401k Plan data: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN plan

THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Stock bonus ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP). Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

THE NATIONAL UNION BANK OF KINDERHOOK has sponsored the creation of one or more 401k plans.

Company Name: THE NATIONAL UNION BANK OF KINDERHOOK

Employer identification number (EIN): 140913619

NAIC Classification: 522110
NAIC Description: Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2012-01-01 JOHN A. BALLI
002 2011-01-01 ROBERT A. SHERWOOD JOHN A. BALLI 2012-05-01
002 2010-01-01 ROBERT A. SHERWOOD JOHN A. BALLI 2011-06-16
002 2009-01-01 JOHN BALLI JOHN BALLI 2010-10-11

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2012-01-01	JOHN A. BALLI
002	2011-01-01	ROBERT A. SHERWOOD	JOHN A. BALLI	2012-05-01
002	2010-01-01	ROBERT A. SHERWOOD	JOHN A. BALLI	2011-06-16
002	2009-01-01	JOHN BALLI	JOHN BALLI	2010-10-11

Plan Statistics for THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2012: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 53
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 56
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 46
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 7
Total of all active and inactive participants 2011-01-01 53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 53
Number of participants with account balances 2011-01-01 53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 52
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 50
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 5
Total of all active and inactive participants 2010-01-01 55
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 55
Number of participants with account balances 2010-01-01 53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 3
2009: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 58
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 58
Number of participants with account balances 2009-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	53
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	56
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	46
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	7
Total of all active and inactive participants	2011-01-01	53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	53
Number of participants with account balances	2011-01-01	53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	52
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	50
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	5
Total of all active and inactive participants	2010-01-01	55
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	55
Number of participants with account balances	2010-01-01	53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	3
2009: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	58
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	58
Number of participants with account balances	2009-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2012 : THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total income from all sources	2012-04-27	$0
Expenses. Total of all expenses incurred	2012-04-27	$72,051
Benefits paid (including direct rollovers)	2012-04-27	$72,051
Total plan assets at end of year	2012-04-27	$0
Total plan assets at beginning of year	2012-04-27	$72,051
Value of fidelity bond covering the plan	2012-04-27	$2,000,000
Total contributions received or receivable from participants	2012-04-27	$0
Contributions received from other sources (not participants or employers)	2012-04-27	$0
Net income (gross income less expenses)	2012-04-27	$-72,051
Net plan assets at end of year (total assets less liabilities)	2012-04-27	$0
Net plan assets at beginning of year (total assets less liabilities)	2012-04-27	$72,051
Total contributions received or receivable from employer(s)	2012-04-27	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-04-27	$0
2011 : THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$1
Expenses. Total of all expenses incurred	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$72,051
Total plan assets at beginning of year	2011-12-31	$72,050
Value of fidelity bond covering the plan	2011-12-31	$2,000,000
Total contributions received or receivable from participants	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$1
Net income (gross income less expenses)	2011-12-31	$1
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$72,051
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$72,050
Total contributions received or receivable from employer(s)	2011-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$36,050
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$72,050
Total plan assets at beginning of year	2010-12-31	$36,000
Value of fidelity bond covering the plan	2010-12-31	$2,000,000
Other income received	2010-12-31	$50
Net income (gross income less expenses)	2010-12-31	$36,050
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$72,050
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$36,000
Total contributions received or receivable from employer(s)	2010-12-31	$36,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN

2012: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THE NATIONAL UNION BANK OF KINDERHOOK EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	First time form 5500 has been submitted	Yes
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE NATIONAL UNION BANK OF KINDERHOOK
Employer identification number (EIN):	140913619
NAIC Classification:	522110
NAIC Description:	Commercial Banking