John Hancock Funds Inc.
101 Huntington Ave., Boston, MA 02199; phone: (800) 552-5830; fax: (617) 375-6289;
www.jhfunds.com
RECORD-KEEPING
Total DC assets record kept ($ millions) 1,747
For plans with:
Fewer than 100 employees 535
100-499 employees 518
500-999 employees 378
1,000-4,999 employees 303
10,000-24,999 employees 13
DC clients:
Corporate 401(k) 1,251
457 25
403(b) 95
Percentage of assets under record keeping in:
Proprietary investments 66%
Outside investments 13%
Self-directed brokerage/funds window 8%
Company stock 2%
Other 11%
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
Foreign-language materialsSERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET
Enrollment - v-o-i
Contribution rate change - o
Investment election change - v-o-i
Transfer request - v-o-i
Loan request/note preparation - o
Rollovers - v-o-i
QDROs form request - v-o-i
Distribution - v-o-i
Hardship withdrawal - v-o-i
Address change - o
Questions on employee statement - v-o-i
Questions on distributions - v-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 2,015
Internally managed DC assets 1,600
In-house investment management services are provided through:
Mutual funds
Stable value/GIC
STAFFING:
Record-keeping operations 76
Compliance/testing/plan design 16
Information technology 8
Investment analysis/due diligence 16
Dedicated conversion/installation 30
Relationship managers 6
Enrollment specialists 10
Education/communication consultants 12
John Hancock Funds Inc. offers the following fund families through its fund alliance structure:
AIM, American Century, Calvert, Fidelity Advisor, Franklin Templeton, Gabelli, Janus, Kobrick, NVEST, Oakmark and T. Rowe Price.
Dale Bearden is client contact.
Hewitt Associates LLC
100 Half Day Road, Lincolnshire, IL 60069; phone: (847) 295-5000; fax: (847) 883-9019; hewitt.com
RECORD-KEEPING
Total DC assets record kept ($ millions) 180,000
DC clients:
Corporate 401(k) 160
Percentage of assets under record keeping in:
Outside investments 100%
SERVICES PROVIDED:
Discrimination testing
Form 5500
1099s
State/federal tax withholding
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
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 - o
Address change - v-o-i
Questions on employee statement - o
Questions on distributions - o
Investment information - v-o-i
Prospectus/statement requests - v-o-i
Daily valuation - v-o-i
Tim Murphy is client contact.
