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October 02, 2000 01:00 AM

[G] Directory: Defined Contribution

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    Gabelli Asset Management

    1 Corporate Center, Rye, NY 10580; phone: (914) 921-5000; fax: (914) 921-5060; www.gabelli.com

    RECORD-KEEPING

    Total DC assets record kept ($ millions) 17,367

    For plans with:

    Fewer than 100 employees 5,451

    100-499 employees 11,916

    DC clients:

    Corporate 401(k) 12

    Percentage of assets under record keeping in:

    Proprietary investments 100%

    SERVICES PROVIDED:

    Discrimination testing

    Form 5500

    1099s

    State/federal tax withholding

    Prototype plan document

    Plan design

    Customized plan documents

    Summary plan descriptions

    404(c) compliance

    Ongoing plan compliance

    Investment policy preparation

    Standardized education print materials

    Standardized communications

    Customized communications

    Fund information

    Investment performance

    Finance/retirement planning materials

    Investment advice

    Employee meetings

    Employee one-on-one meetings

    SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET

    Enrollment - v-o

    Contribution rate change - v-o

    Investment election change - v-o

    Transfer request - v-o

    Loan request/note preparation - o

    Rollovers - o

    QDROs form request - o

    Distribution - o

    Hardship withdrawal - o

    Address change - o

    Questions on employee statement - o

    Questions on distributions - o

    Investment information - v-o-i

    Prospectus/statement requests - v-o-i

    Daily valuation - v-o

    INVESTMENT MANAGEMENT:

    Assets under management ($ millions):

    Total DC assets managed 1,679

    Internally managed DC assets 1,679

    In-house investment management services are provided through:

    Mutual funds

    Separate accounts

    STAFFING:

    Record-keeping operations 71

    Compliance/testing/plan design 38

    Information technology 59

    Investment analysis/due diligence 6

    Dedicated conversion/installation 20

    Relationship managers 2

    Douglas R. Jamieson is client contact.

    Gallagher Benefit Services of Michigan Inc.

    2800 Livernois, Suite 450, P.O. Box 7007, Troy, MI 48007-7007; phone: (248) 528-6630; fax: (248) 457-8414; www.gbsmi.com

    RECORD-KEEPING

    Total DC assets record kept ($ millions) 675

    DC clients:

    Corporate 401(k) 277

    Other 401(k) 50

    457 25

    403(b) 15

    Other DC 50

    SERVICES PROVIDED:

    Discrimination testing

    Form 5500

    1099s

    State/federal tax withholding

    Prototype plan document

    Plan design

    Customized plan documents

    Summary plan descriptions

    404(c) compliance

    Ongoing plan compliance

    Investment policy preparation

    Standardized education print materials

    Customized education print materials

    Standardized communications

    Customized communications

    Fund information

    Investment performance

    Finance/retirement planning materials

    Investment advice

    Employee meetings

    Employee one-on-one meetings

    SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET

    Enrollment - o

    Contribution rate change - v-o-i

    Investment election change - v-o-i

    Transfer request - v-o-i

    Loan request/note preparation - o

    Rollovers - o

    QDROs form request - o

    Distribution - o

    Hardship withdrawal - o

    Address change - v-o-i

    Questions on employee statement - v-o-i

    Questions on distributions - v-o-i

    Investment information - v-o-i

    Prospectus/statement requests - o

    Daily valuation - v-o-i

    STAFFING:

    Record-keeping operations 23

    Compliance/testing/plan design 1

    Information technology 3

    Investment analysis/due diligence 10

    Dedicated conversion/installation 4

    Relationship managers 9

    Enrollment specialists 10

    Education/communication consultants 10

    Craig C. Arnold is client contact.

    GE Retirement Services

    777 Long Ridge Road, Building B, Stamford, CT 06927; phone: (203) 585-5325; fax: (203) 585-5008; www.ge.com/mutualfunds

    RECORD-KEEPING

    Total DC assets record kept ($ millions) 33,609

    For plans with:

    Fewer than 100 employees 5

    100-499 employees 133

    500-999 employees 162

    1,000-4,999 employees 549

    5,000-9,999 employees 554

    10,000-24,999 employees 276

    More than 25,000 employees 31,930

    DC clients:

    Corporate 401(k) 36

    Other DC 3

    Percentage of assets under record keeping in:

    Proprietary investments 20.3%

    Outside investments 1.4%

    Company stock 78.2%

    Other 0.1%

    SERVICES PROVIDED:

    Discrimination testing

    Form 5500

    1099s

    State/federal tax withholding

    Plan design

    404(c) compliance

    Ongoing plan compliance

    Investment policy preparation

    Standardized education print materials

    Customized education print materials

    Standardized communications

    Customized communications

    Fund information

    Investment performance

    Finance/retirement planning materials

    Investment advice

    Employee meetings

    Employee one-on-one meetings

    Foreign-language materials

    SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET

    Enrollment - v-o-i

    Contribution rate change - v-o-i

    Investment election change - v-o-i

    Transfer request - v-o-i

    Loan request/note preparation - v-o-i

    Rollovers - v-o-i

    QDROs form request - v-o-i

    Distribution - v-o-i

    Hardship withdrawal - v-o-i

    Questions on employee statement - o

    Questions on distributions - o-i

    Investment information - v-o-i

    Prospectus/statement requests - v-o-i

    Daily valuation - v-o-i

    INVESTMENT MANAGEMENT:

    Assets under management ($ millions):

    Total DC assets managed 7,756

    Internally managed DC assets 7,186

    In-house investment management services are provided through:

    Mutual funds

    Separate accounts

    Commingled funds

    Stable value/GIC

    GE Retirement Services offers the following fund families through its fund alliance structure:

    BlackRock, Domini, INVESCO, MAS, Montgomery, Morgan Stanley, Nicholas-Applegate, Phoenix, PIMCO, Prudential/Jennison, Royce and State Street Global.

    Jack Boyce is client contact.

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