form 5500 schedule c client reporting state street global ...state street global advisors form 5500...

State Street Global AdvisorsForm 5500 Schedule C Client Reporting

Client Name : ADP Retirement Services Client PlansPlan Year End Date : 12/31/2016Service Provider (Payee) Name and EIN : State Street Global Advisors : 04-1867445Service Provider Relationship : Investment Manager

Plan ID

Plan Name Plan EIN Fund Code

Fund Name Form 5500 Compensation Type

SSgA Description Suggested Service Code

Compensation Paid or Formula Used

Payor

34475 ADP, LLC. 22-1467904 CM5GB Target Retirement Income SL SF CL IX (CM5GB)

Eligible Indirect Compensation

Custodial Fees 18,19 $25,000 Fund

Investment Management Fees

52 0.1800% Fund

Securities Lending Income

99 $83 State Street

CM5JB Target Retirement 2020 SL SF CL IX (CM5JB)




52 0.1800% Fund


99 $483 State Street

CM5LB Target Retirement 2030 SL SF CL IX (CM5LB)


Custodial Fees 19 0.1800% Fund


52 0.1800% Fund



CM5MB Target Retirement 2040 SL SF CL IX (CM5MB)




52 0.1800% Fund



- 1 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CM7BM S&P MidCap (R) Indx NL SF CL F (CM7BM)



52 0.0700% Fund

CM7BN S&P MidCap (R) Indx NL SF CL G (CM7BN)



52 0.0700% Fund

CM7BO S&P MidCap (R) Indx NL SF CL J (CM7BO)



52 0.0700% Fund

CM7FH U.S. Bond Indx SL SF CL VI (CM7FH)




52 0.1500% Fund


99 $1,198 State Street

CM7FI U.S. Bond Indx SL SF CL VII (CM7FI)




52 0.1500% Fund



CM7FJ U.S. Bond Indx SL SF CL VIII (CM7FJ)




52 0.1500% Fund

- 2 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CM7FJ U.S. Bond Indx SL SF CL VIII (CM7FJ)




CM7IG Russell Small Cap (R) Indx SL SF CL IV (CM7IG)




52 0.0800% Fund



CM7IH Russell Small Cap (R) Indx SL SF CL VI (CM7IH)




52 0.0800% Fund



CM7II Russell Small Cap (R) Indx SL SF CL VII (CM7II)




52 0.0800% Fund



CM7IJ Russell Small Cap (R) Indx SL SF CL VIII (CM7IJ)




52 0.0800% Fund

- 3 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CM7IJ Russell Small Cap (R) Indx SL SF CL VIII (CM7IJ)




CM8SB Target Retirement 2015 SL SF CL IX (CM8SB)




52 0.1800% Fund


99 $41 State Street

CM8UB Target Retirement 2025 SL SF CL IX (CM8UB)




52 0.1800% Fund



CM8VB Target Retirement 2035 SL SF CL IX (CM8VB)




52 0.1800% Fund



- 4 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CM8WB Target Retirement 2045 SL SF CL IX (CM8WB)




52 0.1800% Fund



CMAQB Target Retirement 2050 SL SF CL IX (CMAQB)




52 0.1800% Fund



CMDI2 Target Retirement Income NL SF CL C (CMDI2)


Custodial Fees 18,19 $38 Fund


52 0.1400% Fund

CMDI3 Target Retirement Income NL SF CL D (CMDI3)




52 0.1400% Fund

CMDL2 Target Retirement 2015 NL SF CL C (CMDL2)




52 0.1400% Fund

- 5 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CMDL3 Target Retirement 2015 NL SF CL D (CMDL3)




52 0.1400% Fund

CMDM2 Target Retirement 2020 NL SF CL C (CMDM2)




52 0.1400% Fund

CMDM3 Target Retirement 2020 NL SF CL D (CMDM3)




52 0.1400% Fund

CMDN2 Target Retirement 2025 NL SF CL C (CMDN2)




52 0.1400% Fund

CMDN3 Target Retirement 2025 NL SF CL D (CMDN3)




52 0.1400% Fund

CMDO2 Target Retirement 2030 NL SF CL C (CMDO2)




52 0.1400% Fund

- 6 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CMDO3 Target Retirement 2030 NL SF CL D (CMDO3)




52 0.1400% Fund

CMDP2 Target Retirement 2035 NL SF CL C (CMDP2)




52 0.1400% Fund

CMDP3 Target Retirement 2035 NL SF CL D (CMDP3)




52 0.1400% Fund

CMDQ2 Target Retirement 2040 NL SF CL C (CMDQ2)




52 0.1400% Fund

CMDQ3 Target Retirement 2040 NL SF CL D (CMDQ3)




52 0.1400% Fund

CMDR2 Target Retirement 2045 NL SF CL C (CMDR2)




52 0.1400% Fund

- 7 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CMDR3 Target Retirement 2045 NL SF CL D (CMDR3)




52 0.1400% Fund

CMDS2 Target Retirement 2050 NL SF CL C (CMDS2)




52 0.1400% Fund

CMDS3 Target Retirement 2050 NL SF CL D (CMDS3)




52 0.1400% Fund

CMDVI S&P 500 (R) Indx SL SF CL VI (CMDVI)




52 0.0300% Fund



CMDVJ S&P 500 (R) Indx SL SF CL VII (CMDVJ)




52 0.0300% Fund



- 8 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CMDVM S&P 500 (R) Index NL SF CL N (CMDVM)




52 0.0200% Fund

CMDVO S&P 500 (R) Indx SL SF CL VIII (CMDVO)




52 0.0300% Fund



CMDVP S&P 500 (R) Indx SL SF CL IX (CMDVP)




52 0.0300% Fund



CMF84 U.S. Inflation Pro Bond Indx NL SF CL G (CMF84)




52 0.1500% Fund

CMGLN U.S. Large Cap Active NL SF CL J (CMGLN)




52 0.3000% Fund

- 9 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CMGNN REIT Indx NL SF CL G (CMGNN)




52 0.1500% Fund

CMLEB Target Retirement 2055 SL SF CL IX (CMLEB)




52 0.1800% Fund


99 $68 State Street

CMLF2 Target Retirement 2055 NL SF CL C (CMLF2)




52 0.1400% Fund

CMLF6 Target Retirement 2055 NL SF CL D (CMLF6)




52 0.1400% Fund

CMPSF Target Retirement 2060 SL SF CL IX (CMPSF)




52 0.1800% Fund

- 10 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 CMT52 Conservative Strategic Balanced SL SF CL VII (CMT52)




52 0.0700% Fund

CMT62 Moderate Strategic Balanced SL SF CL VII (CMT62)




52 0.0700% Fund

CMT72 Aggressive Strategic Balanced SL SF CL VII (CMT72)




52 0.0700% Fund

FC7V SSgA Cash Collateral Pool(s)



52 0.0175% Fund

K1626 Cash Series U.S. Government Fund CL L (K1626)




52 0.1000% Fund

ZVBGF Intl Index SL SF CL VI (ZVBGF)




52 0.2000% Fund



- 11 -



Plan ID





Payor

34475 ADP, LLC. 22-1467904 ZVBGG Intl Indx SL SF CL VII (ZVBGG)




52 0.2000% Fund



ZVBGH Intl Indx SL SF CL VIII (ZVBGH)




52 0.2000% Fund



Direct Compensation Summary

Plan ID Plan Name Plan EIN SSgA Description Suggested Service Code

Compensation Paid

34475 ADP, LLC. 22-1467904 Investment Management Fees 51 $0

Total $0

Non Monetary Compensation (See attached list if Compensation Paid is greater than $0)

SSgA Description Suggested Service Code Compensation Paid Payor

Gifts, Meals and Entertainment 56 N/A SSgA

- 12 -

SSGA FORM 5500 SCHEDULE C DISCLOSURESTHIS DISCLOSURE DOCUMENT IS NOT, AND SHALL NOT BE DEEMED TO CONSTITUTE, ANY TYPE OF ADVICE, INCLUDING, BUT NOT LIMITED TO, LEGAL, TAX OR ACCOUNTING ADVICE, TO PENSION PLANS SUBJECT TO FORM 5500 SCHEDULE C REPORTING OBLIGATIONS REGARDING COMPLIANCE WITH ERISA REPORTING REQUIREMENTS AND IS ONLY INTENDED TO FURNISH INFORMATION TO SUCH PLANS TO ASSIST THEM IN COMPLYING WITH THEIR FORM 5500 SCHEDULE C REPORTING OBLIGATIONS.

REGARDING SUGGESTED SERVICE CODES: Suggested service codes have been provided for some items, but the Plan Administrator should determine the appropriate service codes to be used for each type of compensation.

1. The information contained in the attached report pertains to SSGA’s services to the plan. The report does not reflect or discuss any of the other business areas of SSGA, State Street Bank and Trust Company, or any of their affiliates. If you have additional relationships with other business areas of SSGA, State Street Bank and Trust Company, or any of their affiliates, you may receive separate reporting from each of those business areas.

2. For eligible indirect compensation items, SSGA has sought to include the reporting elements required to satisfy the written disclosure requirement in the attached report. SSGA may have previously provided certain of these disclosures separately during the plan year. The attached report contains information based on the participant's plan year

3. The reported amount of non-monetary compensation pertaining to gifts and entertainment includes amounts for SSGA employees and the plan sponsor’s employees. The report does not include amounts for other plan-related vendors or service providers.

4. The amounts presented in the report include compensation earned by SSGA, net of any amounts that SSGA received from the plan that were provided as compensation to external service providers. The amounts received are inclusive of the compensation recorded by SSGA on behalf of affiliated service providers, including State Street Bank and Trust Company and its affiliates.

** If a fund participated in an agency securities lending program sponsored by State Street Bank and Trust Company for the purpose of lending securities, SSGA has disclosed the total management fee, and any applicable custody fee, (in bps) charged in the collateral pool. The report does not include information regarding the amount of the management fee, and any applicable custody fee, applicable to each individual ERISA plan investing in the collateral pool.

Please note that SSGA, State Street Bank and Trust Company, and their affiliates have made a good faith effort to make any necessary recordkeeping and information system changes required for the Form 5500 Schedule C reporting in a timely fashion. The information provided in this report reflects these good faith efforts. The changes to Schedule C of Form 5500 are still relatively new and there continues to be considerable uncertainty about the reporting requirements. Despite these good faith efforts, it is possible that the necessary recordkeeping and information systems changes to capture and report all of the new information required for Schedule C have not been completed.

- 13 -

State Street Bank and Trust CompanyPlan Year 2016

Direct Filing of Common and Collective TrustsPleaseindicateanycorrectionsintheappropriatespacesbelow.Pleasemailoremailusanycorrectionsatthefollowing:RelationshipManagement,StateStreetGlobalAdvisors,State Street Financial Center, One Lincoln Street, Floor 34, Boston, MA 02111; Email: [email protected]

Plan Sponsor Name (Form 5500, Part II, line 2a): ADP Retirement Services Client Plans

PLAN(S) INFORMATION COMMON & COLLECTIVE TRUST (CCT) INVESTMENT(S)Name of Plan (Form 5500, Part II,

line 1a)Employee

Identification Number

(Form 5500, Part II, line

2b)

Three-digit plan

number (PN)

(Form 5500,

Part II, line 1b)

Name of CCT (Sch D, Part Ia)

CCT Tax ID (Sch D, Part Ic)

CCT plan number (Sch D, Part Ic)

Administrative Solutions Group (ADP) 13-3036745 001 S&P Midcap (R) Indx NL SF CL A (CMK2)

04-0025081 089



Plan Sponsor Name (Form 5500, Part II, line 2a): ADP, LLC.

PLAN(S) INFORMATION COMMON & COLLECTIVE TRUST (CCT) INVESTMENT(S)Name of Plan (Form 5500, Part II, line

1a)

Employee Identification

Number (Form 5500, Part II, line 2b)

Three-digit plan number (PN) (Form

5500, Part II, line 1b)




ADP, LLC. 22-1467904 001 Aggressive Strategic Balanced SL SF CL VII (CMT72)

900337987 386

Conservative Strategic Balanced SL SF CL VII (CMT52)

900337987 384

Intl Index SL SF CL VI (ZVBGF)

900337987 334

Intl Indx SL SF CL VII (ZVBGG)

900337987 335

Intl Indx SL SF CL VIII (ZVBGH)

900337987 336

Moderate Strategic Balanced SL SF CL VII (CMT62)

900337987 385

REIT Indx NL SF CL G (CMGNN)

900337987 359

Russell Small Cap (R) Indx SL SF CL IV (CM7IG)

900337987 337





1a)








ADP, LLC. 22-1467904 001 Russell Small Cap (R) Indx SL SF CL VI (CM7IH)

900337987 338

Russell Small Cap (R) Indx SL SF CL VII (CM7II)

900337987 339

Russell Small Cap (R) Indx SL SF CL VIII (CM7IJ)

900337987 340

S&P 500 (R) Index NL SF CL N (CMDVM)

900337987 306

S&P 500 (R) Indx SL SF CL IX (CMDVP)

900337987 344

S&P 500 (R) Indx SL SF CL VI (CMDVI)

900337987 341

S&P 500 (R) Indx SL SF CL VII (CMDVJ)

900337987 342

S&P 500 (R) Indx SL SF CL VIII (CMDVO)

900337987 343

S&P MidCap (R) Indx NL SF CL F (CM7BM)

900337987 345





1a)








ADP, LLC. 22-1467904 001 S&P MidCap (R) Indx NL SF CL G (CM7BN)

900337987 346

S&P MidCap (R) Indx NL SF CL J (CM7BO)

900337987 347

Target Retirement 2015 NL SF CL C (CMDL2)

900337987 190

Target Retirement 2015 NL SF CL D (CMDL3)

900337987 267

Target Retirement 2015 SL SF CL IX (CM8SB)

900337987 349

Target Retirement 2020 NL SF CL C (CMDM2)

900337987 192

Target Retirement 2020 NL SF CL D (CMDM3)

900337987 268

Target Retirement 2020 SL SF CL IX (CM5JB)

900337987 350

Target Retirement 2025 NL SF CL C (CMDN2)

900337987 194





1a)








ADP, LLC. 22-1467904 001 Target Retirement 2025 NL SF CL D (CMDN3)

900337987 269

Target Retirement 2025 SL SF CL IX (CM8UB)

900337987 351

Target Retirement 2030 NL SF CL C (CMDO2)

900337987 196

Target Retirement 2030 NL SF CL D (CMDO3)

900337987 270

Target Retirement 2030 SL SF CL IX (CM5LB)

900337987 352

Target Retirement 2035 NL SF CL C (CMDP2)

900337987 198

Target Retirement 2035 NL SF CL D (CMDP3)

900337987 271

Target Retirement 2035 SL SF CL IX (CM8VB)

900337987 353

Target Retirement 2040 NL SF CL C (CMDQ2)

900337987 200





1a)








ADP, LLC. 22-1467904 001 Target Retirement 2040 NL SF CL D (CMDQ3)

900337987 272

Target Retirement 2040 SL SF CL IX (CM5MB)

900337987 354

Target Retirement 2045 NL SF CL C (CMDR2)

900337987 202

Target Retirement 2045 NL SF CL D (CMDR3)

900337987 273

Target Retirement 2045 SL SF CL IX (CM8WB)

900337987 355

Target Retirement 2050 NL SF CL C (CMDS2)

900337987 204

Target Retirement 2050 NL SF CL D (CMDS3)

900337987 274

Target Retirement 2050 SL SF CL IX (CMAQB)

900337987 356

Target Retirement 2055 NL SF CL C (CMLF2)

900337987 322





1a)








ADP, LLC. 22-1467904 001 Target Retirement 2055 NL SF CL D (CMLF6)

900337987 423

Target Retirement 2055 SL SF CL IX (CMLEB)

900337987 357

Target Retirement 2060 SL SF CL IX (CMPSF)

900337987 453

Target Retirement Income NL SF CL C (CMDI2)

900337987 186

Target Retirement Income NL SF CL D (CMDI3)

900337987 265

Target Retirement Income SL SF CL IX (CM5GB)

900337987 358

U.S. Bond Indx SL SF CL VI (CM7FH)

900337987 360

U.S. Bond Indx SL SF CL VII (CM7FI)

900337987 361

U.S. Bond Indx SL SF CL VIII (CM7FJ)

900337987 362





1a)








ADP, LLC. 22-1467904 001 U.S. Inflation Pro Bond Indx NL SF CL G (CMF84)

900337987 363

U.S. Large Cap Active NL SF CL J (CMGLN)

900337987 333


Direct Filing of Common and Collective Trusts

Please indicate any corrections in the appropriate spaces below. Please mail or email us any corrections at the following: Relationship Management, State Street Global Advisors,

State Street Financial Center, One Lincoln Street, Floor 34, Boston, MA 02111; Email: [email protected]

Plan Sponsor Name (Form 5500, Part II, line 2a): Reliance Trust Co as Trustee and/or Custodian for ADP Access Large Market 401K

Name of Plan (Form 5500, Part II, line 1a)Employee Identification


Three-digit plan number (PN) (Form 5500, Part II,

line 1b)Name of CCT (Sch D, Part Ia) CCT Tax ID (Sch D,

Part Ic)


Reliance Trust Co as Trustee and/or Custodian for ADP Access Large Market 401K 58-1428634 001 Aggressive Strategic Balanced SL SF CL VII

(CMT72) 90-0337987 386

Conservative Strategic Balanced SL SF CL VII (CMT52) 90-0337987 384

Intl Index SL SF CL VI (ZVBGF) 90-0337987 334

Intl Indx SL SF CL VII (ZVBGG) 90-0337987 335

Intl Indx SL SF CL VIII (ZVBGH) 90-0337987 336

Moderate Strategic Balanced SL SF CL VII (CMT62) 90-0337987 385

REIT Indx NL SF CL G (CMGNN) 90-0337987 359

Russell Small Cap (R) Indx SL SF CL IV (CM7IG) 90-0337987 337

Russell Small Cap (R) Indx SL SF CL VI (CM7IH) 90-0337987 338

Russell Small Cap (R) Indx SL SF CL VII (CM7II) 90-0337987 339

Russell Small Cap (R) Indx SL SF CL VIII (CM7IJ) 90-0337987 340

S&P 500 (R) Indx SL SF CL IX (CMDVP) 90-0337987 344

S&P 500 (R) Indx SL SF CL VI (CMDVI) 90-0337987 341

S&P 500 (R) Indx SL SF CL VII (CMDVJ) 90-0337987 342

S&P 500 (R) Indx SL SF CL VIII (CMDVO) 90-0337987 343

S&P MidCap (R) Indx NL SF CL F (CM7BM) 90-0337987 345

PLAN(S) INFORMATION COMMON & COLLECTIVE TRUST (CCT) INVESTMENT(S)










Part Ic)


Reliance Trust Co as Trustee and/or Custodian for ADP Access Large Market 401K 58-1428634 001 S&P MidCap (R) Indx NL SF CL G (CM7BN) 90-0337987 346

S&P MidCap (R) Indx NL SF CL J (CM7BO) 90-0337987 347

Target Retirement 2010 NL SF CL D (CMDJ3) 90-0337987 266

Target Retirement 2010 SL SF CL IX (CM5HB) 90-0337987 348

Target Retirement 2015 NL SF CL D (CMDL3) 90-0337987 267

Target Retirement 2015 SL SF CL IX (CM8SB) 90-0337987 349

Target Retirement 2020 NL SF CL D (CMDM3) 90-0337987 268

Target Retirement 2020 SL SF CL IX (CM5JB) 90-0337987 350

Target Retirement 2025 NL SF CL D (CMDN3) 90-0337987 269

Target Retirement 2025 SL SF CL IX (CM8UB) 90-0337987 351

Target Retirement 2030 NL SF CL D (CMDO3) 90-0337987 270

Target Retirement 2030 SL SF CL IX (CM5LB) 90-0337987 352

Target Retirement 2035 NL SF CL D (CMDP3) 90-0337987 271

Target Retirement 2035 SL SF CL IX (CM8VB) 90-0337987 353

Target Retirement 2040 NL SF CL D (CMDQ3) 90-0337987 272











Part Ic)


Reliance Trust Co as Trustee and/or Custodian for ADP Access Large Market 401K 58-1428634 001 Target Retirement 2040 SL SF CL IX (CM5MB) 90-0337987 354

Target Retirement 2045 NL SF CL D (CMDR3) 90-0337987 273

Target Retirement 2045 SL SF CL IX (CM8WB) 90-0337987 355

Target Retirement 2050 NL SF CL D (CMDS3) 90-0337987 274

Target Retirement 2050 SL SF CL IX (CMAQB) 90-0337987 356

Target Retirement 2055 NL SF CL D (CMLF6) 90-0337987 423

Target Retirement 2055 SL SF CL IX (CMLEB) 90-0337987 357

Target Retirement Income NL SF CL D (CMDI3) 90-0337987 265

Target Retirement Income SL SF CL IX (CM5GB) 90-0337987 358

U.S. Bond Indx SL SF CL VI (CM7FH) 90-0337987 360

U.S. Bond Indx SL SF CL VII (CM7FI) 90-0337987 361

U.S. Bond Indx SL SF CL VIII (CM7FJ) 90-0337987 362

U.S. Inflation Pro Bond Indx NL SF CL G (CMF84) 90-0337987 363

State Street Bank and Trust Co as Trustee and/or Custodian for ADP Morgan Stanley 51-6588054 001 Intl Indx SL SF CL VIII (ZVBGH) 90-0337987 336

Russell Small Cap (R) Indx SL SF CL VIII (CM7IJ) 90-0337987 340

S&P 500 (R) Indx SL SF CL VIII (CMDVO) 90-0337987 343


State Street Global Advisors 1/2

Notice of Annual ERISA Report (Form 5500) Filing State Street Financial Center One Lincoln Street Boston, MA 02111-2900

April 20, 2017

Executive Summary

This certification is being supplied to you pursuant to 29 CFR 2520.103‐5(c); please retain this for your records.

State Street Bank & Trust Company (“State Street”), as Trustee to the common and collective trusts (i.e.

commingled funds) in which you invested during the 2016 calendar year will file each applicable fund as a Direct

Filing Entity (“DFE”) with the Department of Labor (“DOL”) for the 2016 plan year. Please see below for

additional information with regard to the treatment of certain trusts as interest‐bearing cash accounts.

Please review the provided statement detailing our summary of your investments in State Street’s commingled

funds during the 2016 calendar year. If any of your plan information is incorrect or other information appears to

be missing, please contact us at your earliest convenience.

If the provided statement is correct, you need to take no action with regard to your plan information.

General Information

Plan sponsors who file an information return (Form 5500) for an employee benefit plan covered, or electing

coverage, by the Employment Retirement Income Security Act of 1974 (“ERISA”) may need to report additional

information to the DOL regarding plan investments in entities that file as DFEs. This letter is to advise you that

State Street will file on behalf of our DFEs known as common and collective trusts (“CCTs”) with the DOL for the

2016 plan year in accordance with the Form 5500 instructions.

If you are a governmental entity or other entity not required to complete Form 5500, this communication is for

informational purposes only.

The provided information regarding your plan’s investments during the 2016 calendar year will be reported by

State Street to the DOL. Consistent with our prior year notice we ask that you please carefully review the

provided statement to ensure your records reflect the correct DOL tax identification number and plan number

for your investments.

Please also ensure that the following data on the provided statement is correct:

Plan Sponsor Name – corresponds to the Plan Sponsor Name entered on your plan’s Form 5500 Part II Line 2a.

Sponsor Tax ID – corresponds to the Sponsor Tax ID entered on your plan’s Form 5500 Part II Line 2b.

Plan Legal Name – corresponds to the Plan Name entered on your plan’s Form 5500 Part II Line 1a.

Plan Number – corresponds to the Plan Number entered on your plan’s Form 5500 Part II Line 1b.

ssga.com

Notice of Annual ERISA Report (Form 5500) Filing

State Street Global Advisors ssga.com 2/2

April 20, 2017

If any of this information is incorrect or missing, please send us the necessary corrections via email:

[email protected] by Wednesday, May 31st, 2017, so that we may update our

records.

If you are providing a corrected plan sponsor tax identification number, please also email us a completed W‐9

form, as available on the IRS’s website (http://www.irs.gov/pub/irs‐pdf/fw9.pdf). We will be unable to update

the tax identification number without a completed W‐9 form. Please note that inaccurate or incomplete data on

your plan may result in DOL validation inquiries or processing delays that may require both State Street and plan

sponsors to submit additional information to the DOL.

Please note that the DOL’s Instructions for Form 5500 indicate that certain interest‐bearing investments, such as

sweep, STIF, and money market accounts, are to be reported as Interest Bearing Cash Accounts on Schedule H

of Form 5500 rather than as an interest in a CCT. Accordingly, the following commingled investment pools will

be classified as Interest Bearing Cash Accounts (similar to prior years) and will not submit a direct filing to the

DOL for plan year 2016:

State Street Short Term Investment Fund Quality Investment Fund A

State Street Government Short Term Investment Fund Quality Investment Fund D

Securities Lending Quality Trust Fund Collateral Investment Fund, LLC

Quality Trust for SSGA Funds Global Securities Lending Trust

Series Quality Trust for SSGA Funds Trust Fund State Street Cash Series Prime Fund

State Street Treasury Plus Fund State Street Cash Series U.S. Government Fund

State Street Cash Series Treasury Fund State Street Cash Series Short Term Investment Fund

Please note that this treatment is consistent with our position in prior plan years, including plan year 2015.

State Street hereby certifies that the foregoing statements furnished pursuant to 29 CFR 2520.103‐5(c) are

complete and accurate.

If you have any questions about the attachment or State Street’s direct filing, please do not hesitate to contact

us.

Sincerely,

Andrew Znaczko

Principal, Accounting & Valuation Oversight

(617) 664‐4051

[email protected]

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