WHEREVER TOMORROW TAKES YOU, PLAN FOR IT TODAY.

REQUIRED 408(b)(2) FEE DISCLOSURE

This Fee Disclosure (or “Compensation Disclosure”) incorporates by reference Terms and Service Order between Client, Plan, and Uniglobal, including any schedule, addendum, appendix, and/or amendment. “Plan Sponsor” means the Client.

VOYA FINANCIAL

In addition to the compensation disclosed in Terms and Service Order, Uniglobal may also receive payments from Voya Retirement Insurance and Annuity Company (“VRIAC” or “Voya”) for services provided by Uniglobal, as the plan’s TPA, to Voya in connection with the Plan. Uniglobal may receive “service fee income” payments from Voya for qualifying for and participating in the TPA Service Reimbursement Program. Uniglobal does not have sufficient information to disclose, in advance, the exact amount of service fee income it will receive from Voya, if any. However, the amounts received by Uniglobal will be disclosed on the Plan’s Form 5500 for the Plan Year in which such payments are made, if any.

Service Fee Income

Uniglobal may be paid service fee income by Voya for services provided both to the Plan, on behalf of Voya, as well as for services to Voya, which services are completed in connection with the services provided by both Uniglobal and Voya to the Plan. These services include, but are not limited to:

• Providing Plan Document and Drafting Services for the Plan Sponsor;
• Completing MAP Select, Map Plus, and/or Framework unbundled product specific documentation required for new Plan installations (plan digest, file templates)
• Conversion Services
• Reconciliation of assets on takeover plans;
• Reconciliation of loans on takeover plans;
• Coordinating data for set-up of new and takeover plans;
• Setting up administrative systems for new and takeover plans;
• Managing existing Voya plans for retention; and
• Maintaining Uniglobal IT Assets for compatibility with Voya electronic interfaces.

Service fee income payments, and the requirements for these payments, are as follows:

Partnership Program – Pays Uniglobal .05% on eligible assets under administration if qualifications are satisfied.

Qualification:

• 5 new qualifying unbundled MAP Select, MAP Plus, or Framework plans.
• At least $50M in eligible assets automatically qualify (no new plan requirement).

Reimbursement Amount:

• Pays 0.05% on eligible assets under administration on an annualized basis.
• Reimbursements are calculated monthly and paid quarterly.

Alliance Program – Pays up to 0.35% for new plans if qualifications are satisfied.

Qualification:

• Obtain cases and assets that will be used to determine level of reimbursement.

Notes:

• The Maximum payment per plan for Alliance is $15,000. Any plans that exceed that amount will be paid nine basis points in Partnership for a three-year period.
• Deposit credits are not earned until assets are received by Voya.

Reimbursement Amount:

Reimbursements are calculated monthly and paid quarterly

• Plans sold with 0 – $499K in takeover assets will be paid according to the above table or a minimum of $1,000. Payments are made annually after the end of the calendar year.
• Plans sold with at least $500K in takeover assets will be paid according to the above table or a minimum of $1,250. Payments are made annually after the end of the calendar year.

Eligibility requirements must be met each calendar year and are subject to change in Voya’s sole discretion. Existing Voya/CitiStreet/ReliaStar cases converting to MAP Plus or MAP Select are not eligible for these programs. Voya is solely responsible for determining Uniglobal’s eligibility for these programs and the amounts reimbursed under the programs. Voya reserves the right to change these programs at any time without notice.

Direct Compensation

Please refer to the Service Order for fees that are considered Direct Compensation such as Administration and Compliance Service Fees, Loan Processing & Origination Fees, Participant Distribution Fees, and QDRO Review Fees. All Direct Compensation paid by the Plan and/or Client is disclosed in Terms, Service Order, and/or any addendum, attachment, schedule, exhibit, appendix, or amendment, as applicable, including this Compensation Disclosure, and together with fee related materials from other parties including Other Service Provider Compensation Disclosures constitute Uniglobal’s compliance with this disclosure law.