401k Plan data: EMPIRE STATE BANK 401K PLAN plan

EMPIRE STATE BANK 401K PLAN 401k Plan overview

Plan Name	EMPIRE STATE BANK 401K PLAN
Plan identification number	001

EMPIRE STATE BANK 401K PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	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.

401k Sponsoring company profile

EMPIRE STATE BANK has sponsored the creation of one or more 401k plans.

Company Name: EMPIRE STATE BANK

Employer identification number (EIN): 208448588

NAIC Classification: 522120
NAIC Description: Savings Institutions

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPIRE STATE BANK 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 LUDWIG BACH
001 2012-01-01 LUDWIG BACH
001 2011-01-01 LUDWIG BACH
001 2009-01-01 LUDWIG BACH

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	LUDWIG BACH
001	2012-01-01	LUDWIG BACH
001	2011-01-01	LUDWIG BACH
001	2009-01-01	LUDWIG BACH

Plan Statistics for EMPIRE STATE BANK 401K PLAN

401k plan membership statisitcs for EMPIRE STATE BANK 401K PLAN

Measure Date Value
2013: EMPIRE STATE BANK 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 36
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 9
Total of all active and inactive participants 2013-01-01 45
Total participants 2013-01-01 45
Number of participants with account balances 2013-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: EMPIRE STATE BANK 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 52
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 37
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 11
Total of all active and inactive participants 2012-01-01 48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 48
Number of participants with account balances 2012-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: EMPIRE STATE BANK 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 36
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 13
Total of all active and inactive participants 2011-01-01 49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 49
Number of participants with account balances 2011-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: EMPIRE STATE BANK 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 40
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 33
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 10
Total of all active and inactive participants 2009-01-01 44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 44
Number of participants with account balances 2009-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: EMPIRE STATE BANK 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	36
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	9
Total of all active and inactive participants	2013-01-01	45
Total participants	2013-01-01	45
Number of participants with account balances	2013-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: EMPIRE STATE BANK 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	52
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	37
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	11
Total of all active and inactive participants	2012-01-01	48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	48
Number of participants with account balances	2012-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: EMPIRE STATE BANK 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	36
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	13
Total of all active and inactive participants	2011-01-01	49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	49
Number of participants with account balances	2011-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: EMPIRE STATE BANK 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	40
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	33
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	10
Total of all active and inactive participants	2009-01-01	44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	44
Number of participants with account balances	2009-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on EMPIRE STATE BANK 401K PLAN

Measure	Date	Value
2013 : EMPIRE STATE BANK 401K PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$191,175
Expenses. Total of all expenses incurred	2013-12-31	$161,483
Benefits paid (including direct rollovers)	2013-12-31	$153,329
Total plan assets at end of year	2013-12-31	$580,111
Total plan assets at beginning of year	2013-12-31	$550,419
Total contributions received or receivable from participants	2013-12-31	$107,195
Other income received	2013-12-31	$83,980
Net income (gross income less expenses)	2013-12-31	$29,692
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$580,111
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$550,419
Value of corrective distributions	2013-12-31	$8,154
2012 : EMPIRE STATE BANK 401K PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$150,975
Expenses. Total of all expenses incurred	2012-12-31	$264,035
Benefits paid (including direct rollovers)	2012-12-31	$260,115
Total plan assets at end of year	2012-12-31	$550,419
Total plan assets at beginning of year	2012-12-31	$663,479
Total contributions received or receivable from participants	2012-12-31	$80,255
Other income received	2012-12-31	$70,720
Net income (gross income less expenses)	2012-12-31	$-113,060
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$550,419
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$663,479
Total contributions received or receivable from employer(s)	2012-12-31	$0
Value of corrective distributions	2012-12-31	$3,920
2011 : EMPIRE STATE BANK 401K PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$78,924
Expenses. Total of all expenses incurred	2011-12-31	$32,129
Benefits paid (including direct rollovers)	2011-12-31	$32,129
Total plan assets at end of year	2011-12-31	$663,479
Total plan assets at beginning of year	2011-12-31	$616,684
Total contributions received or receivable from participants	2011-12-31	$98,183
Other income received	2011-12-31	$-19,259
Net income (gross income less expenses)	2011-12-31	$46,795
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$663,479
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$616,684
2010 : EMPIRE STATE BANK 401K PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$165,429
Expenses. Total of all expenses incurred	2010-12-31	$8,622
Benefits paid (including direct rollovers)	2010-12-31	$8,622
Total plan assets at end of year	2010-12-31	$616,684
Total plan assets at beginning of year	2010-12-31	$459,877
Total contributions received or receivable from participants	2010-12-31	$121,993
Other income received	2010-12-31	$43,436
Net income (gross income less expenses)	2010-12-31	$156,807
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$616,684
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$459,877

Form 5500 Responses for EMPIRE STATE BANK 401K PLAN

2013: EMPIRE STATE BANK 401K PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: EMPIRE STATE BANK 401K 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	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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: EMPIRE STATE BANK 401K 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
2009: EMPIRE STATE BANK 401K 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:	EMPIRE STATE BANK
Employer identification number (EIN):	208448588
NAIC Classification:	522120
NAIC Description:	Savings Institutions