401k Plan data: THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN plan

THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 401k Plan overview

Plan Name	THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN
Plan identification number	002

THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

THE UPSTATE NATIONAL BANK has sponsored the creation of one or more 401k plans.

Company Name: THE UPSTATE NATIONAL BANK

Employer identification number (EIN): 150368650

NAIC Classification: 522110
NAIC Description: Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 MICHAEL GEORGE 2023-07-11
002 2021-01-01 RAYMOND STEINMETZ 2022-06-13
002 2020-01-01 RAYMOND STEINMETZ 2021-06-14
002 2019-01-01 RAYMOND STEINMETZ 2020-07-08
002 2018-01-01 RAYMOND STEINMETZ 2019-05-20
002 2017-01-01 RAYMOND STEINMETZ 2018-08-27
002 2016-01-01 RAYMOND W. STEINMETZ, JR. 2017-10-11 RAYMOND W. STEINMETZ, JR. 2017-10-11
002 2015-01-01 RAYMOND STEINMETZ 2016-10-18 RAYMOND STEINMETZ 2016-10-18
002 2014-01-01 RAYMOND STEINMETZ 2015-08-31 RAYMOND STEINMETZ 2015-08-31
002 2013-01-01 RAYMOND STEINMETZ 2014-10-15 RAYMOND STEINMETZ 2014-10-15
002 2011-01-01 RAYMOND STEINMETZ RAYMOND STEINMETZ 2012-06-25
002 2010-01-01 JOHN GLERUM JOHN GLERUM 2011-07-13
002 2009-01-01 JOHN C. GLERUM JOHN C. GLERUM 2010-08-05

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01	MICHAEL GEORGE	2023-07-11
002	2021-01-01	RAYMOND STEINMETZ	2022-06-13
002	2020-01-01	RAYMOND STEINMETZ	2021-06-14
002	2019-01-01	RAYMOND STEINMETZ	2020-07-08
002	2018-01-01	RAYMOND STEINMETZ	2019-05-20
002	2017-01-01	RAYMOND STEINMETZ	2018-08-27
002	2016-01-01	RAYMOND W. STEINMETZ, JR.	2017-10-11	RAYMOND W. STEINMETZ, JR.	2017-10-11
002	2015-01-01	RAYMOND STEINMETZ	2016-10-18	RAYMOND STEINMETZ	2016-10-18
002	2014-01-01	RAYMOND STEINMETZ	2015-08-31	RAYMOND STEINMETZ	2015-08-31
002	2013-01-01	RAYMOND STEINMETZ	2014-10-15	RAYMOND STEINMETZ	2014-10-15
002	2011-01-01	RAYMOND STEINMETZ		RAYMOND STEINMETZ	2012-06-25
002	2010-01-01	JOHN GLERUM		JOHN GLERUM	2011-07-13
002	2009-01-01	JOHN C. GLERUM		JOHN C. GLERUM	2010-08-05

Plan Statistics for THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN

401k plan membership statisitcs for THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN

Measure Date Value
2011: THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 39
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 25
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 18
Total of all active and inactive participants 2011-01-01 43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 43
Number of participants with account balances 2011-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 3
2010: THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 24
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 15
Total of all active and inactive participants 2010-01-01 39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 39
Number of participants with account balances 2010-01-01 39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 53
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 26
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 16
Total of all active and inactive participants 2009-01-01 42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 42
Number of participants with account balances 2009-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	39
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	25
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	18
Total of all active and inactive participants	2011-01-01	43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	43
Number of participants with account balances	2011-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	3
2010: THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	24
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	15
Total of all active and inactive participants	2010-01-01	39
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	39
Number of participants with account balances	2010-01-01	39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	53
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	26
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	16
Total of all active and inactive participants	2009-01-01	42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	42
Number of participants with account balances	2009-01-01	41
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 UPSTATE BANK RETIREMENT AND SAVINGS PLAN

Measure	Date	Value
2011 : THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$141,219
Expenses. Total of all expenses incurred	2011-12-31	$132,294
Benefits paid (including direct rollovers)	2011-12-31	$127,350
Total plan assets at end of year	2011-12-31	$809,450
Total plan assets at beginning of year	2011-12-31	$800,525
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$80,143
Contributions received from other sources (not participants or employers)	2011-12-31	$16,124
Other income received	2011-12-31	$23,126
Net income (gross income less expenses)	2011-12-31	$8,925
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$809,450
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$800,525
Assets. Value of participant loans	2011-12-31	$21,534
Assets. Value of employer securities	2011-12-31	$31,752
Total contributions received or receivable from employer(s)	2011-12-31	$21,826
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$4,944
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : THE UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2010 401k financial data
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$191,064
Expenses. Total of all expenses incurred	2010-12-31	$48,159
Benefits paid (including direct rollovers)	2010-12-31	$46,934
Total plan assets at end of year	2010-12-31	$800,525
Total plan assets at beginning of year	2010-12-31	$657,620
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$91,022
Contributions received from other sources (not participants or employers)	2010-12-31	$517
Other income received	2010-12-31	$68,939
Net income (gross income less expenses)	2010-12-31	$142,905
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$800,525
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$657,620
Assets. Value of participant loans	2010-12-31	$9,612
Assets. Value of employer securities	2010-12-31	$31,752
Total contributions received or receivable from employer(s)	2010-12-31	$30,586
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$1,225
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : THE UPSTATE BANK RETIREMENT AND SAVINGS 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 UPSTATE BANK RETIREMENT AND SAVINGS PLAN

2011: THE UPSTATE BANK RETIREMENT AND SAVINGS 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 UPSTATE BANK RETIREMENT AND SAVINGS 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 UPSTATE BANK RETIREMENT AND SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
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 UPSTATE NATIONAL BANK
Employer identification number (EIN):	150368650
NAIC Classification:	522110
NAIC Description:	Commercial Banking