Ascensus’ forms and documents are constantly monitored to accommodate changes brought about by new tax laws and, equally important, to respond to your requests and needs. This Forms Checklist provides you with the date of the most current version of the designated form or document. Versions which are technically inaccurate because of subsequent law changes or IRS pronouncements are listed in the column entitled “Obsolete Version.” If no date appears in the obsolete column, all existing versions may be used and so, the current version of preprinted forms are generally available upon the depletion of existing inventory supplies. This checklist will be updated periodically.
If you need assistance or would like to update your forms inventory, contact a Customer Service Representative at 800-346-3860, option 2, suboption 1.
PROFIT SHARING and MONEY PURCHASE PENSION – PROTOTYPE
| No. | Name | Current Version | Obsolete Version |
| PPA 01 – QRP | |||
| 4200 | Basic Plan Document 01 | 4/2014 |  |
| ADOPTION AGREEMENTS | |||
| 4210 | Super Simplified Profit Sharing Standardized | 4/2014 | |
| 4211 | Super Simplified Money Purchase Pension Standardized | 4/2014 | |
| 4220 | Simplified Profit Sharing Standardized | 4/2014 | |
| 4221 | Simplified Money Purchase Pension Standardized | 4/2014 | |
| 4223 | Simplified Profit Sharing Nonstandardized | 4/2014 | |
| 4224 | Simplified Money Purchase Pension Nonstandardized | 4/2014 | |
| 4230 | Flexible Profit Sharing Standardized | 4/2014 | |
| 4231 | Flexible Money Purchase Pension Standardized | 4/2014 | |
| 4233 | Flexible Profit Sharing Nonstandardized | 4/2014 | |
| 4234 | Flexible Money Purchase Pension Nonstandardized | 4/2014 | |
| 4240 | Comprehensive Profit Sharing Standardized | 4/2014 | |
| 4241 | Comprehensive Money Purchase Pension Standardized | 4/2014 | |
| 4243 | Comprehensive Profit Sharing Nonstandardized | 4/2014 | |
| 4244 | Comprehensive Money Purchase Pension Nonstandardized | 4/2014 | |
| SUMMARY PLAN DESCRIPTIONS | |||
| 4210-SD | Super Simplified Profit Sharing Standardized | 4/2014 |   |
| 4211-SD | Super Simplified Money Purchase Pension Standardized | 4/2014 | |
| 4220-SD | Simplified Profit Sharing Standardized | 4/2014 | |
| 4221-SD | Simplified Money Purchase Pension Standardized | 4/2014 | |
| 4223-SD | Simplified Profit Sharing Nonstandardized | 4/2014 | |
| 4224-SD | Simplified Money Purchase Pension Nonstandardized | 4/2014 | |
| 4230-SD | Flexible Profit Sharing Standardized | 4/2014 | |
| 4231-SD | Flexible Money Purchase Pension Standardized | 4/2014 | |
| 4233-SD | Flexible Profit Sharing Nonstandardized | 4/2014 | |
| 4234-SD | Flexible Money Purchase Pension Nonstandardized | 4/2014 | |
| 4240-SD | Comprehensive Profit Sharing Standardized | 4/2014 | |
| 4241-SD | Comprehensive Money Purchase Pension Standardized | 4/2014 | |
| 4243-SD | Comprehensive Profit Sharing Nonstandardized | 4/2014 | |
| 4244-SD | Comprehensive Money Purchase Pension Nonstandardized | 4/2014 | |
| Key | |
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Amendments are required to be used in conjunction with this, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
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SMMs may be required to be used in conjunction with these SPDs, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
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May require Loan, 404(c) Information Sheets and/or Fee Disclosure, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
401(k) – PROTOTYPE
| No. | Name | Current Version | Obsolete Version |
| PPA 01 – QRP | |||
| 4200 | Basic Plan Document 01 | 4/2014 | |
| ADOPTION AGREEMENTS | |||
| 4212 | Super Simplified Individual 401(k) Profit Sharing Standardized | 4/2014 | |
| 4222 | Simplified 401(k) Profit Sharing Standardized | 4/2014 | |
| 4225 | Simplified 401(k) Profit Sharing Nonstandardized | 4/2014 | |
| 4232 | Flexible 401(k) Profit Sharing Standardized | 4/2014 | |
| 4235 | Flexible 401(k) Profit Sharing Nonstandardized | 4/2014 | |
| 4242 | Comprehensive 401(k) Profit Sharing Standardized | 4/2014 | |
| 4245 | Comprehensive 401(k) Profit Sharing Nonstandardized | 4/2014 | |
| SUMMARY PLAN DESCRIPTIONS | |||
| 4212-SD | Super Simplified Individual 401(k) Profit Sharing Standardized | 4/2014 | |
| 4222-SD | Simplified 401(k) Profit Sharing Standardized | 4/2014 | |
| 4225-SD | Simplified 401(k) Profit Sharing Nonstandardized | 4/2014 | |
| 4232-SD | Flexible 401(k) Profit Sharing Standardized | 4/2014 | |
| 4235-SD | Flexible 401(k) Profit Sharing Nonstandardized | 4/2014 | |
| 4242-SD | Comprehensive 401(k) Profit Sharing Standardized | 4/2014 | |
| 4245-SD | Comprehensive 401(k) Profit Sharing Nonstandardized | 4/2014 | |
| PPA 02 – INDIVIDUAL(k) | |||
| 4300 | Basic Plan Document 02 – Individual 401(k) | 4/2014 | |
| 4312 | Adoption Agreement | 4/2014 | |
| 4312-SD | Summary Plan Description | 4/2014 | |
| Key | |
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Amendments are required to be used in conjunction with this, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
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SMMs may be required to be used in conjunction with these SPDs, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
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Requires Loan and/or 404(c) Information Sheets, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
VOLUME SUBMITTER
| No. | Name | Current Version | Obsolete Version |
| 4400 | Basic Plan Document – Volume Submitter | 4/2014 | |
| ADOPTION AGREEMENTS | |||
| 4442 | Volume Submitter 401(k) Profit Sharing | 4/2014 | |
| 4441 | Volume Submitter Money Purchase Pension | 4/2014 | |
| SUMMARY PLAN DESCRIPTIONS | |||
| 4442-SD | Volume Submitter 401(k) Profit Sharing | 4/2014 | |
| 4441-SD | Volume Submitter Money Purchase Pension | 4/2014 | |
| Key | |
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Amendments are required to be used in conjunction with this, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
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SMMs may be required to be used in conjunction with these SPDs, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
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Requires Loan and/or 404(c) Information Sheets, each as applicable. Refer to your QRP Supplemental Forms and Instructions materials for more information. |
ANCILLARY FORMS
| Unless noted otherwise, these ancillary forms can generally be used with all Ascensus prototype and volume submitter plan documents. | |||
| No. | Name | Current Version | Obsolete Version |
| 203 | QRP Deposit Form | 8/2001 | Any prior version |
| 208 | QRP Employee Data Worksheet | 1/2002 | Any prior to 8/2001 |
| 221 | QRP and 403(b) Loan Kit | 3/2014 | Any prior to 8/2001  |
| 222 | QRP Transfer Request | 1/2002 | Any prior to 8/2001 |
| 223 | QRP Withholding Reminder Notice | 8/2001 | Any prior version |
| 235 | QRP Certification for Late Rollover Contribution | 10/2016 | |
| 237 | QRP Plan Administrator’s Guide | 10/2016 | Any prior to 10/2015 |
| 270-C | Participant Notice – 401(k) Safe Harbor (Comprehensive) | 4/2014 | Any prior version |
| 270-F | Participant Notice – 401(k) Safe Harbor (Flexible) | 4/2014 | Any prior version |
| 270-S | Participant Notice – 401(k) Safe Harbor (Simplified) | 4/2014 | Any prior version |
| 270-C | Participant Notice – 401(k) Safe Harbor (Comprehensive) | 4/2014 | Any prior version |
| 270pa-F | Participant Notice – 401(k) Safe Harbor (Flexible) | 4/2014 | Any prior version |
| 270pa-S | Participant Notice – 401(k) Safe Harbor (Simplified) | 4/2014 | Any prior version |
| 271 | 401(k) Safe Harbor Contribution Reduction/Elimination Form | 9/2016 | Any prior version |
| 272AEN-C | Participant Notice – ACA (Comprehensive) | 11/2016 | Any prior to 4/2014 |
| 272AEN-F | Participant Notice – ACA (Flexible) | 11/2016 | Any prior to 4/2014 |
| 272AEN-S | Participant Notice – ACA (Simplified) | 11/2016 | Any prior to 4/2014 |
| 272EACA-C | Participant Notice – EACA (Comprehensive) | 11/2016 | Any prior to 4/2014 |
| 272EACA-F | Participant Notice – EACA (Flexible) | 11/2016 | Any prior to 4/2014 |
| 272EACA-S | Participant Notice – EACA (Simplified) | 11/2016 | Any prior to 4/2014 |
| 272QACA-C | Participant Notice – QACA (Comprehensive) | 11/2016 | Any prior to 4/2014 |
| 272QACA-F | Participant Notice – QACA (Flexible) | 11/2016 | Any prior to 4/2014 |
| 272QACA-S | Participant Notice – QACA (Simplified) | 11/2016 | Any prior to 4/2014 |
| 279 | 401(k) Plan Administrator’s Guide | 10/2016 | Any prior to 10/2015 |
| 281 | QRP Notice to Interested Parties | 1/2013 | Any prior version |
| 285 | Notice of Plan Blackout Period | 11/2009 | |
| 481 | QRP Designation of Beneficiary | 4/2010 | Any prior version |
| 482 | QRP Distribution Notice | 10/2018 | Any prior to 7/2018  |
| 482-AR | Automatic Rollover Notice | 8/2012 | |
| 485 | QRP Beneficiary Distribution Election | 10/2006 | Any prior version |
| 486 | QRP Application for Distribution | 3/2016 | Any prior to 4/2010 |
| 488 | QRP Rollover Certification | 4/2006 | Any prior version |
| 493 | QRP Direct Rollover Request | 3/2014 | |
| 529 | Notice of Right to Diversify Employer Securities | 1/2008 | Recommend current version |
| 530 | Designation of Successor Plan Administrator/Trustee | 1/2012 | |
| 760 | ERISA Section 404(c) Employee Investment Handbook | 10/2015 | |
| 761 | ERISA Section 404(c) Employer Guidelines | 6/2012 | |
| 762 | ERISA Section 404(c) Employee Information Sheet | 4/2014 | |
| 763 | Notice of Default Investments | 9/2011 | |
| 764 | Participant Fee Disclosure and 404(c) Employee Information Sheet | 3/2012 | |
| 4023 | SIMPLE 401(k) Contribution Notice | 8/2004 | |
| 6487 | 401(k)/403(b) Direct In-Plan Roth Rollover Request | 5/2011 | |
| 8270-PS | Cross-Tested Trustee Contribution Notice | 2/2008 | |
| SCBR.ER | Prototype Sample Corporate Board Resolution (for amendments) | 1/2008 | |
| SCBR.PPS | Prototype Sample Corporate Board Resolution (for amendments) | 1/2011 | |
| VSSCBR.ER | Volume Submitter Sample Corporate Board Resolution (for amendments) | 7/2008 | |
| VSSCBR.P | Volume Submitter Sample Corporate Board Resolution (for amendments) | 11/2011 | |
| Key | |
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A truth in lending disclosure may be required for use with nonAscensus plan documents. |
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Only available via custom print or electronically. |
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The prior version forms should be used with caution, particularly if a plan participant is rolling plan assets into a SIMPLE IRA. |