1954 1.130.4LIOA
Lazard US MdCap Eq Open 827 1.260.5LMCA
Lazard US Strat Eq Open 1944 1.370.5LZUA
LeggM Btrymrch Glbl Eq A 2157 2.010.5SFIA
LeggM BW Glbl Oppr Bd A 4452 0.960.5BZZA
LeggM ClrBrdg Aggr Gr A 397 1.270.5SBGA
LeggM ClrBrdg App A 399 1.060.5SMBA
LeggM ClrBrdg Eq Inc A 421 1.240.5SPTA
LeggM ClrBrdg LgCap Gr A 418 1.290.5SLCA
LeggM ClrBrdg MdCap Cor A 419 1.320.5SYCA
LeggM ClrBrdg SmCap Gr A 111 1.320.5SCGA
LeggM ClrBrdgInvLgCapVal A 297 0.980.5SLIA
LeggM WstrAs Cor Bd A 4472 0.840.5CBCA
LeggM WstrAs GlblHiYldBd A 118 1.030.5SYBA
LeggM WstrAs MrtgBckdSec A 2158 0.960.5SGVA
LeggM WstrAsGlblStrarInc A 1994 1.110.5SDSA
Loomis Bd Admn 1122 1.20.6LBFA
LrdAbt Afltd A 628 0.850.5LAAA
LrdAbt Bal Strat A 366 1.220.5LABA
LrdAbt Cal Divd Gr A 4592 00.5CGKA
LrdAbt Emrg Mkt Curren A 4594 00.5CGMA
LrdAbt Flotng Rt A 4596 00.5CGOA
LrdAbt Gr Oppr A 630 1.420.5LGOA
LrdAbt Hi Yld A 1043 0.960.4LHYA
LrdAbt Intl Cor Eq A 1900 1.470.4LICA
LrdAbt Intl Oppr A 1901 1.520.4LAEA
LrdAbt Shrt Dur Inc A 367 0.590.4LALA
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LrdAbt Ttl Rtn A 371 0.860.4LTRA
LrdAbt Val Oppr A 4254 1.310.5BRIA
MFS Cor Eq A 637 1.150.5MRGA
MFS Emrg Mkt Db A 3978 1.130.4BEUA
MFS Eq Oppr A 2193 1.340.5MSRA
MFS Gr A 2470 1.120.5MFEA
MFS Hi Yld Oppr A 632 1.170.5MYOA
MFS Intl Divrs A 1904 1.350.5MXDA
MFS Intl Val A 2601 1.210.5MGAA
MFS Rsrch Intl A 1532 1.220.5MRAA
MFS Ttl Rtn A 638 0.770.5MTRA
MFS Val A 439 0.960.5MMVA
Mgrs Ycktmn Focs Svc 1942 1.250.5YAFA
MgrsAMG ChiEqPtnrsBal Inv 4554 1.520.5CEOA
MgrsAMG FQGlblEssntls Inv 4556 1.650.5CEQA
MgrsAMG GW&K SmCap Eq Inv 4558 1.60.5CESA
Mndr Intl Cor Eq A 4484 5.790.5CBPA
Mndr Intl SmCap A 4408 1.870.5BYHA
Mndr MdCap Cor Gr A 2106 1.330.5MGOA
Mndr Ver SmCap Val A 2107 1.630.5MNVA
MnSty ICAP Eq R2 2230 1.270.5MIAA
MnSty ICAP Intl R2 2231 1.410.5MIYA
MnSty ICAP Sel Eq R2 2232 1.350.5MCSA
MnSty LgCap Gr R2 2233 1.140.5MLTA
MnSty Mktfld A 4598 00.5CGQA
Natixis Gateway A 1119 1.030.55GATA
Natixis Loomis Val A 2177 0.980.55LSRA
NeuBer AbsRtn MultMgr A 4640 00.5CILA
NeuBer Cor Bd A 2743 1.010.5NCRA
NeuBer Emrg Mkt Eq A 2758 2.230.5NXMA
NeuBer Eq Inc A 2757 1.130.5NXEA
NeuBer Focs A 2816 1.220.5NFAA
NeuBer Guardian A 2733 1.120.5NGAA
NeuBer Hi Inc A 2744 1.090.5NHIA
NeuBer Intl LgCap A 2759 1.40.5NXLA
NeuBer Intrinsic Val A 2817 1.610.5NNAA
NeuBer LgCap Dscpld Gr A 2745 1.160.5NLDA
NeuBer LgCp Val A 2818 1.080.5NPAA
NeuBer Lng Shrt A 4642 00.5CIOA
NeuBer MdCap Gr A 2760 1.180.5NXGA
NeuBer MdCapIntrinVal A 2820 1.610.5NBRA
NeuBer RealEst A 2819 1.520.5NREA
NeuBer Sel Eq A 2761 1.540.5NXSA
NeuBer Shrt Dur Bd A 2821 1.410.5NSHA
NeuBer SmCap Gr A 2762 1.80.5NXCA
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NeuBer Soc Resp A 2763 1.110.5NXRA
NeuBer Strat Inc A 2746 1.250.5NSTA
Nuvn Divd Val A 2584 1.150.5FQIA
Nuvn Intmd Govt Bd A 2487 0.930.5FIGA
Nuvn LgCap Gr Oppr A 2488 1.250.5FRGA
Nuvn MdCap Gr Oppr A 2489 1.30.5FRSA
Nuvn MdCap Val A 2535 1.470.5FXEA
Nuvn SmCap Sel A 2492 1.360.5FEMA
Nuvn Strat Inc A 2493 0.910.5FDDA
Nuvn Symph Cr Oppr A 4564 1.120.5CEZA
NW Altrnatv Alloc A 4262 1.160.5BRRA
NW Bailard Cogn Val A 4600 00.5CGTA
NW Bailard Int Eq A 4603 00.5CGWA
NW Bailard Tech Scnc A 4606 00.5CGZA
NW Bd A 829 1.150.5NBDA
NW Bd Indx A 969 0.690.5NBIA
NW Cor Plus Bd A 4562 1.30.5CEWA
NW Dest 2010 R2 2077 1.190.75NDFA
NW Dest 2015 R2 2078 1.20.75NDHA
NW Dest 2020 R2 2079 1.190.75NDIA
NW Dest 2025 R2 2080 1.190.75NDJA
NW Dest 2030 R2 2081 1.180.75NDKA
NW Dest 2035 R2 2082 1.180.75NDLA
NW Dest 2040 R2 2083 1.180.75NDMA
NW Dest 2045 R2 2084 1.180.75NDNA
NW Dest 2050 R2 2085 1.180.75NDOA
NW Dest 2055 R2 2885 1.180.75VBCA
NW Enhcd Inc A 359 0.760.5MEIA
NW Fd A 830 1.040.5NWFA
NW Geneva MdCap Gr A 4609 00.5CHCA
NW Geneva SmCap Gr A 4611 00.5CHEA
NW Glbl Eq A 4487 1.410.5CBTA
NW Govt Bd A 835 1.110.5NIGA
NW Gr A 831 1.270.5NGFA
NW Hi Yld A 4485 1.290.5CBQA
NW HM Bal A 4613 00.5CHGA
NW HM Bd A 4616 00.5CHJA
NW HM LgCap Cor Eq A 4619 00.5CHMA
NW HM LgCap Gr A 4622 00.5CHPA
NW HM SmCap Cor A 4628 00.5CHWA
NW HM ST Bd A 4625 00.5CHTA
NW HM Val A 4631 00.5CIAA
NW Intl Indx A 966 0.750.5NIIA
NW Intl Val A 2195 1.260.65NVWA
NW Inv Dest Aggr R2 1843 1.110.65GAXA
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NW Inv Dest Cnsrv R2 1844 1.130.65GCRA
NW Inv Dest Mod Aggr R2 1846 1.110.65GMRA
NW Inv Dest Mod Cnsrv R2 1847 1.110.65GMXA
NW Inv Dest Mod R2 1845 1.110.65GMDA
NW MdCap Mkt Indx A 968 0.710.5NMCA
NW Mny Mkt Prm 360 0.620.25NMZA
NW Rtrmt Inc R2 2086 1.210.75NDPA
NW S P 500 Indx Svc 356 0.610.5NIFA
NW Shrt Dur Bd Svc 336 0.980.5MCAA
NW Sm Co Gr A 4349 7.680.5BVXA
NW SmCap Indx A 967 0.740.5NSCA
NW US SmCap Val A 2197 1.50.65NUAA
NW Zieg Eq Inc A 4634 00.5CIEA
NW Zieg NYSArcTch100Indx A 4637 00.5CIIA
Okmrk Eq Inc II 669 1.090.55KOEA
Okmrk Fd II 670 1.30.55KOFA
Okmrk Glbl II 671 1.50.55KOGA
Okmrk Intl II 672 1.390.55KOIA
Okmrk Intl SmCap II 2200 1.690.55KOXA
Okmrk Sel II 1575 1.360.55KORA
Opp Cap App A 431 1.050.5PCAA
Opp Cap Inc A 848 1.020.5PEIA
Opp Comdty Strat Ttl Rtn A 861 1.630.5PRAA
Opp Cor Bd A 840 0.990.5PBZA
Opp Eq A 863 0.990.5PTRA
Opp Eq Inc A 1320 1.060.5PQCA
Opp Flex Strat A 859 1.90.5PQOA
Opp Glbl A 435 1.220.5PGZA
Opp Glbl Alloc A 507 1.470.5PQBA
Opp Glbl Oppr A 849 1.220.5PGGA
Opp Glbl Strat Inc A 862 0.990.5PSIA
Opp Gold Spec Mnrls A 374 1.220.5PGMA
Opp Intl Bd A 852 1.020.5PIBA
Opp Intl Gr A 853 1.180.5PIGA
Opp Intl Sm Co A 854 1.260.5PISA
Opp Intl Val A 1321 1.330.5PQIA
Opp Ltd Trm Bd A 864 0.90.5PUSA
Opp Ltd Trm Govt A 855 0.890.5PLTA
Opp Mn St A 856 0.970.5PMAA
Opp Mn St Sel A 508 1.240.5PMOA
Opp Mn St SmMdCap A 377 1.240.5PSSA
Opp SmMdCap Val A 860 1.310.5PQSA
Opp Snr Flotng Rt A 4644 00.45CIQA
Opp Val A 846 0.950.5PDVA
Parnassus Eq Inc Inv 2868 0.90.5IRBA
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Parnassus Fd 2870 0.90.5PNXA
Parnassus Fxd Inc 2869 0.790.5IRIA
Parnassus MdCap 2871 1.230.5IRMA
Parnassus SmCap 2872 1.230.5ISAA
Parnassus Wrkplc 2873 1.140.5PWXA
Payden GNMA Adv 2765 0.750.5PYNA
Payden US Govt Adv 2766 0.850.5PYWA
PIMCO All Asst A 1533 1.490.5PASA
PIMCO AllAsst AllAthrity A 2767 2.340.5PMUA
PIMCO ComdtyRealRtnStrat A 2109 1.360.5PCXA
PIMCO Emrg Curren A 1818 1.250.5PLMA
PIMCO Glbl Mult Asst A 2768 2.130.5PMLA
PIMCO Hi Yld A 674 0.90.5PYFA
PIMCO Inc A 4458 0.880.5CAJA
PIMCO Invmt Grd Corp Bd A 4267 0.90.5BSBA
PIMCO Low Dur A 675 0.80.6PLDA
PIMCO Real Rtn A 676 0.880.6PRRA
PIMCO Ttl Rtn A 138 0.850.5PCTA
PIMCO Unconstrnd Bd A 2769 1.310.5PMBA
Pionr Bd A 1902 1.030.55PIXA
Pionr Clsc Bal A 1838 1.30.65PAOA
Pionr Cor Eq A 653 10.65PVAA
Pionr Dscpld Val A 1707 1.140.55PCCA
Pionr Emrg Mkt A 648 2.030.65PEMA
Pionr Eq Inc A 649 1.170.65PIEA
Pionr Fd A 1009 1.010.65PIOA
Pionr Fdmntl Gr A 2658 1.20.55PGFA
Pionr Glbl Eq A 2538 1.720.55GLSA
Pionr Glbl Hi Yld A 2239 1.10.55PGHA
Pionr Hi Yld A 650 1.160.65PHFA
Pionr MdCap Val A 651 1.090.65PICA
Pionr Ok Rdg LgCap Gr A 1324 1.630.55POLA
Pionr Ok Rdg SmCap Gr A 1325 1.510.55PORA
Pionr Sel MdCap Gr A 1456 1.160.65PGOA
Pionr Strat Inc A 382 1.060.65PNSA
PNC Bal Alloc A 176 1.450.4ABAA
PNC LgCap Cor Eq A 174 1.540.5ACEA
PNC LgCap Gr A 1556 1.390.5AEQA
PNC LgCap Val A 164 1.290.5ALPA
PNC MdCap A 558 1.530.5ASMA
PNC Mult Fctr SmCap Val A 363 2.10.5ASVA
PNC SmCap A 2143 1.560.5ALLA
Prncpl Cap App A 4248 0.970.5BQZA
Prncpl Divrs Intl A 1970 1.490.4WPRA
Prncpl Eq Inc A 1372 0.960.5WCMA
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Prncpl Hi Yld A 1373 0.910.5WCPA
Prncpl LgCap Gr A 1945 1.270.4PRWA
Prncpl Prfrd Sec A 1971 1.060.4WPAA
Prncpl RealEst Sec A 1972 1.360.4WRAA
Prudntl Fin Svc A 1192 1.410.5PFSA
Prudntl Glbl RealEst A 1301 1.270.5PURA
Prudntl Jnisn 20 20 Focs A 654 1.180.5PTFA
Prudntl Jnisn Eq Oppr A 655 1.130.5PJEA
Prudntl Jnisn Gr A 656 1.060.5PJGA
Prudntl Jnisn Natrl Rsrc A 383 1.190.5PNRA
Prudntl Jnisn Sm Co A 1535 1.170.5PGXA
Prudntl Jnisn Util A 1196 0.870.5PRUA
Prudntl Jnisn Val A 1197 1.070.5PBEA
Prudntl LgCap Cor Eq A 1300 1.40.5PTMA
Prudntl SmCap Val A 2904 1.460.5PZVA
Prudntl St Cor Bd A 1191 0.830.5PSMA
Prudntl Ttl Rtn Bd A 1997 0.930.5PBDA
Ptnm Cap Oppr A 657 1.250.5KCOA
Ptnm Conv Sec A 2824 1.110.5PCOA
Ptnm Divrs Inc Tr A 1717 0.990.5PDIA
Ptnm Eq Inc A 990 1.090.5KEIA
Ptnm Fd Gr Inc A 384 1.10.5PFGA
Ptnm Geo Ptnm Bal A 509 1.040.5KPBA
Ptnm Glbl Eq A 991 1.350.5KEQA
Ptnm Gr Oppr A 992 1.160.5KGOA
Ptnm Hi Yld Tr A 2825 1.020.5PIHA
Ptnm Inc A 2826 0.860.5PNCA
Ptnm Intl Cap Oppr A 994 1.410.5KIVA
Ptnm Intl Eq A 993 1.360.5KIGA
Ptnm Inv A 995 1.190.5KIFA
Ptnm Mult Cap Gr A 996 1.140.5KNOA
Ptnm Mult Cap Val A 658 1.150.5KMCA
Ptnm SmCap Gr A 660 1.310.5KSGA
Ptnm Voyager A 510 1.070.5KPVA
RdgWrth Hi Inc A 2405 10.5SAHA
RdgWrth LgCap Gr Stk I 1076 0.920.4STAA
RdgWrth LgCap Val Eq I 1080 1.050.5SVTA
RdgWrth MdCap Val Eq I 1107 1.090.5SMTA
Royce 100 K 2442 1.660.5ROHA
Royce Hertg K 2440 1.690.5RHFA
Royce Low Priced Stk K 2441 1.70.5RLPA
Royce Oppr K 2447 1.470.5ROFA
Royce Penn Mut K 2443 1.560.5RPKA
Royce Prmr K 2827 1.490.5RPRA
Royce Ttl Rtn K 2444 1.470.5RTRA
PNF-0180AO.121
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Royce Val K 2445 1.540.5RVKA
Royce Val Pls K 2446 1.870.5RVPA
Rsvlt Mult Cap Inv 1783 1.230.5BULA
RydexSGI Bio Adv 516 1.860.4RBTA
RydexSGI Hlth Care Adv 528 1.860.4RHCA
RydexSGI Intrnt Adv 529 1.850.4RINA
RydexSGI Tech Adv 533 1.850.4RTCA
RydexSGI Trnsprt Adv 536 1.860.4RTNA
SEI Intl Eq I 2032 1.510.5SEEA
SEI LgCap Gr I 2033 1.290.5SPGA
SEI LgCap Val I 2034 1.240.5SEUA
SEI SmCap Gr I 2039 1.540.5SPWA
SEI SmCap Val I 2040 1.540.5SMXA
Sierra Cor Rtrmt I1 4476 2.580.5CBGA
Sntnl Bal A 1743 1.080.5SEBA
Sntnl Cap Gr A 1750 1.250.5SBRA
Sntnl Cmn Stk A 1741 1.060.5SENA
Sntnl Cnsrv Strat A 1747 1.090.5SEMA
Sntnl Govt Sec A 1745 0.810.5SEGA
Sntnl Gr Ldrs A 1751 1.560.5SBOA
Sntnl Intl Eq A 1744 1.460.5SWRA
Sntnl MdCap A 1742 1.380.5SNTA
Sntnl Shrt Mat Govt A 1748 0.860.5SSIA
Sntnl Sm Co A 1740 1.210.5SAWA
Sntnl Sustnbl Cor Oppr A 2473 1.290.5MYPA
Sntnl Sustnbl MdCap Oppr A 2214 1.380.5SWAA
Thrnbrg Cor Gr R4 1977 1.780.5TCRA
Thrnbrg Intl Val R4 1978 1.450.5THRA
Thrnbrg Ltd Trm Inc R3 1979 1.190.7THXA
Thrnbrg Val R4 1980 1.50.5TVIA
TRowePr Blue Chip Gr R 1081 1.30.65TRRA
TRowePr Cap Oppr R 1487 1.540.65TRCA
TRowePr Eq Inc R 1082 1.220.65TRFA
TRowePr Gr Stk R 1083 1.20.65TRGA
TRowePr Intl Gr Inc R 1983 1.410.65TXRA
TRowePr Intl Stk R 1984 1.540.65TRTA
TRowePr New Inc R 1088 1.240.65TRNA
VanEck Emrg Mkt A 2185 1.670.5VGFA
VanEck Glbl Hrd Asst A 1094 1.450.5VGHA
VanEck Intl Inv Gold A 1095 1.290.5VINA
VanEck Mult Mgr Altrnatv A 784 3.60.5VMAA
Vic Bal A 158 1.480.5KVBA
Vic Divrs Stk A 287 1.090.5KVDA
Vic Estblshd Val A 2243 1.060.5VXEA
Vic Fd For Inc A 159 0.940.5KVIA
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Vic LgCap Gr A 2244 1.290.5VGAA
Vic Sm Co Oppr A 1715 1.380.5KSXA
Vic Spec Val A 1488 1.30.5KSSA
Virtus RealEst Sec A 2025 1.410.6PHRA
WFA Adj Rt Govt A 2377 0.820.5ESAA
WFA Asia Pacfc Inv 1924 1.80.5WSAA
WFA Cap Gr Inv 1925 1.270.5WSLA
WFA Cmn Stk A 319 1.320.5SCCA
WFA Cor Bd A 1100 0.850.5WMBA
WFA Disc Inv 874 1.360.5SDIA
WFA Divrs Cap Bldr A 1463 1.210.5EKBA
WFA Divrs Intl A 1932 1.660.5WISA
WFA Dscpld US Cor A 954 0.920.5ESSA
WFA Emrg Gr A 4246 1.420.25BQXA
WFA Emrg Mkt Eq A 2379 1.690.5EMGA
WFA Endvr Sel A 1928 1.230.5WSEA
WFA Entrp A 1929 1.290.5WSNA
WFA Govt Sec A 2789 0.90.5GVAA
WFA Hi Inc A 2788 1.010.5HBAA
WFA Intl Bd A 2381 1.040.5ESIA
WFA Intl Eq A 1931 1.540.5WFAA
WFA Intl Val A 1933 1.520.5WFFA
WFA Intrinsic SmCapVal Inv 1936 1.540.5WOSA
WFA Intrinsic Val A 4509 1.270.5CCRA
WFA Intrinsic Wld Eq A 2382 1.520.5EWEA
WFA Lg Co Val A 4247 1.270.5BQYA
WFA LgCap Cor A 2790 1.370.5EOAA
WFA LgCap Cor Inv 2791 1.430.5WLNA
WFA Omega Gr A 953 1.350.5EOFA
WFA Oppr A 1935 1.260.5WSOA
WFA Prec Mtls A 2383 1.180.5EKWA
WFA Prmr Lg Co Gr A 2792 1.240.5EKJA
WFA Prmr Lg Co Gr Inv 2793 1.30.5WPNA
WFA Sm Co Gr A 1938 1.450.5WXFA
WFA SmMdCap Val Inv 1939 1.480.5WSMA
WFA Spec MdCap Val Inv 543 1.370.5SMDA
WFA Trdtnal SmCap Gr A 487 1.480.5EGFA
WFA Util Telcom A 2386 1.240.5EVUA
WFAF Cap Gr A 3552 1.210.5WFXA
WFAF LgCap Gr A 4371 1.260.5BWUA
WlmBlr Glbl Gr N 2787 1.840.5WGGA
WlmBlr Gr N 2782 1.20.5WBGA
WlmBlr Intl Gr N 1272 1.440.5WBIA
WlmBlr MdCap Gr N 2784 1.420.5WNGA
WlmBlr Sm Md Gr N 2783 1.470.5WNXA
PNF-0180AO.121
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WlmBlr SmCap Gr N 1334 1.590.5WBSA
WlmBlr SmCap Val N 2785 1.60.5WVXA
Wlmntn Brd Mkt Bd A 2402 1.170.5MKIA
Wlmntn Intmd Trm Bd A 2403 1.140.5MVIA
Wlmntn MdCap Gr A 1169 1.560.5MAMA
Wlmntn Mult Mgr Intl A 1167 1.810.5MGVA
Wlmntn Mult Mgr RealAsst A 1836 1.670.5WMRA
Wlmntn Shrt Dur Govt Bd A 2404 1.190.5MSTA
Wlmntn SmCap Gr A 1172 1.810.5MAPA
Wlmntn ST Corp Bd A 1171 1.210.5MVSA
Wlmntn Strat Alloc Mod A 2401 2.180.4MBAA
WR Ivy Asst Strat Y 679 0.990.5WSFA
WR Ivy Bal Y 1315 1.160.5IBNA
WR Ivy Bd Y 2098 10.5WIBA
WR Ivy Cor Eq Y 680 1.180.5WCEA
WR Ivy Cundill Glbl Val Y 1137 1.630.5WICA
WR Ivy Divd Oppr Y 1138 1.180.5WIVA
WR Ivy Enrgy Y 1770 1.450.5IEYA
WR Ivy Euro Oppr Y 1140 1.420.5WIEA
WR Ivy Glbl Bd Y 2390 1.140.5WVYA
WR Ivy Glbl Inc Alloc Y 1316 1.290.5IVBA
WR Ivy Glbl Natrl Rsrc Y 1139 1.290.5WINA
WR Ivy Hi Inc Y 681 0.950.5WHIA
WR Ivy Intl Cor Eq Y 1142 1.310.5WVVA
WR Ivy Intl Gr Y 1141 1.390.5WIIA
WR Ivy LgCap Gr Y 683 1.130.5WLCA
WR Ivy Ltd Trm Bd Y 684 0.890.5WLTA
WR Ivy MdCap Gr Y 685 1.270.5WMCA
WR Ivy Mgd Euro Pacfc Y 2100 1.670.5WVMA
WR Ivy Mgd Intl Oppr Y 2101 1.50.5WVTA
WR Ivy Pacfc Oppr Y 1143 1.470.5WIPA
WR Ivy RealEst Sec Y 1188 1.370.5IRSA
WR Ivy Scnc Tech Y 661 1.290.5WSTA
WR Ivy SmCap Gr Y 686 1.310.5WSCA
WR Ivy SmCap Val Y 1189 1.530.5IYSA
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Section 2 REDEMPTION FEE DISCLOSURE
A redemption fee is a fee charged by the fund house to a participant who trades in and out of a fund within a specified time frame. This fee is reinvested back into the fund to offset the increase in trade costs. The information contained in this Schedule does not replace the information you can find in the prospectus. Certain transactions may be exempt from redemption fees. Refer to the prospectus for specific details and for the most current information regarding the applicability of redemption fees. Also refer to your Program Agreement or www.nationwide.com/planlogin for additional disclosure information.
Fund Code Fund NameRedemption Fee
Percentage Duration (in days)
BZGA Alger Grn A 2 30
DCXA Drey Grtr China A 2 60
FHYA Fed Hi Yld Tr Svc 2 90
FISA Fed Intl SmMd Co A 2 30
FVDA FidAdv Divrs Intl A 1 30
FNAA FidAdv Enrgy A 0.75 30
FXAA FidAdv Euro Cap App A 1 30
FGXA FidAdv Glbl Cap App A 1 30
FOXA FidAdv Intl Cap App A 1 30
FIRA FidAdv Intl RealEst A 1.5 90
FXJA FidAdv Jpn A 1.5 90
BVLA FidAdv Tech A 0.75 30
WWSA GabelliTTONWstwdSmCapEq A 2 7
GHYA GdmnScs Hi Yld A 2 60
KOXA Okmrk Intl SmCap II 2 90
SWRA Sntnl Intl Eq A 2 30
SAWA Sntnl Sm Co A 2 30
TXRA TRowePr Intl Gr Inc R 2 90
TRTA TRowePr Intl Stk R 2 90
WGGA WlmBlr Glbl Gr N 2 60
WBGA WlmBlr Gr N 1 60
WBIA WlmBlr Intl Gr N 2 60
WNGA WlmBlr MdCap Gr N 1 60
WNXA WlmBlr Sm Md Gr N 1 60
WBSA WlmBlr SmCap Gr N 1 60
WVXA WlmBlr SmCap Val N 1 60
Section 3 DISCLOSURES
Nationwide Financial Services, Inc.’s life insurance and trust company subsidiaries (collectively referred to as the “Nationwide companies”) offer a variety of retirement products exclusively to retirement plans through the Nationwide Group Retirement Series, which include: i) mutual fund platforms offered by Nationwide Trust Company, FSB, and ii) unregistered group variable annuity contracts issued by Nationwide Life Insurance Company. (The group annuity contracts and the mutual fund platforms are referred to collectively as “retirement products” and include Nationwide Retirement Resource, Nationwide Retirement Innovator, Nationwide Innovator Advantage, Nationwide Clear Advantage, Nationwide Retirement Flexible Advantage, Nationwide Retirement Advisor, and Nationwide Retirement Manager).
Mutual Fund Payments
PNF-0180AO.121
This is page _____ of _____.To facilitate processing of your fund addition, please indicate how many pages are included in this request. The page 1 and the signature page must always be submitted to complete the request.
10/2013
Nationwide Financial Services, Inc.’s life insurance and trust company subsidiaries (collectively referred to as the “Nationwide companies”) offer a variety of retirement products exclusively to retirement plans through the Nationwide Group Retirement Series, which include: i) mutual fund platforms offered by Nationwide Trust Company, FSB, and ii) unregistered group variable annuity contracts issued by Nationwide Life Insurance Company. (The group annuity contracts and the mutual fund platforms are referred to collectively as “retirement products” and include Nationwide Retirement Resource, Nationwide Retirement Innovator, Nationwide Innovator Advantage, Nationwide Clear Advantage, Nationwide Retirement Flexible Advantage, Nationwide Retirement Advisor, and Nationwide Retirement Manager).
In light of the above, certain mutual funds or their affiliates make payments to the Nationwide companies (the “payments”). The amount of these payments is typically based on an agreed-upon percentage of assets times the amount of the assets that the Accounts invest in the mutual funds, but in some cases may involve a per participant fee or a combination of asset-based fee and per participant fee. These payments may be used for any corporate purpose, which includes reducing the price of the retirement products, paying expenses that the Nationwide companies incur in promoting, marketing, and administering the retirement products, and achieving a profit. The Nationwide companies receive the following types of payments:
Types of Payments the Nationwide Companies Receive
Mutual fund 12b-1 fees, which are deducted from mutual fund assets;
Sub-transfer agent fees or fees pursuant to administrative service plans adopted by the mutual fund, which may be deducted from mutual fund assets; and
Payments by a mutual fund’s adviser or subadviser (or its affiliates). Such payments may be derived, in whole or in part, from the advisory fee that is deducted from mutual fund assets and reflected in the mutual fund charges.
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Furthermore, the Nationwide companies benefit from assets invested in Nationwide’s affiliated mutual funds (i.e., Nationwide Mutual Funds) because their affiliates also receive compensation from the mutual funds for investment advisory, administrative, transfer agency, distribution, and/or other services. Thus, the Nationwide companies may receive more revenue with respect to affiliated mutual funds than unaffiliated mutual funds.
The Nationwide companies took these anticipated payments into consideration in determining the charges they impose under the retirement products (apart from fees and expenses imposed by the mutual funds). Without these payments, the Nationwide companies would have imposed higher charges on their retirement products.
Most mutual funds or their affiliates have agreed to make payments to the Nationwide companies, although the applicable percentages may vary from mutual fund to mutual fund and some may not make any payments at all. Because the amount of the actual payments the Nationwide companies receive generally depends on the amount of assets invested by the Accounts in the mutual funds, the Nationwide companies may receive higher payments from mutual funds with lower percentages (but greater assets) than from mutual funds that have higher percentages (but fewer assets).
The following paragraphs describe the range of payments that the Nationwide companies received from the mutual funds and their affiliates (as a percentage of the average daily net assets of the mutual fund attributable to the retirement products) for the year ended December 31, 2009.
Amount of Payments the Nationwide Companies Receive
The Nationwide companies identify a menu of potential mutual funds that correspond to the investment options for their retirement products. They may consider several criteria when identifying those mutual funds, including some or all of the following: investment objectives, investment process, investment performance, risk characteristics, investment capabilities, experience and resources, investment consistency, and fund expenses. Another factor the Nationwide companies consider during this process is whether the mutual fund’s adviser or subadviser is one of their affiliates or whether the mutual fund, its adviser, its subadviser(s), or an affiliate will make payments such as those described above. The identification criteria vary by line of business and retirement product. In some cases, the Nationwide companies identify mutual funds based on requests and recommendations made by retirement plan sponsors and/or their advisors.
There may be mutual funds with lower fees, as well as other retirement products that offer mutual funds with lower fees. You should consider all of the fees and charges of a retirement product in relation to the features and benefits of that product when making your decision to invest. Please note that product and mutual fund fees and charges have a direct effect on the investment performance of your retirement product. A fund prospectus contains the investment objectives, risks, charges and expenses. Please read the fund prospectus carefully before investing.
Identification of Mutual Funds for Our Retirement Product
The variable accounts, trust accounts, or custodial accounts (the “Accounts”) that accompany the retirement products offer a variety of investment options, and purchase and sell shares of certain mutual funds in the aggregate each day so that the performance of the investment options corresponds to the performance of those mutual funds. When the Accounts aggregate these transactions, the mutual fund does not incur the expense of processing individual transactions that it would incur if it sold its shares to the public directly. This expense is instead incurred by the Nationwide companies.
The Nationwide companies also incur the distribution costs of selling the retirement products, which benefits the mutual funds by providing contract owners and participants with investment options that correspond to the underlying mutual funds.
An investment adviser or subadviser of a mutual fund or its affiliates may provide the Nationwide companies with wholesaling services that assist in the distribution of the retirement products and may pay to participate in educational and/or marketing activities. These activities may provide the adviser or subadviser (or their affiliates) with increased exposure to persons involved in the distribution of the retirement products.
RETIREMENT INNOVATOR
The payments to the Nationwide companies ranged from 0.50 % to 0.85% of assets.
The above ranges do not include any amounts the Nationwide companies may receive from investment advisers or subadvisers of the mutual funds or their affiliates to participate in educational and/or marketing activities.
PNF-0180AO.121
This is page _____ of _____.To facilitate processing of your fund addition, please indicate how many pages are included in this request. The page 1 and the signature page must always be submitted to complete the request.
10/2013
The Nationwide companies identify a menu of potential mutual funds that correspond to the investment options for their retirement products. They may consider several criteria when identifying those mutual funds, including some or all of the following: investment objectives, investment process, investment performance, risk characteristics, investment capabilities, experience and resources, investment consistency, and fund expenses. Another factor the Nationwide companies consider during this process is whether the mutual fund’s adviser or subadviser is one of their affiliates or whether the mutual fund, its adviser, its subadviser(s), or an affiliate will make payments such as those described above. The identification criteria vary by line of business and retirement product. In some cases, the Nationwide companies identify mutual funds based on requests and recommendations made by retirement plan sponsors and/or their advisors.
There may be mutual funds with lower fees, as well as other retirement products that offer mutual funds with lower fees. You should consider all of the fees and charges of a retirement product in relation to the features and benefits of that product when making your decision to invest. Please note that product and mutual fund fees and charges have a direct effect on the investment performance of your retirement product. A fund prospectus contains the investment objectives, risks, charges and expenses. Please read the fund prospectus carefully before investing.
Nationwide has arrangements with various distributors and other entities in connection with the marketing and sale of the Funding Vehicle(s) offered through this Agreement. Nationwide may pay these distributors and other entities compensation in the form of an asset-based sales commission and a separate marketing allowance or related payment.
The amount of any sales commission payable by Nationwide to the Plan’s sales representative is subject to negotiation between the Sponsor and the sales representative. In addition to the sales commissions and other compensation described above, Nationwide may pay additional compensation based on various agreed-upon production goals and persistency payments to administrative firms. The cost of sales commissions, or any other compensation paid by Nationwide, is directly or indirectly reflected in the fees charged by Nationwide for your plan.
Compensation to Distributors and Other Entities
PNF-0180AO.121
This is page _____ of _____.To facilitate processing of your fund addition, please indicate how many pages are included in this request. The page 1 and the signature page must always be submitted to complete the request.
10/2013
Section 4 SPECIAL INSTRUCTIONS
Special Instructions Fund Code
Block as an investment option on INQUIRE/Internet:
Move from a Designated Fund to a Fund Window Fund*:
Use as the retainer/forfeiture account**.
**If you plan to use an investment option other than the money market to invest the forfeiture/retainer account, call your Nationwide Representative for guidelines.
*Fund Window funds will be available on INQUIRE/Internet, unless the fund has been closed to new investors by the fund house in which case the fund will be blocked and therefore unavailable on INQUIRE/Internet. If Fund Window is not currently established for your plan, the fund(s) will be blocked as an investment option on INQUIRE/Internet.
Section 5 SIGNATURES
By signing below, signatories on behalf of the Sponsor and the Plan acknowledge that they have received all required disclosures
as required by Employee Retirement Income Security Act of 1974, as amended, including regulations thereunder, 408(b)(2), if
applicable. Further, the signatories acknowledge that additional disclosures regarding Mutual Fund Payments, etc are included in
the Program Agreement and available at www.nationwide.com/planlogin and/or www.nationwide.com/myretirement and assume
all responsibility for reading such disclosures.
All terms shall have the same meaning as the Program Agreement, unless otherwise defined in this document.
Further, they represent that they have the authority to make changes to the Funding Vehicles behalf of the Sponsor and the Plan
and direct Nationwide to make changes as indicated above.
The signatories understand that if there is any problem with the fund(s) requested or the current fund classification on this form,
the fund(s) will not be added at this time and Nationwide will provide appropriate notification.
Sponsor Signature
Authorized Representative Signature
Date
Date
Printed Sponsor Name
Printed Authorized Representative Name
By Signing below, I am confirming that the individual that signed the above is authorized as required to make this request.
PNF-0180AO.121
This is page _____ of _____.To facilitate processing of your fund addition, please indicate how many pages are included in this request. The page 1 and the signature page must always be submitted to complete the request.
10/2013