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.
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.
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
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
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.
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.
