ROBS Documents

Nexus generates the legal, plan, governance, and transaction documents required for the ROBS structure. Here’s what you’ll receive, what each document does, and how the signing process works.

Service Agreements

Document	Purpose
Client Setup Agreement (CSA)	Summary of services, fees, and obligations. Must be reviewed and accepted before payment. Available immediately upon approval.
Ongoing Services Agreement (OSA)	Ongoing administration agreement between the Plan Sponsor and Talcott Forge for plan and C-Corporation maintenance services. Released as its own signing event after rollover funds have arrived, not bundled with the plan documents.

Corporate Formation Documents

Document	Purpose	Signature Required
Articles of Incorporation	State filing document that legally creates the C-Corporation	No (filed by Talcott Forge)
Corporate Bylaws	Corporate governance rules - meeting requirements, officer duties, shareholder rights (jurisdiction-specific)	No
Action by Sole Incorporator	Initial corporate action designating the first board of directors	Yes
Initial Board Action	Board resolution establishing officers, authorizing share issuance, adopting bylaws, and approving the 401(k) plan	Yes
EIN Confirmation Letter	IRS confirmation of your Employer Identification Number (CP 575)	No
Certificate of Secretary	Certifies the authenticity of corporate records and resolutions	No

401(k) Plan Documents

Document	Purpose	Signature Required
Plan Document	Core 401(k) plan document establishing the plan’s governing terms	No
Adoption Agreement (Execution)	The C-Corporation’s formal adoption of the 401(k) plan, specifying plan terms, eligibility, and contribution provisions. This is the signable portion (the first twelve pages).	Yes
Adoption Agreement (Addenda)	Reference material covering detailed plan provisions. Informational only. Released alongside the execution page but does not require signature.	No
Trust Agreement	Establishes the trust that holds plan assets, names the trustee, and defines fiduciary responsibilities	Yes
Summary Plan Description	Participant-facing summary of plan terms and rights	No
Funding Policy	Investment policy statement for the plan, including the authorization to invest in employer stock	No

Transaction Documents

Transaction documents are generated and staged during plan setup, but sent for signature together in a single envelope once your rollover funds have arrived. Signing unlocks capitalization.

Document	Purpose	Signature Required
Stock Purchase Agreement	Agreement between the 401(k) plan and the C-Corporation for the purchase of shares	Yes
Stock Certificate	Certificate evidencing share ownership by the 401(k) plan trust	No
Board Resolution	Corporate authorization for the stock issuance and plan establishment	Yes
Initial Valuation Record	Fair-market valuation support for the qualifying employer securities purchased by the plan trust	No
Cap Table / Stock Ledger Record	Record of the shares issued to the plan trust and the corporation’s capitalization after the transaction	No

Governance & Compliance Documents

Document	Purpose	Signature Required
Indemnification Agreement	Protects officers and directors from personal liability for good-faith corporate decisions	Yes
Stockholder Consent - Indemnification	Stockholder approval of indemnification provisions	Yes
IP Assignment Agreement	Assigns any pre-existing intellectual property from the founder to the corporation	Yes

Post-Funding Documents (if applicable)

Document	Purpose
Fee Reimbursement Board Resolution	Board authorization for the C-Corp to reimburse ROBS setup fees (cash or shares)
Fee Reimbursement Stock Certificate	If electing share-based reimbursement, a certificate evidencing the additional shares issued

Electronic Signatures

Documents requiring your signature are sent through the integrated e-signature workflow. You’ll sign directly from your dashboard - no printing, scanning, or mailing required. How it works:

When documents are ready for signature, you’ll see a notification on your dashboard
Click “Sign Now” to open the signing interface
Review the document and apply your electronic signature
Signed documents are automatically stored in your document library

Certain documents, like the Adoption Agreement and Trust Agreement, must be signed before the plan can be established and rollovers can begin.

Signature fields appear directly in the relevant documents through the Nexus e-signature workflow. If you sign in more than one capacity - for example, as both the Company representative and the Plan Trustee - Nexus handles the required signatures in one signing session where applicable. Signed PDFs are stored automatically in your document library.

Document Access

Documents are generated automatically as your application reaches each milestone and are immediately available in your dashboard document library. There is no waiting period - every document appears as soon as it is generated. All documents are downloadable as PDFs from your dashboard. Your document library shows the current status of each document, including signature status where applicable.

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Talcott Forge

Nexus by Talcott Forge

Compliance

Guides

ROBS Documents

ROBS Documents

Service Agreements

Corporate Formation Documents

401(k) Plan Documents

Transaction Documents

Governance & Compliance Documents

Post-Funding Documents (if applicable)

Electronic Signatures

Document Access

Start Your Application

​ROBS Documents

​Service Agreements

​Corporate Formation Documents

​401(k) Plan Documents

​Transaction Documents

​Governance & Compliance Documents

​Post-Funding Documents (if applicable)

​Electronic Signatures

​Document Access

Start Your Application

ROBS Documents

Service Agreements

Corporate Formation Documents

401(k) Plan Documents

Transaction Documents

Governance & Compliance Documents

Post-Funding Documents (if applicable)

Electronic Signatures

Document Access