Exhibit 10.9




Exhibit 10.9



			
	Automatic Data Processing
	 	Standardized 401(k) Adoption 
	Prototype 401(k) and Profit Sharing Plan
	 	Agreement 






(002)




Upon acceptance by the Trustee, the undersigned company
adopts the Automatic Data Processing
Prototype 401(k) and Profit Sharing Plan (the “Plan”) incorporated by this reference, agrees to
the terms of the Plan, certifies the accuracy of the following information, and makes the following
elections under the Plan:





	I.	 	COMPANY AND PLAN REGISTRATION INFORMATION
	 
	 	 	Note: All Affiliates as defined in Article I of the basic Plan document who adopt this Plan must be
indicated on the last page of this Agreement.






	 	A.	 	Company Information. Complete this item based on the lead Employer.






	 	1.	 	Name and address of Company:




La Jolla Pharmaceutical


4365 Executive Dr., Suite 300


San
Diego, CA 92121.




	 	2.	 	Telephone number: (858) 646-6644.
	 
	 	3.	 	Type of entity (choose one):





	 	 	 
	o Sole Proprietorship

	 	o Partnership
	þ Corporation

	 	o S Corporation
	o Tax Exempt

	 	o Indian Tribe
	o Limited Liability Company

	 	o Limited Liability Partnership
	o State or Local Government

	 	o
Other (specify) ______________







	 	4.	 	Date of incorporation or date business began: 05/01/1989.
	 
	 	5.	 	Employer Identification Number: 33 - 0361285.






	 	B.	 	Plan Information






	 	1.	 	Name of Plan: La Jolla Pharmaceutical Retirement Savings Plan.
	 
	 	2.	 	Plan Number: 002.
	 
	 	3.	 	Original Effective Date of this Plan: 09/01/2010.
	 
	 	4.	 	a. o If applicable, the Effective Date of this amendment and restatement: ___/___/___.
	 
	 	 	 	b. o EGTRRA RESTATEMENT (for plans that are current clients of the Prototype Sponsor restating
for EGTRRA): This is an amendment and restatement designed to bring the Plan into compliance with
the Economic Growth and Tax Relief Reconciliation Act of 2001 (“EGTRRA”) and other legal
requirements. The Effective Date of this amendment and restatement shall be the first day of the
month following the date on which this amendment and restatement is executed; provided that if this
amendment and restatement is executed in the last month of the EGTRRA restatement adoption period
established by the Internal Revenue Service for preapproved plans, the effective date of this
amendment and restatement shall be the last day of said EGTRRA restatement adoption period.






	 	C.	 	Plan Administration






	 	1.	 	Plan Year (Plan Article I) means the calendar year.


If applicable, there will be a short Plan Year commencing on 09/01/2010 and ending on 12/31/2010.
	 
	 	2.	 	Limitation Year means the Plan Year, unless otherwise specified here: ___/___/___.







	 	 	 
	I.A.	 	Fill in exact legal name, and complete identifying information.
	 
	State or Local Government option is only available to permissibly grandfathered entities.
	 
	“Other” must be a legal entity recognized under federal income tax laws.
	 
	I.B.1.	 	For example, ABC, Inc. 401(k) Plan.
	 
	I.B.2.	 	Use plan number which is to be used for IRS reporting purposes, such as Form 5500, and Form
1099-R. For example, the first qualified retirement plan for the Company should be 001.
	 
	I.B.3.	 	Complete this item for ALL Plans. Fill in the date the provisions of this Plan first
become/became applicable. May not be earlier than the first day of the first plan year.
	 
	I.B.4.	 	Always complete this item for amended and restated Plans.
Date entered in I.B.4.a. may not be
earlier than the first day of the plan year in which restatement is executed, except as otherwise
permitted under the Code or IRS guidance. I.B.4.b may only be selected by Plans that are current
clients of the Prototype Sponsor who are restating for EGTRRA.
	 
	I.C.1.	 	Complete this item only for:





	 	a.	 	amended and restated Plan with an existing non-calendar year Plan Year; or
	 
	 	b.	 	newly established safe harbor Plan with an effective date other than 1/1; or
	 
	 	c.	 	newly established Plan
started in the year the business is established.







	 	 	 
	I.C.2.	 	Complete this item only if (a) the Company or its Affiliates have any other tax-qualified plans,
AND, (b) the limitation year of the other plan(s) is not the calendar year.



 


 









 






	II.	 	ELIGIBILITY AND PARTICIPATION REQUIREMENTS






	 	A.	 	Eligible Employees (Plan Article I)


Choose one:






	 	1.	þ	All Employees of an Employer are eligible to participate in the Plan.
	 
	 	2.	o	All Employees of an Employer are eligible to participate in the Plan, except

 (choose as desired):






	 	a.	o	Employees included in a bargaining unit covered by a collective bargaining
agreement with the Employer in the negotiation of which retirement benefits were the subject of
good faith bargaining (unless the bargaining agreement provides for participation in the Plan).
	 
	 	 	 	 

	 
	 	 	 	 

	 
	 	b.	o	Employees not required to be taken into account for nondiscrimination
testing purposes under Code Section 410(b)(6)(C), but only during the Code § 410(b)(6)(C)
transition period.






	 	B.	 	Minimum Age for Participation (Plan Section 2.1.1(a))



Choose one:






	 	1.	o	No minimum age requirement.
	 
	 	2.	þ	After reaching age 21 (not to exceed 21).






	 	C.	 	Minimum Service for Participation (Plan
Section 2.1.1(b))


Choose one:






	 	1.	o	No minimum service requirement.
	 
	 	2.	þ	After completing one Year of Eligibility Service.
	 
	 	3.	o	After completing ______ (not to exceed 6) Months of Service.






	III.	 	COMPENSATION






	 	A.	 	For an Employee’s first year of participation, Compensation shall be recognized for purposes of
allocation of Nonelective Contributions (other than the required minimum top-heavy contribution) as
of (choose one):






	 	1.	þ	the first day of the Plan Year.
	 
	 	2.	o	the Entry Date next following the date the Participant became eligible for the Plan.






	 	B.	 	Post-severance Compensation. (reliance on proposed regulations regarding inclusion of post-severance compensation). The Plan’s provisions regarding inclusion of post-severance compensation
in the definition of Compensation in reliance on the proposed regulations are modified as follows
(choose one, if applicable):






	 	1.	o	Post-severance compensation was included beginning with the
______ Plan Year.
	 
	 	2.	o	Post-severance compensation was not included (proposed regulations not relied upon).






	IV.	 	SAFE HARBOR PLAN ELECTION






	 	A.	 	Safe Harbor 401(k) Plan


Choose one:






	 	1.	o	Safe Harbor 401(k) Plan is not elected.
	 
	 	2.	þ	Safe Harbor 401(k) Plan is elected.







	 	 	 
	II.A.	 	 Must choose 1 or 2.
	 
	II.A.2.	 	Check each appropriate box (a and/or b) to specify excluded employee groups, if
applicable.
	 
	a.	 	For a Plan established to include union employees, specify if not all union employees are
included. For example: If Plan is set-up for employees in Union X, but employees in Union Y are
excluded, Union Y should be specified.
	 
	b.	 	If chosen, in the event of a corporate acquisition, employees of the acquired company will be
excluded from participation in the Plan for a period not to exceed two years (as determined by the
acquisition date and Plan Year).
	 
	II.C.2.	 	If one Year of Eligibility Service is selected, then Employees may begin participation
on the first day of the month after a 12 consecutive month period (as specified in the Plan) in
which they complete 1,000 Hours of Service.
	 
	II.C.3.	 	If Months of Service is selected, whole months must be entered within this option. An Employee is credited for each month
during which he performs one Hour of Service. No additional Hour of Service requirements can be
chosen if Months of Service is elected.
	 
	III.A.2.	 	Currently not an available option. (Systems/operational underwriting restriction — if
option becomes available, Prototype Sponsor may delete this note
without affecting reliance on opinion letter.)
	 
	III.B.	 	If Plan first converts into the ADP program or is newly established on or after January
1, 2008, leave blank. Answers to III.B and IX.B should be the same.
	 
	III.B.1.	 	If proposed regulations on post-severance compensation are first relied upon in a Plan
Year later than 2005, select and insert year (must be 2006 or 2007).
	 
	III.B.2.	 	Select if proposed regulations on post-severance compensation were not relied upon during
Plan’s tenure with Prototype Sponsor.
	 
	IV.A.	 	Must select one.


 


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	V.	 	CONTRIBUTIONS (Plan Article III and Appendix E, if applicable)






	 	A.	 	Elective Deferrals






1. The minimum percentage of Compensation a Participant may elect to be treated as an Elective
Deferral is 1%,




and the maximum percentage of Compensation a Participant may elect to be treated as an Elective
Deferral is 50%.




2. Automatic Enrollment.




	 	a.	o	Each Eligible Participant will be automatically enrolled in the Plan as a Participant.






	 	(i)	o	The percentage of Compensation that will be deferred on the Participant’s behalf as a
Pre-Tax Elective Deferral is ___%.
	 
	 	(ii)	o	The percentage of Compensation that will be deferred on the Participant’s
behalf as a Pre-Tax Elective Deferral is ___% and will increase by ___
(enter 1, 2, or 3) percentage point(s) each year up to a maximum of ___%.
Such increases in a Participant’s automatic enrollment deferral percentage shall be effective as
soon as administratively feasible beginning on or after (check one):






	 	(A)	o	The first day of each succeeding Plan Year.
	 
	 	(B)	o	Each succeeding anniversary date following the date that the
Participant’s automatic enrollment deferrals first were implemented.
	 
	 	(C)	o	The first day of _________ (insert name of a calendar month)
and the first day of said month in each succeeding calendar year.






	 	b.	o	Each Eligible Participant with an Entry Date first occurring on or after _________ will be automatically enrolled in the Plan as a Participant.






	 	(i)	 	o percentage of Compensation that will be deferred on the Participant’s behalf as a
Pre-Tax Elective Deferral is ___%.
	 
	 	(ii)	 	o percentage of Compensation that will be deferred on the Participant’s
behalf as a Pre-Tax Elective Deferral is ___% and will increase by ___ (enter 1, 2, or 3)
percentage point(s) each year up to a maximum of ___%. Such
increases in a Participant’s automatic enrollment deferral percentage shall be effective as soon as
administratively feasible beginning on or after (check one):






	 	(A)	o	The first day of each succeeding Plan Year.
	 
	 	(B)	o	Each succeeding anniversary date following the date that the
Participant’s automatic enrollment deferrals first were implemented.
	 
	 	(C)	o	The first day of ______ (insert name of a calendar month)
and the first day of said month in each succeeding calendar year.






	 	c.	þ	Automatic Enrollment will not be allowed under this Plan.






3. Roth Elective Deferrals will be permitted under the Plan.



þ Yes. o No. If yes, they will be permitted as of 09/01/2010. (enter a date no earlier than January 1, 2006)




	 	B.	 	Matching Contributions.






	 	1.	 	Amount of Contribution (choose one):






	 	a.	o	Matching Contributions will not be allowed under this Plan.
	 
	 	b.	o	The Matching Contribution equals ______% on the first ___% of the
Participant’s Compensation which is deferred as an Elective Deferral.
Matching Contributions shall be determined each payroll period.
	 
	 	c.	þ	Discretionary Match: The Employer may, in its sole discretion, contribute
and allocate to each eligible Participant’s Account, a percentage of the Participant’s Elective
Deferrals. Matching Contributions, if any, shall be determined as of the end of the Plan Year.
	 
	 	d.	o	ADP Test Safe Harbor Contribution (flat percentage): Matching Contribution
equals 100% on the first ___% of Participant’s Compensation which is
deferred as an Elective Deferral.







	 	 	 
	The sum of contributions under the Plan cannot exceed the permissible limits under the
Code.
	 
	V.A.1	 	The minimum will not be less than 1%. Percentages must be whole numbers. The maximum
percentage is 90%. If Section IV.A.2 is elected, 1% minimum must be entered.
	 
	 	 	Federal and state income tax withholding and other deductions from employee pay should be taken
into account in determining the maximum percentage.
	 
	V.B.1.b.	 	First blank space:
	 
	 	 	Select whole integers between 1 and 100%.
	 
	 	 	Second blank space:

	 
	 	 	If Safe Harbor NEC applies (Section V.D.3 elected) insert a whole integer between 1 and 6%.
	 
	V.B.1.c.	 	If Safe Harbor NEC applies (Section V.D.3 elected) any Discretionary Match must meet the
limitations of Plan Section E.5.1.
	 
	V.B.1.d.	 	Insert 4, 5, or 6%. Do not complete if Section V.D.3 has been elected.




 


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	 	2. For Safe Harbor Plans ONLY. Select the following if Safe Harbor 401(k) Plan is chosen and
Matching Contribution under Section V.B.l.d is elected. The safe harbor Matching Contribution
will be made (choose one):






	 	a.	o 	at year end.
	 
	 	b.	o 	on a payroll-by-payroll basis.






	 	3.	 	Employees Eligible for Matching Contributions (choose one):






	 	a.	þ	Allocated to all Eligible Participants, whether or not Eligible Participants on the
last day of the Plan Year.
	 
	 	b.	o	Allocated to all Eligible Participants, who are Non-Highly Compensated Employees
whether or not Eligible Participants on the last day of the Plan Year.
	 
	 	c.	o 	Not applicable because no match or per payroll match has been elected.






	 	4.	 	Maximum Annual Matching Contribution (optional):






	 	 	o  	The Matching Contribution will not exceed $           
               a year.






	 	C.	 	Nonelective Contributions
	 
	 	 	 	Choose one:






	 	1.	þ  	Nonelective Contributions may be permitted at the discretion of the Company.

	 
	 	2.	o  	Nonelective Contributions will not be allowed under this Plan.






	 	D.	 	Allocation Formula for Nonelective Contributions:
	 
	 	 	 	Method of Allocation (choose one):






	 	1.	o  	Non-Integrated — The Employer’s Nonelective Contributions for each Plan Year will be divided
among Participants’ Accounts as elected by the Employer under Section V.E and F.
	 
	 	2.	o  	Allocation under the Social Security Integration (permitted disparity) rules described
in Section 3.1.6 of the Plan — Under this option, a larger percentage of the Nonelective
Contribution is allocated to each Participant whose Compensation is in excess of the
Social Security Taxable Wage Base (that is, the “Excess Compensation”). This option is
not available to an Employer with another integrated plan benefiting the same
Participants.
	 
	 	3.	þ	Safe harbor Nonelective Contribution equal to 3% of Participant’s Compensation.
	 
	 	4.	o  	Not applicable because Non-elective Contributions are not elected in V.C.






	 	E.	 	Employees Eligible for Nonelective Contributions
	 
	 	 	 	Choose one:






	 	1.	o	Allocated to all Eligible Participants, whether or not Eligible Participants on the last day
of the Plan Year.
	 
	 	2.	þ	Allocated to all Eligible Participants, who are Non-Highly Compensated Employees whether or not Eligible Participants on the last day of the Plan Year.
	 
	 	3.	o  	Not applicable because Nonelective Contributions are not elected in V.C.







	 	 	 
	V.B.2	 	Complete only if safe harbor Matching Contributions are to be made under Section V.B.l.d.
	 
	MUST PICK ONE FOR ALL PLANS
	 
	V.B.3.	 	If no match or per payroll match (either safe harbor or non safe harbor) is elected,
select “c”. If discretionary match under Section V.B.I.c, or year end safe harbor match under
Section V.B.2.a., select “a” or “b”.
	 
	V.B.4.	 	Not applicable to safe harbor match elected under Section V.B.l.d.
	 
	V.C.	 	Must check one box. NEC can only be made on an annual basis.
	 
	V.C.2.	 	If plan is going to be a Safe Harbor 401(k) Plan (IV.A.2 chosen) and safe harbor
Nonelective contribution in V.D.3 is elected, Section V.C.1 must be elected as well. If
Section V.D.3 is elected, the safe harbor Nonelective Contribution provided for therein is not
discretionary and must be contributed in the amount provided in Section V.D.3.
	 
	V.D.3.	 	Select whole integer for the Safe Harbor Nonelective Contribution (minimum of 3%). Do not
complete if Section V.B.l.d has been elected.
	 
	V.E.	 	Must check one box.



 


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	 	F.	 	Allocation Method for Nonintegrated Nonelective Contributions
	 
	 	 	 	Choose one (if applicable):






	 	1.	o  	Participant Compensation to total Compensation of all Participants eligible for Nonelective
Contributions as specified in V.E.
	 
	 	2.	o  	Same dollar amount. Insert dollar amount. $           
        .
	 
	 	3.	o  	Same dollar amount for each uniform unit of service (not to exceed one week), performed by
the Employee during the Plan Year. Insert dollar amount $           
       and unit of service               
                 .






	VI.	 	VESTING (Plan Article IV)






	 	A.	 	Vesting Schedule
	 
	 	 	 	Each Participant whose Employment terminates for reasons other than death, Disability,
attainment of Normal Retirement Age or Early Retirement (if elected in Section VII), is
entitled to a nonforfeitable right to his or her Employer Contribution Account based on the
following schedules:






	 	1.	 	MATCHING CONTRIBUTIONS






	 	a.	o  	Immediate 100% nonforfeitability.
	 
	 	b.	o  	100% nonforfeitability after 3 Years of Vesting Service.
	 
	 	c.	o  	Graded Vesting Schedule 1.
	 
	 	d.	þ  	Graded Vesting Schedule 2.
	 
	 	e.	o  	Not applicable because Matching Contributions (other than safe harbor Matching
Contributions, if any, which are required to be 100% vested) are not and have never
been provided for in Plan.






	 	 	 	Graded Vesting Schedule 1





	 	 	 	 	 
	Years of Vesting Service	 	Nonforfeitable Percentage	 
	 
	 
	Less than 2
	 	 	0	%
	At least 2, but less than 3
	 	 	20	%
	At least 3, but less than 4
	 	 	40	%
	At least 4, but less than 5
	 	 	60	%
	At least 5, but less than 6
	 	 	80	%
	6 or more
	 	 	100	%







	 	 	 	Graded Vesting Schedule 2





	 	 	 	 	 	 	 	 	 
	Years of Vesting Service	 	Nonforfeitable Percentage	 	 	 	 	 
	 
	 
	Less than 1
	 	 	0	 	 	 	 	 
	At least 1, but less than 2
	 	 	25	 	 	 	 	 
	At least 2, but less than 3
	 	 	50	 	 	Not less than 20%
	At least 3, but less than 4
	 	 	75	 	 	Not less than 40%
	At least 4, but less than 5
	 	 	100	 	 	Not less than 60%
	At least 5, but less than 6
	 	 	100	 	 	Not less than 80%
	6 or more
	 	 	100	%	 	 	 	 








	 	 	 
	V.F.	 	Complete Section F only if nonintegrated formula was chosen in Section D.1.
	 
	VI.A.	 	ADP Test Safe Harbor Contribution accounts are fully vested (as provided for in the
Prototype Plan base Plan document). This section does not apply for matching contributions
elected in Section V.B.1.d.
	 
	VI.A. 1.	 	Must check one box.
	 
	 	 	If Item d is selected, vesting schedule must be at least as favorable as Graded Vesting Schedule
1 for each Year of Vesting Service
	 
	 	 	For amended and restated Plans that have elected Matching Contributions to meet the ADP Test Safe
Harbor (Section V.B.1.d): Select vesting schedule in effect for any non safe harbor Matching
Contributions that had previously been provided.
	 
	 	 	For amended and restated Plans: Only select Item e if Plan never provided for Matching
Contributions. If Plan ever provided for Matching Contributions, must select vesting schedule.
	 
	If selected, Vesting Schedule 2 must satisfy the requirements of Code §41l(a)(12) (at least as
fast as Graded Vesting Schedule 1).
	 
	Percentage must be in whole numbers.



 


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	 	2.	 	NON-ELECTIVE CONTRIBUTIONS






	 	a.	o  	Immediate 100% nonforfeitability.
	 
	 	b.	o  	100% nonforfeitability after 5 Years of Vesting Service.
	 
	 	c.	o  	100% nonforfeitability after 3 Years of Vesting Service.
	 
	 	d.	o  	Graded Vesting Schedule 1.
	 
	 	e.	o  	Graded Vesting Schedule 2.
	 
	 	f.	þ  	Not applicable because Nonelective Contributions (other than safe harbor Nonelective
Contributions, if any, which are required to be 100% vested) are not and have never been
provided for in Plan.






	 	 	 	Graded Vesting Schedule 1





	 	 	 	 	 
	Years of Vesting Service	 	Nonforfeitable Percentage	 
	 
	 
	Less than 2
	 	 	0	%
	At least 2, but less than 3
	 	 	20	%
	At least 3, but less than 4
	 	 	40	%
	At least 4, but less than 5
	 	 	60	%
	At least 5, but less than 6
	 	 	80	%
	6 or more
	 	 	100	%







	 	 	 	Graded Vesting Schedule 2





	 	 	 	 	 	 	 	 	 
	Years of Vesting Service	 	Nonforfeitable Percentage	 	 	 	 	 
	 
	 
	Less than 1
	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 
	At least 1, but less than 2
	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 
	At least 2, but less than 3
	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 
	At least 3, but less than 4
	 	 	 	 	 	Not less than 20%
	 
	 	 	 	 	 	 	 
	At least 4, but less than 5
	 	 	 	 	 	Not less than 40%
	 
	 	 	 	 	 	 	 
	At least 5, but less than 6
	 	 	 	 	 	Not less than 60%
	 
	 	 	 	 	 	 	 
	At least 6, but less than 7
	 	 	 	 	 	Not less than 80%
	 
	 	 	 	 	 	 	 
	7 or more 
	 	 	100	%	 	 	 	 







	 	3.	 	PLAN MERGER VESTING PROVISIONS. The following vesting provisions apply only to Plan
participants who were participants in plans merged into the Plan. (Must satisfy Code §411(a), be
definitely determinable, not discriminate in favor of Highly Compensated Employees and not violate
Code §401(a)(4).) (Attach an additional sheet if
necessary):__________________





 





 





 





 





 





 





 





 





 





 





 





 





 









	 	 	 
	VI.A.2.	 	Must check one box from a-f. This section applies only to the vesting of regular non safe
harbor Nonelective Contributions.
	 
	 	 	For amended and restated Plans that have elected safe harbor Nonelective Contributions: Select
vesting schedule in effect for any non safe harbor Nonelective Contributions that had previously
been provided for.





	 	f.	 	For amended and restated Plans: Only select Item f if Plan never provided for
Nonelective Contributions. If Plan ever provided for regular non safe harbor Nonelective
Contributions, must select vesting schedule.






	 	 	 
	Percentages must be in whole numbers.
	 
	VI.A.3	 	Provision should be completed if there are special vesting provisions applicable to a plan
merger.





 


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	 	B.	 	Vesting Service
	 
	 	 	 	Choose one:






	 	1.	 	þ	All Years of Service are credited to determine a Participant’s Vesting Service.
	 
	 	2.	 	o	All Years of Service are credited to determine a Participant’s Vesting Service except Years of
Service before the Company maintained this Plan or a predecessor plan.
	 
	 	3.	 	o	Not applicable, either because 100% immediate vesting applies to BOTH Nonelective and
Matching Contributions, or because such employer contributions (other than Safe Harbor
employer contributions, if any, which are required to be 100% vested) are not and have never
been provided for in the Plan.






	 	C.	 	Vesting Computation Period/Method of Crediting Vesting Service
	 
	 	 	 	Choose one:






	 	1.	 	þ	Employment year. This is the 12 month period beginning on date of hire. The method for
crediting Vesting Service will be elapsed time.
	 
	 	2.	 	o	Plan Year. The method for crediting Vesting Service will be based on Hours of Service with
190 Hours of Service credited for each month in which an Hour of Service is credited.
	 
	 	3.	 	o	Employment year. This is the 12 month period beginning on date of hire. The method for
crediting Vesting Service will be based on Hours of Service with 190 Hours of Service credited
for each month in which an Hour of Service is credited.
	 
	 	4.	 	o	Not applicable, either because 100% immediate vesting applies to BOTH Nonelective and
Matching Contributions, or because such employer contributions (other than Safe Harbor
employer contributions, if any, which are required to be 100% vested) are not and have never
been provided for in the Plan.






	VII.	 	EARLY RETIREMENT
	 
	 	 	Upon attaining his or her Early Retirement Date, a Participant shall be fully vested in his
or her Employer Contribution Account.






	 	A.	 	þ	No Early Retirement Date.
	 
	 	B.	 	o	To be eligible for Early Retirement, a Participant must have reached age _______.






	VIII.	 	DISABILITY
	 
	 	 	Choose one of the following definitions:






	 	A.	 	o	Becoming eligible for disability benefits under the Employer’s long term disability plan.
	 
	 	B.	 	þ	Becoming eligible for disability benefits under the Social Security Act.
	 
	 	C.	 	o	Inability to engage in any substantial gainful activity by reason of any medically
determined physical or mental impairment that can be expected to result in death or which has
lasted or can be expected to last for a continuous period of not less than 12 months.
	 
	 	D.	 	o	Total and permanent inability to meet the requirements of the Participant’s customary
Employment which can be expected to last for a period of not less than 12 months.
	 
	 	E.	 	o	Other 

	 
	 	 	 	 	 

	 
	 	 	 	 	 








	 	 	 
	VI.B.	 	For all Plans, select Years of Service to be credited under the Plan as Vesting Service.
	 
	VI.B.3.	 	Must be elected either if 100% vesting applies to both NEC and Match or if employer
contributions are not and have never been provided. Note that if employer contributions are
not and have never been provided, Section VI.B.3. is not intended to obligate an employer who
elects it to 100% vest any future employer contributions.
	 
	VI.C.	 	Select one option from Section VI.C for all Plans.
	 
	 	 	Select the existing Vesting Computation Period for amended and restated Plans.
	 
	 	 	Select only the first or fourth options for ALL new Plans, unless instances of prospective trust
to trust transfers or plan mergers require otherwise for administrative reasons.
	 
	VI.C.4.	 	Must be elected either if 100% vesting applies to both NEC and Match or if employer
contributions are not and have never been provided. Note that if employer contributions are
not and have never been provided, Section VI.C.4. is not intended to obligate an employer who
elects it to 100% vest any future employer contributions.
	 
	VII.	 	Must select A or B.




For an amended and restated Plan, if Disability definition from the Plan prior to amendment and
restatement does not appear in this Section VIII, please specify the definition in “Other”.


 


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	IX.	 	ANNUAL ADDITION LIMITATION ELECTIONS (Plan Appendix B)
	 
	 	 	Does the Company or any Affiliate maintain, or has the Company or any Affiliate ever maintained,
another qualified plan in which any Participant in this Plan is (or was) a participant or could
possibly become a participant?






	 	 	 	þ	Yes
	 
	 	 	 	o	No






	 	A.	 	If a Participant is or was a participant under another qualified defined contribution plan,
other than a Master or Prototype Plan, maintained by the Company or an Affiliate, or if the
Employer maintains a welfare benefit fund as defined in Code §419(e) or an individual medical
account as defined in Code §415(l)(2) under which amounts are treated as Annual Additions (choose
one):






	 	1.	 	o	the provisions of Section B.3.2 through B.3.4 of the Plan apply as if the other plan were a
Master or Prototype Plan; or
	 
	 	2.	 	o	the plans will limit Annual Additions to the maximum amount permitted under Section B.3.1
of the Plan and will reduce any Excess Amounts as follows (choose one):






	 	a.	 	o	by reducing contributions under this Plan.
	 
	 	b.	 	o	by reducing contributions under the other plans (only applicable if plans have not
terminated).






	 	3.	 	þ	Not applicable. Other plan was a Master or Prototype Plan.






	 	 	The methods described in IX(A) must preclude Employer discretion.






	 	B.	 	Post-severance Compensation. (reliance on proposed Code §415 regulations regarding
inclusion of post-severance compensation). The Plan’s provisions regarding inclusion of
post-severance compensation in the definition of Limitation Compensation in reliance on the
proposed regulations are modified as follows (choose one, if applicable):






	 	1.	 	o	Post-severance compensation was included beginning with the               Limitation Year.
	 
	 	2.	 	o	Post-severance compensation was not included (proposed Code §415 regulations
not relied upon).






	X.	 	TOP-HEAVY ELECTIONS (Plan Appendix C)






	 	A.	 	The minimum top-heavy contribution will be allocated to (choose one):






	 	1.	 	þ	all non-Key Employees who are Eligible Participants employed by the Employer
on the last day of the Plan Year.
	 
	 	2.	 	o	all Eligible Participants employed by the Employer during the Plan Year.






	 	B.	 	If a Participant was a participant in any other plan previously maintained by the Company or
Affiliate, check this box o.
	 
	 	C.	 	If a Participant also participates in another defined contribution plan, the minimum
contribution of 3% of Compensation is provided under (choose one):






	 	1.	 	o	this Plan.
	 
	 	2.	 	o	the other defined contribution plan. The name of the other defined contribution plan is              
                          
                          
                          
             .






	 	D.	 	If a Participant also participates in a qualified defined benefit plan, to determine the
top-heavy status of the aggregated plans, the interest rate is         %, the mortality table is        
                                ,
and the requirements under Code §416(c) are satisfied by providing
(choose one):






	 	1.	 	o	a minimum contribution under this Plan in an amount equal to at
least 5% of Compensation.
	 
	 	2.	 	o	a minimum accrued benefit under the qualified defined benefit plan.





Complete Section IX. A ONLY if the answer to this question is “Yes”. Must complete Section IX.B in
all cases.




NOTE: Regardless if Yes or No elected, must complete Top-Heavy election (X.A.)




Determine whether Section A applies to the Company.





	 	 	 
	IX.B	 	If Plan first converts into the ADP program or is newly established on or after January
1, 2008, leave blank. Answers to III.B and IX.B should be the same.
	 
	IX.B.1	 	If proposed Code §415 regulations on post-severance compensation are first relied upon in
a Limitation Year later than 2005, select and insert year (must be 2006 or 2007).
	 
	IX.B.2	 	Select if proposed Code §415 regulations were not relied upon during Plan’s tenure with
Prototype Sponsor.
	 
	X.A.	 	Must be completed for all Plans. Select 1 or 2.




Complete the remainder of Section X if item A under Section IX was completed.





	 	 	 
	X.C.   	 	Select which plan will provide the minimum contribution.



 


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	 	E.	 	If a Participant also participates in another defined contribution plan and also
participates in a qualified defined benefit plan, to determine the top-heavy status of the
aggregated plans, the interest rate is         %, the mortality
table is ______________, and the requirements
under Code §416(c) are satisfied by providing (choose one):






	 	1.	 	o	a minimum contribution under the other defined contribution plan in an amount equal to
at least 5% of Compensation.
	 
	 	2.	 	o	a minimum contribution under this Plan in an amount equal to at least 5% of
Compensation.
	 
	 	3.	 	o	a minimum accrued benefit under the qualified defined benefit plan.






	XI.	 	LOANS
	 
	 	 	 	Choose one of the following:






	 	A.	 	þ	Participants may borrow from their Participant 401(k) Account and
Employer Contribution Account.
	 
	 	B.	 	o	Participants will not be able to borrow from their Accounts under the Plan.






	XII.	 	MISCELLANEOUS






	 	A.	 	Inquiries
	 
	 	 	 	If you have any questions about the legal and tax implications of adopting the Plan, you
should consult with your attorney. However, if you have any questions about either the
Prototype Plan or the Adoption Agreement, please write to the sponsoring organization at
the following address:




ADP, Inc.

Retirement Services

71 Hanover Road

Florham Park, New Jersey 07932

Attn: Prototype Coordinator

973.712.2000





	 	B.	 	Notification
	 
	 	 	 	The Prototype Sponsor will notify you as an adopting Company of any amendments made to the
Plan, or the discontinuance or abandonment of the Plan, unless services provided by a
related company of ADP, Inc. are discontinued.
	 
	 	C.	 	Cautionary Statement
	 
	 	 	 	It is important that you complete the Adoption Agreement with great care. Failure to fill
out the Adoption Agreement properly may result in disqualification of the Plan.
	 
	 	D.	 	Reliance on Opinion Letter
	 
	 	 	 	The adopting Company may rely on an opinion letter issued by the Internal Revenue Service
as evidence that the Plan is qualified under section 401 of the Internal Revenue Code
except to the extent provided in Rev. Proc. 2005-16.
	 
	 	 	 	A Company who has ever maintained or who later adopts any plan (including a welfare benefit
fund, as defined in section 419(e) of the Code, which provides post-retirement medical
benefits allocated to separate accounts for key employees, as defined in the Section
419A(d)(3) of the Code, or an individual medical account, as defined in Section 415(l)(2)
of the Code) in addition to this Plan may not rely on the opinion letter issued by the
Internal Revenue Service with respect to the requirements of sections 415 and 416.




 


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	 	 	 	If the Company who adopts or maintains multiple plans wishes to obtain reliance with respect
to the requirements of sections 415 and 416, application for a determination letter must be
made to Employee Plans Determinations of the Internal Revenue Service.
	 
	 	 	 	The Company may not rely on the opinion letter in certain other circumstances, which are
specified in the opinion letter issued with respect to the Prototype Plan or in Revenue
Procedure 2005-16.
	 
	 	 	 	This Adoption Agreement may be used only in conjunction with Basic Plan Document No. 05.





Gail Sloan

CFO



Name and Title of Authorizing Officer (Please Print)




	 	 	 	 
	Signature: 	/s/ Gail A. Sloan	 	 
	Date Signed: 8-31-10	 






I hereby certify that the following entities by appropriate corporate or analogous acts, have
elected to become Participating Affiliates (as defined within Section 1.1.54 of the basic Plan
document) in the Plan and the Company has consented thereto in writing.



Participating Affiliate(s):



 





 





 





 





 





 





 





 





 





 





 





 





Generally, an Officer is an administrative executive of an employer who is in regular and continued
service.



This date must be no later than the last day of the Plan Year. It is the date this Adoption
Agreement is being executed.




 


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