401k Plan data: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN plan

FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP. The employer maintaining this ESOP is an S Corporation

401k Sponsoring company profile

FIRST EMPIRE HOLDING CORP. has sponsored the creation of one or more 401k plans.

Company Name: FIRST EMPIRE HOLDING CORP.

Employer identification number (EIN): 320254913

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about FIRST EMPIRE HOLDING CORP.

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 2008-06-27

Company Identification Number: 3690429

Legal Registered Office Address: 501 N. Broadway ave
2ND FLOOR
saint louis
United States of America (USA)
63102

More information about FIRST EMPIRE HOLDING CORP.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2020-01-01 KRISTEN JOHNSON 2021-04-08
002 2019-01-01 KRISTEN JOHNSON 2020-10-15
002 2018-01-01 LENA BHOLAN 2019-09-03
002 2017-01-01
002 2016-01-01
002 2015-01-01
002 2014-01-01
002 2013-01-01

Plan Statistics for FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2020: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 156
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 0
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 156
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 103
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 52
Total of all active and inactive participants 2019-01-01 155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 1
Total participants 2019-01-01 156
Number of participants with account balances 2019-01-01 156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 137
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 123
Number of other retired or separated participants entitled to future benefits 2018-01-01 25
Total of all active and inactive participants 2018-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 1
Total participants 2018-01-01 149
Number of participants with account balances 2018-01-01 149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 21
2017: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 127
Number of other retired or separated participants entitled to future benefits 2017-01-01 9
Total of all active and inactive participants 2017-01-01 136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 137
Number of participants with account balances 2017-01-01 136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 6
2016: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 128
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 115
Number of other retired or separated participants entitled to future benefits 2016-01-01 7
Total of all active and inactive participants 2016-01-01 122
Total participants 2016-01-01 122
Number of participants with account balances 2016-01-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 5
2015: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 138
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 109
Number of other retired or separated participants entitled to future benefits 2015-01-01 19
Total of all active and inactive participants 2015-01-01 128
Total participants 2015-01-01 128
Number of participants with account balances 2015-01-01 128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 18
2014: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 138
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 126
Number of other retired or separated participants entitled to future benefits 2014-01-01 12
Total of all active and inactive participants 2014-01-01 138
Total participants 2014-01-01 138
Number of participants with account balances 2014-01-01 138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 12
2013: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 137
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 137
Total of all active and inactive participants 2013-01-01 137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 138
Number of participants with account balances 2013-01-01 138

Measure	Date	Value
2020: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	156
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	0
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	156
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	103
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	52
Total of all active and inactive participants	2019-01-01	155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	1
Total participants	2019-01-01	156
Number of participants with account balances	2019-01-01	156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	137
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	123
Number of other retired or separated participants entitled to future benefits	2018-01-01	25
Total of all active and inactive participants	2018-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	1
Total participants	2018-01-01	149
Number of participants with account balances	2018-01-01	149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	21
2017: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	127
Number of other retired or separated participants entitled to future benefits	2017-01-01	9
Total of all active and inactive participants	2017-01-01	136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	137
Number of participants with account balances	2017-01-01	136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	6
2016: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	128
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	115
Number of other retired or separated participants entitled to future benefits	2016-01-01	7
Total of all active and inactive participants	2016-01-01	122
Total participants	2016-01-01	122
Number of participants with account balances	2016-01-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	5
2015: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	138
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	109
Number of other retired or separated participants entitled to future benefits	2015-01-01	19
Total of all active and inactive participants	2015-01-01	128
Total participants	2015-01-01	128
Number of participants with account balances	2015-01-01	128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	18
2014: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	138
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	126
Number of other retired or separated participants entitled to future benefits	2014-01-01	12
Total of all active and inactive participants	2014-01-01	138
Total participants	2014-01-01	138
Number of participants with account balances	2014-01-01	138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	12
2013: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	137
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	137
Total of all active and inactive participants	2013-01-01	137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	138
Number of participants with account balances	2013-01-01	138

Financial Data on FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2020 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-06-17	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-06-17	$0
Total income from all sources (including contributions)	2020-06-17	$7,796
Total of all expenses incurred	2020-06-17	$1,714,055
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-06-17	$1,714,055
Value of total assets at end of year	2020-06-17	$0
Value of total assets at beginning of year	2020-06-17	$1,706,259
Total interest from all sources	2020-06-17	$7,796
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-06-17	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2020-06-17	$0
Was this plan covered by a fidelity bond	2020-06-17	Yes
Value of fidelity bond cover	2020-06-17	$1,000,000
If this is an individual account plan, was there a blackout period	2020-06-17	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-06-17	$0
Were there any nonexempt tranactions with any party-in-interest	2020-06-17	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-06-17	No
Value of net income/loss	2020-06-17	$-1,706,259
Value of net assets at end of year (total assets less liabilities)	2020-06-17	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-06-17	$1,706,259
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-06-17	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-06-17	No
Were any leases to which the plan was party in default or uncollectible	2020-06-17	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-06-17	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-06-17	$1,706,259
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-06-17	$1,706,259
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-06-17	$7,796
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-06-17	No
Was there a failure to transmit to the plan any participant contributions	2020-06-17	No
Has the plan failed to provide any benefit when due under the plan	2020-06-17	No
Assets. Invements in employer securities at end of year	2020-06-17	$0
Assets. Invements in employer securities at beginning of year	2020-06-17	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-06-17	$1,714,055
Did the plan have assets held for investment	2020-06-17	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-06-17	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-06-17	Yes
Liabilities. Value of acquisition indebtedness at end of year	2020-06-17	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2020-06-17	$0
Opinion of an independent qualified public accountant for this plan	2020-06-17	Unqualified
Accountancy firm name	2020-06-17	MAZARS USA LLP
Accountancy firm EIN	2020-06-17	131459550
2019 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$-693
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$-693
Total unrealized appreciation/depreciation of assets	2019-12-31	$-693
Total unrealized appreciation/depreciation of assets	2019-12-31	$-693
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$7,800,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$7,800,000
Expenses. Interest paid	2019-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2019-12-31	$0
Expenses. Interest paid	2019-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$7,864,981
Total income from all sources (including contributions)	2019-12-31	$7,864,981
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$4,859,415
Total of all expenses incurred	2019-12-31	$4,859,415
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$4,859,415
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$4,859,415
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$0
Value of total assets at end of year	2019-12-31	$1,706,259
Value of total assets at end of year	2019-12-31	$1,706,259
Value of total assets at beginning of year	2019-12-31	$6,500,693
Value of total assets at beginning of year	2019-12-31	$6,500,693
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$0
Total interest from all sources	2019-12-31	$0
Total interest from all sources	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$4,008,419
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$4,008,419
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Other income not declared elsewhere	2019-12-31	$3,857,255
Other income not declared elsewhere	2019-12-31	$3,857,255
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$3,005,566
Value of net income/loss	2019-12-31	$3,005,566
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,706,259
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,706,259
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$-1,299,307
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$-1,299,307
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$1,706,259
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$1,706,259
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Assets. Invements in employer securities at end of year	2019-12-31	$0
Assets. Invements in employer securities at end of year	2019-12-31	$0
Assets. Invements in employer securities at beginning of year	2019-12-31	$6,500,693
Assets. Invements in employer securities at beginning of year	2019-12-31	$6,500,693
Contributions received in cash from employer	2019-12-31	$0
Contributions received in cash from employer	2019-12-31	$0
Income. Dividends from preferred stock	2019-12-31	$4,008,419
Income. Dividends from preferred stock	2019-12-31	$4,008,419
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$4,859,415
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$4,859,415
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Liabilities. Value of acquisition indebtedness at end of year	2019-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2019-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2019-12-31	$7,800,000
Liabilities. Value of acquisition indebtedness at beginning of year	2019-12-31	$7,800,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Accountancy firm name	2019-12-31	MAZARS USA LLP
Accountancy firm name	2019-12-31	MAZARS USA LLP
Accountancy firm EIN	2019-12-31	131459550
Accountancy firm EIN	2019-12-31	131459550
2018 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$-9,100,970
Total unrealized appreciation/depreciation of assets	2018-12-31	$-9,100,970
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$7,800,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$8,400,000
Expenses. Interest paid	2018-12-31	$336,000
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2018-12-31	$336,000
Total income from all sources (including contributions)	2018-12-31	$-8,164,943
Total of all expenses incurred	2018-12-31	$336,027
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$27
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$936,027
Value of total assets at end of year	2018-12-31	$6,500,693
Value of total assets at beginning of year	2018-12-31	$15,601,663
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-8,500,970
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$-1,299,307
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$7,201,663
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Assets. Invements in employer securities at end of year	2018-12-31	$6,500,693
Assets. Invements in employer securities at beginning of year	2018-12-31	$15,601,663
Contributions received in cash from employer	2018-12-31	$936,027
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$27
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	No
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Liabilities. Value of acquisition indebtedness at end of year	2018-12-31	$7,800,000
Liabilities. Value of acquisition indebtedness at beginning of year	2018-12-31	$8,400,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	MAZARS USA LLP
Accountancy firm EIN	2018-12-31	131459550
2017 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$-754,279
Total unrealized appreciation/depreciation of assets	2017-12-31	$-754,279
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$8,400,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$9,000,000
Expenses. Interest paid	2017-12-31	$360,000
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-12-31	$360,000
Total income from all sources (including contributions)	2017-12-31	$205,618
Total of all expenses incurred	2017-12-31	$410,692
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$50,692
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$960,000
Value of total assets at end of year	2017-12-31	$15,601,663
Value of total assets at beginning of year	2017-12-31	$16,406,737
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Other income not declared elsewhere	2017-12-31	$-103
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$-205,074
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$7,201,663
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$7,406,737
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$103
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$103
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$15,601,663
Assets. Invements in employer securities at beginning of year	2017-12-31	$16,406,634
Contributions received in cash from employer	2017-12-31	$960,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$50,692
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Liabilities. Value of acquisition indebtedness at end of year	2017-12-31	$8,400,000
Liabilities. Value of acquisition indebtedness at beginning of year	2017-12-31	$9,000,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	MAZARS USA LLP
Accountancy firm EIN	2017-12-31	131459550
2016 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$4,539,698
Total unrealized appreciation/depreciation of assets	2016-12-31	$4,539,698
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$9,000,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$9,600,000
Expenses. Interest paid	2016-12-31	$384,000
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$384,000
Total income from all sources (including contributions)	2016-12-31	$5,524,118
Total of all expenses incurred	2016-12-31	$437,486
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$53,486
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$984,420
Value of total assets at end of year	2016-12-31	$16,406,737
Value of total assets at beginning of year	2016-12-31	$11,920,105
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$5,086,632
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$7,406,737
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$2,320,105
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$103
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$105
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$105
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$16,406,634
Assets. Invements in employer securities at beginning of year	2016-12-31	$11,920,000
Contributions received in cash from employer	2016-12-31	$984,420
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$53,486
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Liabilities. Value of acquisition indebtedness at end of year	2016-12-31	$9,000,000
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$9,600,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	MAZARS USA LLP
Accountancy firm EIN	2016-12-31	131459550
2015 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$1,120,000
Total unrealized appreciation/depreciation of assets	2015-12-31	$1,120,000
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$9,600,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$10,200,000
Expenses. Interest paid	2015-12-31	$406,882
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$406,882
Total income from all sources (including contributions)	2015-12-31	$2,131,331
Total of all expenses incurred	2015-12-31	$411,331
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$4,449
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,011,331
Value of total assets at end of year	2015-12-31	$11,920,105
Value of total assets at beginning of year	2015-12-31	$10,800,105
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$1,720,000
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$2,320,105
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$600,105
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$105
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$105
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$105
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$11,920,000
Assets. Invements in employer securities at beginning of year	2015-12-31	$10,800,000
Contributions received in cash from employer	2015-12-31	$1,011,331
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$4,449
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	No
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Liabilities. Value of acquisition indebtedness at end of year	2015-12-31	$9,600,000
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$10,200,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	WEISERMAZARS LLP
Accountancy firm EIN	2015-12-31	131459550
2014 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$-280,000
Total unrealized appreciation/depreciation of assets	2014-12-31	$-280,000
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$10,200,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$10,800,000
Expenses. Interest paid	2014-12-31	$430,816
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$430,816
Total income from all sources (including contributions)	2014-12-31	$751,453
Total of all expenses incurred	2014-12-31	$431,348
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$532
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,031,348
Value of total assets at end of year	2014-12-31	$10,800,105
Value of total assets at beginning of year	2014-12-31	$11,080,000
Total interest from all sources	2014-12-31	$105
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$320,105
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$600,105
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$280,000
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$105
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$105
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$10,800,000
Assets. Invements in employer securities at beginning of year	2014-12-31	$11,080,000
Contributions received in cash from employer	2014-12-31	$1,031,348
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$532
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	No
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$10,200,000
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$10,800,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	WEISERMAZARS LLP
Accountancy firm EIN	2014-12-31	131459550
2013 : FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$-920,000
Total unrealized appreciation/depreciation of assets	2013-12-31	$-920,000
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$10,800,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$12,013,000
Expenses. Interest paid	2013-12-31	$469,735
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$469,735
Total income from all sources (including contributions)	2013-12-31	$762,735
Total of all expenses incurred	2013-12-31	$469,735
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,682,735
Value of total assets at end of year	2013-12-31	$11,080,000
Value of total assets at beginning of year	2013-12-31	$12,000,000
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$293,000
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$280,000
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$-13,000
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$11,080,000
Assets. Invements in employer securities at beginning of year	2013-12-31	$12,000,000
Contributions received in cash from employer	2013-12-31	$1,682,735
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$10,800,000
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$12,013,000
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	ALBRECHT, VIGGIANO, ZURECK & CO, P.
Accountancy firm EIN	2013-12-31	112556624

Form 5500 Responses for FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN

2020: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	Yes
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: FIRST EMPIRE HOLDING CORP EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	FIRST EMPIRE HOLDING CORP.
Employer identification number (EIN):	320254913
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	2008-06-27
Company Identification Number:	3690429
Legal Registered Office Address:	501 N. Broadway ave 2ND FLOOR saint louis United States of America (USA) 63102

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2020-01-01	KRISTEN JOHNSON	2021-04-08
002	2019-01-01	KRISTEN JOHNSON	2020-10-15
002	2018-01-01	LENA BHOLAN	2019-09-03
002	2017-01-01
002	2016-01-01
002	2015-01-01
002	2014-01-01
002	2013-01-01