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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), 6057(b), 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 January 01, 2010 , and ending December 31, 2010
This return/report is for:   a multiemployer plan;
  a single-employer plan;
  a multiple-employer plan;
  a DFE (specify)     
 
This return/report is:   the first return/report;
  an amended return/report;
  the final return/report;
  a short plan year return/report (less than 12 months).
If the plan is a collectively-bargained plan, check here    
Check box if filling under:   Form 5558;   automatic extension;   the DFVC program;
    special extension (enter description)     
 Part II       Basic Plan Information – enter all requested information.
1a  Name of plan

HITACHI EMPLOYEE 401(K) RETIREMENT PLAN

1b Three-digit
plan number (PN)
   002   
1c Effective date of plan
December 01, 1985
 
2a  Plan sponsor's name and address (employer, if for a single-employer plan)
(Address should include room or suite no.)

HITACHI AMERICA, LTD.
50 PROSPECT AVENUE
TARRYTOWN NY 10591
2b Employer Identification Number (EIN)
13-1896069
2c Sponsor's telephone number
914-332-5800
2d Business code (see instructions)
339900
 
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.

10/14/2011 MARTHA LASKO SEAMAN
Signature of plan administrator Date Enter name of individual signing as plan administrator
Signature of employer/plan sponsor Date Enter name of individual signing as employer or plan sponsor
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.092308.1
3a  Plan administrator's name and address (if same as plan sponsor, enter"Same")

HITACHI AMERICA, LTD.
50 PROSPECT AVENUE
TARRYTOWN NY 10591
3b Administrator's EIN
13-1896069
3c Administrator's telephone number
914-332-5800 
 
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 below:

Sponsor's name

4b EIN
     
4c PN
     
Total number of participants at the beginning of the plan year
 5     6708   
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     4146   
  b  Retired or separated participants receiving benefits  6b     433   
  c  Other retired or separated participants entitled to future benefits  6c     1681   
  d  Subtotal. Add lines 6a, 6b, and 6c  6d     6260   
  e  Deceased participants whose beneficiaries are receiving or are entitled to receive benefits  6e     16   
  f  Total. Add lines 6d and 6e  6f     6276   
  g  Number of participants with account balances as of the end of the plan year (only defined contribution plans complete this item)  6g     6059   
  h  Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested  6h     141   
Enter the total number of employers obligated to contribute to the plan (only multiemployer plans complete this item)
 7     0   
8a  If the plan provides pension benefits, enter the applicable pension feature codes from the List of Plan Characteristics Codes in the instructions:
  b  If the plan provides welfare benefits, enter the applicable welfare feature codes from the List of Plan Characteristics Codes in the instructions:
9a  Plan funding arrangement (check all that apply)
  (1)   Insurance
  (2)   Section 412(e)(3) insurance contracts
  (3)   Trust
  (4)   General assets of the sponsor
9b  Plan benefit arrangement (check all that apply)
  (1)   Insurance
  (2)   Section 412(e)(3) insurance contracts
  (3)   Trust
  (4)   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
  (1)     R (Retirement Plan Information)
  (2)     MB (Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information)- signed by the plan actuary
  (3)     SB (Single-Employer Defined Benefit Plan Actuarial Information) - signed by the plan actuary
  b  General Schedules
  (1)     (Financial Information)
  (2)     (Financial Information – Small Plan)
  (3)    1  (Insurance Information)
  (4)     (Service Provider Information)
  (5)     (DFE/Participating Plan Information)
  (6)     (Financial Transaction Schedules)

SCHEDULE A
Form 5500

Department of the Treasury
Internal Revenue Service


Department of Labor
Employee Benefits Security Administration


Pension Benefit Guaranty Corporation

Insurance 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.

Insurance companies are required to provide the information
pursuant to ERISA section 103(a)(2).

OMB No. 1210 - 0110


2010


This Form is Open to Public
Inspection
For the calendar plan year 2010 or fiscal plan year beginning January 01, 2010, and ending December 31, 2010
Name of plan

HITACHI EMPLOYEE 401(K) RETIREMENT PLAN

Three-digit 
plan number (PN)
 002 
Plan sponsor's name as shown on line 2a of Form 5500

HITACHI AMERICA LTD

Employer Identification Number (EIN)
13-1896069
 Part I      Information Concerning Insurance Contract Coverage, Fees, and Commissions.Provide information for each contract
    on a separate Schedule A. Individual contracts grouped as a unit in Parts II and III can be reported on a single Schedule A.
1  Coverage Information
(a) Name of insurance carrier

AXA EQUITABLE INSURANCE COMPANY

(b) EIN (c) NAIC code (d) Contract or
identification number
(e) Aproximate number of
persons covered at end of
policy or contract year
Policy or contract year
(f) From (g) To

13-5570651


62944


574513


1



01/01/2010



12/31/2010

2 Insurance fee and commission information. Enter the total fees and total commissions paid. List in item 3 the agents, brokers, and other persons in descending order of the amount paid.
(a) Total amount of commissions paid (b) Total amount of fees paid






3  Persons receiving commissions and fees. (Complete as many entries as needed to report all persons).
(a) Name and address of the agent, broker or other person to whom commissions or fees were paid



(b) Amount of sales and base
commissions paid
Fees and other commissions paid (e) Organization
code
(c) Amount (d) Purpose







0




 
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. Schedule A (Form 5500) 2010
v.092308.1
 
 Part II       Investment and Annuity Contract Information
     Where individual contracts are provided, the entire group of such individual contracts with each carrier may be treated      as a unit for purposes of this report.
4  Current value of plan's interest under this contract in the general account at year end  4  $6,782
5  Current value of plan's interest under this contract in separate accounts at year end  5 
6  Contracts With Allocated Funds
  a  State the basis of premium rates
  b  Premiums paid to carrier  6b 
  c  Premiums due but unpaid at the end of the year  6c 
  d  If the carrier, service, or other organization incurred any specific costs in connection with the acquision
      or retention of the contract or policy, enter amount
 6d 
     Specify nature of costs NONE
  e  Type of contract (1) individual policies      (2) group deferred annuity     (3) other (specify)
  f   If contract purchased, in whole or in part, to distribute benefits from a terminating plan check here
7  Contracts With Unallocated Funds (Do not include portions of these contracts maintained in separate accounts)
  a   Type of contract   (1) deposit administration (2) immediate participation guarantee
(3) guaranteed investment (4) other
  b   Balance at the end of the previous year  7b 
  c   Additions:  (1) Contributions deposited during the year  7c(1) 
      (2) Dividends and credits  7c(2) 
      (3) Interest credited during the year  7c(3) 
      (4) Transferred from separate account  7c(4) 
      (5) Other (specify below)  7c(5) 
     
      (6) Total additions  7c(6) 
  d   Total of balance and additions (add b and c (6))  7d 
  e   Deductions:
      (1) Disbursed from fund to pay benefits or purchase annuities during year  7e(1) 
      (2) Administration charge made by carrier  7e(2) 
      (3) Transferred to separate account  7e(3) 
      (4) Other (specify below)  7e(4) 
     
      (5) Total deductions  7e(5) 
  f   Balance at the end of the current year (subtract e(5) from d)  7f 
 Part III       Welfare Benefit Contract Information
     If more than one contract covers the same group of employees of the same employer(s) or members of the      same employee organization(s), the information may be combined for reporting purposes if such contracts      are experience-rated as a unit. Where contracts cover individual employees, the entire group of such      individual contracts with each carrier may be treated as a unit for purposes of this report.
8   Benefit and contract type (check all applicable boxes)
      a   Health (other than dental or vision) b   Dental c   Vision d   Life insurance
e   Temporary disablility
(accident and sickness)
f   Long-term disability g   Supplemental unemployment h   Prescription drug
i   Stop loss (large deductible) j   HMO contract k   PPO contract l   Indemnity contract
m   Other (specify)
 
9   Experience related contracts
  a   Premiums: (1) Amount received  9a(1) 
      (2) Increase (decrease) in amount due but unpaid  9a(2) 
      (3) Increase (decrease) in unearned premium reserve  9a(3) 
      (4) Earned ((1)+(2)-(3))  9a(4) 
  b   Benefit charges: (1) Claims paid  9b(1) 
      (2) Increase (decrease) in claim reserves  9b(2) 
      (3) Incurred claims (add (1) and (2))  9b(3) 
      (4) Claims charged  9b(4) 
  c   Remainder of premium: (1) Retention charges (on an accrual basis) –
         (A) Commissions  9c(1)(A) 
         (B) Administrative service or other fees  9c(1)(B) 
         (C) Other specific acquisition costs  9c(1)(C) 
         (D) Other expenses  9c(1)(D) 
         (E) Taxes  9c(1)(E) 
         (F) Charges for risks or other contingencies  9c(1)(F) 
         (G) Other retention charges  9c(1)(G) 
         (H) Total Retention  9c(1)(H) 
      (2) Dividends or retroactive rate refunds. (These amounts were paid in cash, or credited.)  9c(2) 
  d   Status of policyholder reserves at end of year: (1) Amount held to provide benefits after retirement  9d(1) 
      (2) Claim reserves  9d(2) 
      (3) Other reserves  9d(3) 
  e   Dividends or retroactive rate refunds due. (Do not include amount entered in c(2).)  9e 
10   Nonexperience-rated contracts
  a   Total premiums or subscription charges paid to carrier  10a 
  b   If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or
       retention of the contract or policy, other than reported in Part I, item 2 above, report amount
 10b 
      Specify nature of costs below:
      
 Part IV       Provision of Information
11   Did the insurance company fail to provide any information necessary to complete Schedule A?    Yes       No 
12   If the answer to line 11 is “Yes,” specify the information not provided.
      

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 the calendar plan year 2010 or fiscal plan year beginning January 01, 2010 and ending
A   Name of plan
HITACHI EMPLOYEE 401(K) RETIREMENT PLAN
 B  Three-digit plan number (PIN) 002
 C  Plan sponsor's name as shown on line 2a of Form 5500
HITACHI AMERICA LTD
 D  Employer Identification Number (EIN)
13-1896069
 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)..................................................................................................................................................................... Yes    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
CHARLES SCHWAB & CO. INC

94-1737782
 
(b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation
JPMORGAN RETIREMENT PLAN SERVICES

71-0930784
 
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. Schedule C (Form 5500) 2010
v.092308.1
 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)
JP MORGAN RETIREMENT PLAN SERVICES

71-0930784
(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?

15 37 50 59 64


RECORDKEEPER


$31,900


Yes    No


Yes    No





Yes    No

 
(a) Enter name and EIN or address (see instructions)
JPM INSTITUTIONAL INVEST, INC

13-4062153
(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?

26 50


INVESTMENT MANAGER


$254,363


Yes    No


Yes    No





Yes    No

 
(a) Enter name and EIN or address (see instructions)
CHARLES SCHWAB & CO

94-1737782
(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?

26 33 50 59 71


BROKER


$22,456


Yes    No


Yes    No





Yes    No

 
(a) Enter name and EIN or address (see instructions)
JP MORGAN INVESTMENT MANAGEMENT

13-3200244
(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?

19 27 28 50 51


INVESTMENT MANAGER


$206,895


Yes    No


Yes    No





Yes    No

 
 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

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

AMERICAN CENTURY

4500 MAIN STREET
KANSAS CITY MO 64112



SEE ATTACHMENT AMERICAN CENTURY GROWTH-INV

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

AMERICAN CENTURY

4500 MAIN STREET
KANSAS CITY MO 64112



SEE ATTACHMENT AMERICAN CENTURY VALUE-INV

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

AMERICAN CENTURY

4500 MAIN STREET
KANSAS CITY MO 64112



SEE ATTACHMENT AMERICAN CENTURY SMALL CAP VALUE-INS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

AMERICAN CENTURY

4500 MAIN STREET
KANSAS CITY MO 64112



SEE ATTACHMENT AMERICAN CENTURY LARGE COMPANY VALUE-INV

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

PIMCO

1345 AVENUE OF THE AMERICAS
NEW YORK NY 10105-4800



SEE ATTACHMENT PIMCO TOTAL RETURN - ADMIN

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

ARTISAN FUNDS

ATTN TAX DEPARTMENT
P.O. BOX 8412
BOSTON MA 2266



SEE ATTACHMENT ARTISAN MID CAP-INV

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

BLACKROCK

55 EAST 52ND STREET
NEW YORK NY 10055



SEE ATTACHMENT BLACKROCK EAFE EQUITY INDEX-D

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

BLACKROCK

55 EAST 52ND STREET
NEW YORK NY 10055



SEE ATTACHMENT BLACKROCK EXTENDED EQUITY MARKET-D

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

BLACKROCK

55 EAST 52ND STREET
NEW YORK NY 10055



SEE ATTACHMENT BLACKROCK US DEBT-D

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

BLACKROCK

55 EAST 52ND STREET
NEW YORK NY 10055



SEE ATTACHMENT BLACKROCK SANDP 500 EQUITY INDEX-I

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

ARIEL CAPITAL MANAGEMENT LLC

200 E RANDOLPH STREET NUMBER 2900
CHICAGO IL 60601-6536



SEE ATTACHMENT ARIEL APPRECIATION FUND

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

AMERICAN FUND GROUP

P.O. BOX 6040
INDIANAPOLIS IN 46206



SEE ATTACHMENT AMERICAN FUNDS EUROPACIFIC GROWTH-R4

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN STABLE VALUE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

1111 POLARIS PARKWAY
COLUMBUS OH 43240-2050



SEE ATTACHMENT JPMORGAN INTREPID GROWTH-R5

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT INCOME-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2045-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2040-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2035-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2030-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2025-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2020-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2015-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

J.P.MORGAN RETIREMENT PLAN SERVICES


59


0

(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.

J.P. MORGAN FUNDS

P.O. BOX 8528
BOSTON MA 22668



SEE ATTACHMENT JPMORGAN SMARTRETIREMENT 2010-C10

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ACADIAN FUNDS



04-2929221

SEE ATTACHMENT ACADIAN FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ALGER



13-2665689

SEE ATTACHMENT ALGER

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ALLIANCEBERNSTEIN



13-3191825

SEE ATTACHMENT ALLIANCEBERNSTEIN

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ALLIANZ FUNDS



33-0457728

SEE ATTACHMENT ALLIANZ FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ALPS



84-0996383

SEE ATTACHMENT ALPS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

AMERICAN CENTURY INVESTMENTS



44-6006315

SEE ATTACHMENT AMERICAN CENTURY INVESTMENTS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

AMERICAN FUNDS



95-1411037

SEE ATTACHMENT AMERICAN FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ARIEL



31-0721681

SEE ATTACHMENT ARIEL

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ARTIO GLOBAL



13-6174048

SEE ATTACHMENT ARTIO GLOBAL

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ARTISAN



39-1811840

SEE ATTACHMENT ARTISAN

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ASTON



20-4747475

SEE ATTACHMENT ASTON

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

BARON CAPITAL GROUP



13-3122938

SEE ATTACHMENT BARON CAPITAL GROUP

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

BLACKROCK



51-0318674

SEE ATTACHMENT BLACKROCK

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

CALAMOS



36-3316238

SEE ATTACHMENT CALAMOS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

COHEN & STEERS



14-1904657

SEE ATTACHMENT COHEN & STEERS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

COLUMBIA



93-0577450

SEE ATTACHMENT COLUMBIA

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

CROFT



52-1603329

SEE ATTACHMENT CROFT

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

DAVIS FUNDS



52-1346931

SEE ATTACHMENT DAVIS FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

DIAMOND HILL FUNDS



31-6547095

SEE ATTACHMENT DIAMOND HILL FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

DIREXION FUNDS



13-4143904

SEE ATTACHMENT DIREXION FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

DREYFUS



13-5673135

SEE ATTACHMENT DREYFUS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

DRIEHAUS



20-3634295

SEE ATTACHMENT DRIEHAUS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

EATON VANCE



04-2718215

SEE ATTACHMENT EATON VANCE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

FEDERATED



25-1111467

SEE ATTACHMENT FEDERATED

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

FIDELITY INVESTMENTS



06-1194217

SEE ATTACHMENT FIDELITY INVESTMENTS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

FIRST EAGLE



13-3392291

SEE ATTACHMENT FIRST EAGLE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

FIRSTHAND FUNDS



13-2620737

SEE ATTACHMENT FIRSTHAND FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

FMI FUNDS



39-1861095

SEE ATTACHMENT FMI FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

FRANKLIN TEMPLETON INVESTMENTS



94-3167260

SEE ATTACHMENT FRANKLIN TEMPLETON INVESTMENTS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

GABELLI



13-3340139

SEE ATTACHMENT GABELLI

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

GOLDMAN SACHS



13-4019460

SEE ATTACHMENT GOLDMAN SACHS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

GREENSPRING



52-1267740

SEE ATTACHMENT GREENSPRING

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

HARTFORD MUTUAL FUNDS



13-3317783

SEE ATTACHMENT HARTFORD MUTUAL FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

HEARTLAND



39-1572323

SEE ATTACHMENT HEARTLAND

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

HENDERSON GLOBAL



06-1217855

SEE ATTACHMENT HENDERSON GLOBAL

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

HENNESSY



68-0377264

SEE ATTACHMENT HENNESSY

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ICON FUNDS



75-2676133

SEE ATTACHMENT ICON FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ING FUNDS



95-4516049

SEE ATTACHMENT ING FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

INVESCO AIM



76-0528004

SEE ATTACHMENT INVESCO AIM

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

IVY FUNDS



04-6006759

SEE ATTACHMENT IVY FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

JANUS



43-1804048

SEE ATTACHMENT JANUS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

JOHN HANCOCK



04-3483032

SEE ATTACHMENT JOHN HANCOCK

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

JPMORGAN



13-2624428

SEE ATTACHMENT JPMORGAN

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

KEELEY



36-3160361

SEE ATTACHMENT KEELEY

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

KINETICS



13-3878346

SEE ATTACHMENT KINETICS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

LAUDUS FUNDS



94-3106735

SEE ATTACHMENT LAUDUS FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

LAZARD



20-4571006

SEE ATTACHMENT LAZARD

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

MANNING & NAPIER



16-0995736

SEE ATTACHMENT MANNING & NAPIER

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

MATTHEWS ASIA FUNDS



94-3250972

SEE ATTACHMENT MATTHEWS ASIA FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

MOTLEY FOOL



54-1742975

SEE ATTACHMENT MOTLEY FOOL

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

MUHLENKAMP



25-1405412

SEE ATTACHMENT MUHLENKAMP

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

MUNDER



38-3212521

SEE ATTACHMENT MUNDER

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

NAKOMA CAPITAL MANAGEMENT LLC



06-1552709

SEE ATTACHMENT NAKOMA CAPITAL MANAGEMENT LLC

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

NATIXIS FUNDS



04-3200027

SEE ATTACHMENT NATIXIS FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

NUVEEN



36-3817266

SEE ATTACHMENT NUVEEN

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

O'SHAUGHNESSY ASSET MANAGEMENT

6 SUBURBAN AVENUE
STAMFORD CT 6901



SEE ATTACHMENT O'SHAUGHNESSY ASSET MANAGEMENT

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

OAKMARK



04-3276558

SEE ATTACHMENT OAKMARK

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

OPPENHEIMERFUNDS



13-2527171

SEE ATTACHMENT OPPENHEIMERFUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PACIFIC ADVISORS FUNDS



95-4393390

SEE ATTACHMENT PACIFIC ADVISORS FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PARNASSUS



94-6579180

SEE ATTACHMENT PARNASSUS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PERMANENT PORTFOLIO



94-2788165

SEE ATTACHMENT PERMANENT PORTFOLIO

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PERRITT



04-3788672

SEE ATTACHMENT PERRITT

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PIONEER INVESTMENTS



13-5657669

SEE ATTACHMENT PIONEER INVESTMENTS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PRINCIPAL FUNDS



42-1520346

SEE ATTACHMENT PRINCIPAL FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PROFUNDS



52-2035197

SEE ATTACHMENT PROFUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

PRUDENTIAL INVESTMENTS



22-3703799

SEE ATTACHMENT PRUDENTIAL INVESTMENTS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

QUAKER



23-2854612

SEE ATTACHMENT QUAKER

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

RAINIER



91-1457076

SEE ATTACHMENT RAINIER

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

RIDGEWORTH



58-1604573

SEE ATTACHMENT RIDGEWORTH

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

ROYCE



52-2343049

SEE ATTACHMENT ROYCE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

SCHWAB FUNDS



94-3106735

SEE ATTACHMENT SCHWAB FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

SCOUT



43-1270132

SEE ATTACHMENT SCOUT

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

SIT



41-1404829

SEE ATTACHMENT SIT

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

STATE STREET GLOBAL ADVISORS.



42-1704580

SEE ATTACHMENT STATE STREET GLOBAL ADVISORS.

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

T. ROWE PRICE



52-2264646

SEE ATTACHMENT T. ROWE PRICE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

THE WESTPORT FUNDS



06-1087640

SEE ATTACHMENT THE WESTPORT FUNDS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

THE WORLD FUNDS, INC



62-1177243

SEE ATTACHMENT THE WORLD FUNDS, INC

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

THIRD AVENUE



01-0690900

SEE ATTACHMENT THIRD AVENUE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

THORNBURG



85-0301299

SEE ATTACHMENT THORNBURG

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

U.S. GLOBAL INVESTORS



74-1619375

SEE ATTACHMENT U.S. GLOBAL INVESTORS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

VALUE LINE



13-3139843

SEE ATTACHMENT VALUE LINE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

VAN ECK



13-3210061

SEE ATTACHMENT VAN ECK

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

VIRTUS



95-4191764

SEE ATTACHMENT VIRTUS

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

WASATCH



87-0319391

SEE ATTACHMENT WASATCH

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

WESTCORE



84-1284659

SEE ATTACHMENT WESTCORE

 
(a) Enter service provider name as it appears on line 2 (b) Service Codes
(see instructions)
(c) Enter amount of indirect
compensation

CHARLES SCHWAB & CO., INC.


59


0

(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.

WILMINGTON MUTUAL FUNDS



51-0055023

SEE ATTACHMENT WILMINGTON MUTUAL FUNDS

 
 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
Codes
(c) Describe the information that the service provider failed or refused to
provide










 
 Part III       Termination Information on Accountants and Enrolled Actuaries (see instructions) 
     (complete as many entries as needed)
(a) Name   (b) EIN  
(c) Position  
(d) Address   (e) Telephone  
Explanation  
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500.    v11.3 Schedule C (Form 5500) 2010

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 the calendar plan year 2010 or fiscal plan year beginning January 01, 2010, and ending December 31, 2010
A   Name of plan or DFE
HITACHI EMPLOYEE 401(K) RETIREMENT PLAN
 B  Three-digit
plan number (PN)
002
C   Plan sponsor's name as shown on line 2a of Form 5500
HITACHI AMERICA LTD
 D  Employer Identification Number (EIN)
13-1896069
 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 103-12IE  INTERMEDIATE BOND FUND
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE BANK
(c) EIN-PN 30-022449600-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $56,640,386 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  EQUITY INDEX FUND I
(b) Name of sponsor of entity listed in (a)  BLACKROCK GLOBAL INVESTOR
(c) EIN-PN 94-338430900-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $52,448,709 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  US DEBT EQUITY FUND D
(b) Name of sponsor of entity listed in (a)  BLACKROCK GLOBAL INVESTOR
(c) EIN-PN 94-338006700-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $33,694,297 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  EAFE EQUITY INDEX FUND D
(b) Name of sponsor of entity listed in (a)  BLACKROCK GLOBAL INVESTOR
(c) EIN-PN 94-338037800-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $27,289,748 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  EXTENDED EQUITY MARKET FUND D
(b) Name of sponsor of entity listed in (a)  BLACKROCK GLOBAL INVESTOR
(c) EIN-PN 94-340556500-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $26,036,085 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  LIQUIDITY FUND
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE BANK
(c) EIN-PN 13-628505500-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $14,048,317 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT 2025
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-581909800-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $11,920,896 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT 2020
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-306335900-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $10,929,708 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT 2030
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-306338700-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $9,432,699 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT 2035
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-581918100-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $8,860,338 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT 2015
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-306332100-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $7,184,180 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT 2040
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-306344000-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $5,668,198 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT 2045
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-581938800-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $4,982,438 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIRMENT 2010
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-306326100-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $3,055,562 
 
(a) Name of MTIA, CCT, PSA, or 103-12IE  SMARTRETIREMENT INCOME
(b) Name of sponsor of entity listed in (a)  JPMORGAN CHASE
(c) EIN-PN 20-306349000-001 (d) Entity
Code
 C  (e) Dollar value of interest in MTIA, CCT, PSA, or
103-12IE at end of year (see instructions)
 $1,618,207 
 
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. Schedule D (Form 5500) 2010
v.092308.1
 Part II       Information on Participating Plans (to be completed by DFEs) 
     (complete as many entries as needed to report all participating plans)

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 the calendar plan year 2010 or fiscal plan year beginning January 01, 2010, and ending December 31, 2010
A   Name of plan
HITACHI EMPLOYEE 401(K) RETIREMENT PLAN
 B  Three-digit
plan number (PN)
   002   
C   Plan sponsor's name as shown on line 2a of Form 5500
 HITACHI AMERICA LTD 
 D  Employer Identification Number (EIN)
 13-1896069 
 
 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       
 b  Receivables (less allowance for doubtful accounts):
  (1) Employer contributions  1b(1)   $6,091,681   $7,348,868 
  (2) Participant contributions  1b(2)   $271,678   $809,895 
  (3) Other  1b(3)       
 c  General investments:
  (1) Interest-bearing cash (incl money market accounts & certificates of deposit)  1c(1)       
  (2) U.S. Government securities  1c(2)   $227,138    
  (3) Corporate debt instruments (other than employer securities):
      (A) Preferred  1c(3)(A)       
      (B) All other  1c(3)(B)       
  (4) Corporate stocks (other than employer securities):
      (A) Preferred  1c(4)(A)       
      (B) Common  1c(4)(B)       
  (5) Partnership/joint venture interests  1c(5)       
  (6) Real Estate (other than employer real property)  1c(6)       
  (7) Loans (other than to participants)  1c(7)       
  (8) Participant loans  1c(8)   $8,599,089   $9,915,345 
  (9) Value of interest in common/collective trusts  1c(9)   $223,807,314   $273,809,768 
  (10) Value of interest in pooled separate accounts  1c(10)       
  (11) Value of interest in master trust investment accounts  1c(11)       
  (12) Value of interest in 103-12 investment entities  1c(12)       
  (13) Value of interest in registered investment companies (e.g., mutual funds)  1c(13)   $165,011,752   $194,896,709 
  (14) Value of funds held in insurance co. general account (unallocated contracts)            1c(14)      $6,782 
  (15) Other  1c(15)   $10,660,792   $13,552,198 
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. Schedule H (Form 5500) 2010
v.092308.1
 1d  Employer-related investments:  (a) Beginning of Year   (b) End of Year 
  (1) Employer securities  1d(1)      $71,276 
  (2) Employer real property  1d(2)       
 e  Buildings and other property used in plan operation  1e       
 f  Total assets (add all amounts in lines 1a through 1e)  1f   $414,669,444   $500,410,841 
  Liabilities
 g  Benefit claims payable  1g       
 h  Operating payables  1h      $189,511 
 i  Acquisition indebtedness  1i       
 j  Other liabilities  1j       
 k  Total liabilities (add all amounts in lines 1g through 1j)  1k      $189,511 
  Net Assets
 l  Net assets (subtract line 1k from line 1f)  1l   $414,669,444   $500,221,330 
 
 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  a2(1)(A)   $19,915,524 
      (B) Participants  2a(1)(B)   $34,895,119 
      (C) Others (including rollovers)  2a(1)(C)   $1,586,231 
  (2) Noncash contributions  2a(2)    
  (3) Total contributions. Add lines 2a(1)(A), (B), (C), and line 2a(2)  2a(3)   $56,396,874 
 b  Earnings on investments:
  (1) Interest:
      (A) Interest-bearing cash (including money market accounts and certificates of deposit)  2b(1)(A)    
      (B) U.S. Government securities  2b(1)(B)   $3,397 
      (C) Corporate debt instruments  2b(1)(C)    
      (D) Loans (other than to participants)  2b(1)(D)    
      (E) Participant loans  2b(1)(E)   $462,056 
      (F) Other  2b(1)(F)    
      (G) Total interest. Add lines 2b(1)(A) through (F)  2b(1)(G)   $465,453 
  (2) Dividends    (A) Preferred stock  2b(2)(A)    
      (B) Common stock  2b(2)(B)   $899 
      (C) Registered investment company shares (e.g. mutual funds)  2b(2)(C)   $4,064,680 
      (D) Total dividends. Add lines 2b(2)(A), (B) and (C)  2b(2)(D)   $4,065,579 
  (3) Rents  2b(3)    
  (4) Net gain (loss) on sale of assests:    (A) Aggregate proceeds  2b(4)(A)   $244,195 
      (B) Aggregate carrying amount (see instructions)  2b(4)(B)   $243,972 
      (C) Subtract line 2b(4)(B) from line 2b(4)(A)  2b(4)(C)   $223 
  (5) Unrealized appreciation (depreciation) of assets:    (A) Real Estate  2b(5)(A)    
      (B) Other  2b(5)(B)   $15,118 
      (C) Total unrealized appreciation of assets. Add lines 2b(5)(A) and (B)  2b(5)(C)   $15,118 
  (6) Net investment gain (loss) from common/collective trusts  2b(6)   $28,660,355 
  (7) Net investment gain (loss) from pooled separate accounts  2b(7)    
  (8) Net investment gain (loss) from master trust investment accounts  2b(8)    
  (9) Net investment gain (loss) from 103-12 investment entities  2b(9)    
  (10) Net investment gain (loss) from registered investment companies (e.g., mutual funds)  2b(10)   $21,841,098 
 c  Other Income  2c   $1,373,764 
 d  Total income. Add all income amounts in column (b) and enter total  2d   $112,818,464 
  Expenses
 e  Benefit payment and payments to provide benefits:
  (1) Directly to participants or beneficiaries, including direct rollovers  2e(1)   $26,445,449 
  (2) To insurance carriers for the provision of benefits  2e(2)    
  (3) Other  2e(3)    
  (4) Total benefit payments. Add lines 2e(1) through (3)  2e(4)   $26,445,449 
 f  Corrective distributions (see instructions)  2f   $31,854 
 g  Certain deemed distributions of participant loans (see instructions)  2g   $17,263 
 h  Interest expense  2h    
 i  Administrative expenses:    (1) Professional fees  2i(1)    
  (2) Contract administrator fees  2i(2)    
  (3) Investment advisory and management fees  2i(3)   $740,112 
  (4) Other  2i(4)   $31,900 
  (5) Total administrative expenses. Add lines 2i(1) through (4)  2i(5)   $772,012 
 j  Total expenses. Add all expense amounts in column (b) and enter total  2j   $27,266,578 
  Net Income and Reconciliation
 k  Net income (loss) (subtract line 2j from line 2d)  2k   $85,551,886 
 l  Transfers of assets
  (1) To this plan  2l(1)    
  (2) From this plan  2l(2)    
 
 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)  Unqualified (2)  Qualified (3)  Disclaimer (4)  Adverse
 b  Did the accountant perform a limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)?    Yes       No 
 c  Enter the name and EIN of the accountant (or accounting firm) below:
 (1) Name: MAYER HOFFMAN MCCANN P.C.   (2) EIN: 43-1947695  
 d  The opinion of an independent qualified public accountant is not attached because:
(1)  This form is filed for a CCT, PSA, or MTIA.   (2)  It will be attached to the next Form 5500 pursuant to 29 CFR 2520.104-50.
 
 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     Yes     No   $121,450 
 b  Were any loans by the plan or fixed income obligations due the plan in default as of the close of 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     Yes     No    
 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     Yes     No    
 d  Did the plan engage in any nonexempt transaction 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     Yes     No    
 e  Was this plan covered by a fidelity bond?  4e     Yes     No   $500,000 
 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     Yes     No    
 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     Yes     No    
 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     Yes     No    
 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     Yes     No 
 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     Yes     No 
 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     Yes     No 
 l  Has the plan failed to provide any benefit when due under the plan?  4l     Yes     No    
 m  If this is an individual account plan, was there a blackout period? (See instructions and 29 CFR 2520.101-3.)  4m     Yes     No 
 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     Yes     No 
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
  Yes       No      Amount: 
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)
           
           
           
           

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 sections 104 and 4065 of the
Employee Retirement 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 the calendar plan year 2010 or fiscal plan year beginning January 01, 2010 and ending December 31, 2010
A   Name of plan
HITACHI EMPLOYEE 401(K) RETIREMENT PLAN
 B  Three-digit
plan number (PN)
002
C   Plan sponsor's name as shown on line 2a of Form 5500
HITACHI AMERICA LTD
 D  Employer Identification Number (EIN)
13-1896069
 Part I         Distributions
All references to distributions relate only to payments of benefits during the plan year.
Total value of distributions paid in property other than in cash or the forms of property specified in the
instructions



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): 43-6389220  
Profit-sharing plans, ESOPs, and stock bonus plans, skip line 3.
Number of participants (living or deceased) whose benefits were distributed in a single sum, during the plan year


 Part II        Funding Information (If the plan is not subject to the minimum funding requirements of section 412 of the Internal Revenue Code or
     ERISA section 302, skip this Part)
Is the plan administrator making an election under Code section 412(d)(2) or ERISA section 302(d)(2)?
If the plan is a defined benefit plan, go to line 8.
Yes No N/A
If a waiver of the minimum funding standard for a prior plan year is being amortized in this
plan year, see instructions, and enter the date of the ruling letter granting the waiver. Date: 
If you completed line 5, complete lines 3, 9, and 10 of Schedule MB and do not complete the remainder of this schedule.
a  Enter the minimum required contribution for this plan year  6a
b  Enter the amount contributed by the employer to the plan for this plan year  6b

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
If you completed line 6c, skip lines 8 and 9
Will the minimum funding amount reported on line 6c be met by the funding deadline? Yes No N/A
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? Yes No N/A
 Part III       Amendments
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
Increase     Decrease     Both     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? Yes No
11  a  Does the ESOP hold any preferred stock? Yes 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.) Yes No
12  Does the ESOP hold any stock that is not readily tradable on an established securities market? Yes No
For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. Schedule R (Form 5500) 2010
v.092308.1
 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.
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
b  The plan year immediately preceding the current plan year  14b

c  The second preceding plan year  14c
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
b  The corresponding number for the second preceding plan year  15b
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
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
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
information to be included as an attachment.
 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
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:
        0-3 years         3-6 years         6-9 years         9-12 years         12-15 years         15-18 years         18-21 years         21 years or more

c  What duration measure was used to calculate item 19(b)?
        Effective duration         Macaulay duration         Modified duration         Other (specify):     

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