>> EJREYNOLDS GUIDE ON HOW TO FILE YOUR FORM 5500

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Grant Nash
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1 >> EJREYNOLDS GUIDE ON HOW TO FILE YOUR FORM 5500 FEBRUARY, 2014

2 > For Plan Years beginning on or after January 1, 2009, the Form 5500 must be filed electronically through the Department of Labor s EFAST2 system. > The individuals who will be signing the Form 5500 must obtain filing credentials through the EFAST2 system.

3 STEP 1>> Once your Form 5500 is ready to be signed, you will receive an from your EJReynolds Administrator. Click the link provided in the to be taken to our Plan Portal. Dear John, Your Form 5500 and related schedules for the XYZ Company, Inc. 401(k) Plan are ready to be signed. The form must be filed with the Department of Labor (DOL) by July 31, In order to sign your Form 5500, please log onto our Plan Portal at: You can log in using the following credentials: Username: jsmith Password: Lost password? Use the 'Forgot Password' link on the login screen to reset your password. If this is your initial log in to our Portal, you will be asked to answer 3 challenge questions and change your password. Please keep your password in a secure location. Please note the above Username and Password should not be used to file the Form 5500 with the DOL. You must use the USER ID and PIN provided to you by the DOL EFAST2 system. The USER ID supplied by the DOL is composed of an alphabetic character (A through W) followed by seven (7) numeric characters (example: A ). The PIN is a unique identifier composed of four (4) numeric characters (example: 2354). A lost USER ID and PIN may be recovered by visiting the DOL website For additional help with filing your Form 5500, please visit our website >The credentials to log onto the EJReynolds Plan Portal differ from your DOL issued User ID and PIN used to file the Form For help with your DOL User ID and PIN, please refer to our other help topics.

4 STEP 2>> Once at our Plan Portal, please enter your EJReynolds Plan Portal User ID and Password. After entering the information, click Log In. >The credentials to log onto the EJReynolds Plan Portal differ from your DOL issued User ID and PIN used to file the Form For help with your DOL User ID and PIN, please refer to our other help topics.

5 STEP 3>> Once you have logged in, select E-Sign 5500 to be taken to the Sign 5500 page. If you are required to sign the Form 5500 for multiple plans, please select the correct plan on the drop down menu at the top of the page. > If you require additional help, select one of our help topics located under Tips for Signing the Form 5500.

6 STEP 4>> You must print your Form 5500 before you will be allowed to sign. Select Print 5500 and print a hard copy for your records. > The Form 5500 will open in another browser window. To return to the Sign 5500 page click your original browser window,

STEP 5>> Once you have read through your Form 5500, please sign the printed copy with a wet signature. The signed Form 5500 should be kept as part of your Plan s records.

7 STEP 5>> Once you have read through your Form 5500, please sign the printed copy with a wet signature. The signed Form 5500 should be kept as part of your Plan s records. > The Form 5500 should be reviewed carefully for accuracy. By signing the Form 5500 you agree under penalties of perjury and other penalties that the Form 5500, is true and correct to the best of your knowledge and belief.

8 STEP 6>> Once you have printed and signed the Form 5500 return to your original browser window (still open). Enter your DOL User ID and PIN. > If you require help retrieving your DOL User ID and PIN see our other help topics.

9 STEP 7>> Once you have entered your DOL User ID and PIN, click Sign 5500.

10 STEP 8>> Once you have signed your Form 5500, you may see the status of your Form 5500 by selecting Check 5500 Status.

11 STEP 9>> The 5500 Status screen will show the current status of your Form 5500 with the Department of Labor. The following are statuses you may see: >Not Submitted: Your filing has not yet been signed/submitted. Once signed, the filing status could be changed to 'Submitted', as all filings are automatically submitted once the proper e-signatures have been obtained. >Submitted: Your filing has been submitted to the DOL, but it has not been accepted yet. Next to a 'Submitted' status you'll be given an option to 'Check Acceptance', which you can click in order to check the status of your plan. >Accepted: The DOL has accepted the filing. >Not Accepted: The DOL has not accepted the filing due to the plan not meeting the DOL required edit checks. The software should provide you with a list of the DOL errors. (These errors are also included in the edit checks on the preparation system. So, if your plan has no errors before filing, your filing should be accepted.) The filing is still considered filed but you will likely need to amend the filing. >Rejected: If certain fields are missing, your filing will be rejected. The fields are: plan year end/begin dates, EIN, plan number, and plan name. You will not have the option to amend the filing since it was never filed according to the DOL. Your plan administrator will need to unlock, modify, and allow you to resubmit the plan to the DOL.

12 Once you receive an Accepted status on your Form 5500 your filing requirements with the Department of Labor are complete for the plan year. For additional guidance on signing the forms contact your EJReynolds Administrator.

ALLIANCE BENEFIT GROUP of Houston, Inc.

ALLIANCE BENEFIT GROUP of Houston, Inc. New mandatory electronic filing requirements (EFAST2) now apply to the Form 5500 Annual Return that your benefit plan must file. The electronic filing procedures require that you sign the Form 5500 electronically.