401k Plan data: HERITAGE OAKS BANK RETIREMENT PLAN plan

HERITAGE OAKS BANK RETIREMENT PLAN 401k Plan overview

Plan Name	HERITAGE OAKS BANK RETIREMENT PLAN
Plan identification number	001

HERITAGE OAKS BANK RETIREMENT 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

HERITAGE OAKS BANK has sponsored the creation of one or more 401k plans.

Company Name: HERITAGE OAKS BANK

Employer identification number (EIN): 450407749

NAIC Classification: 522110
NAIC Description: Commercial Banking

Additional information about HERITAGE OAKS BANK

Jurisdiction of Incorporation: California Department of State

Incorporation Date:

Company Identification Number: C1153806

More information about HERITAGE OAKS BANK

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HERITAGE OAKS BANK RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 BRIAN AGUIRRE BRIAN AGUIRRE 2018-04-13
001 2016-01-01 BRIAN AGUIRRE BRIAN AGUIRRE 2017-10-16
001 2015-01-01 DEANNA ELMERICK DEANNA ELMERICK 2016-10-04
001 2014-01-01 BETH TURNER BETH TURNER 2015-10-15
001 2014-01-01 BETH TURNER BETH TURNER 2015-11-04
001 2013-01-01 BETH TURNER BETH TURNER 2014-10-14
001 2012-01-01 BETH TURNER BETH TURNER 2013-10-15
001 2012-01-01 BETH TURNER BETH TURNER 2013-10-15
001 2011-01-01 KAREN DALLY
001 2009-01-01 LAWRENCE WARD

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	BRIAN AGUIRRE	BRIAN AGUIRRE	2018-04-13
001	2016-01-01	BRIAN AGUIRRE	BRIAN AGUIRRE	2017-10-16
001	2015-01-01	DEANNA ELMERICK	DEANNA ELMERICK	2016-10-04
001	2014-01-01	BETH TURNER	BETH TURNER	2015-10-15
001	2014-01-01	BETH TURNER	BETH TURNER	2015-11-04
001	2013-01-01	BETH TURNER	BETH TURNER	2014-10-14
001	2012-01-01	BETH TURNER	BETH TURNER	2013-10-15
001	2012-01-01	BETH TURNER	BETH TURNER	2013-10-15
001	2011-01-01	KAREN DALLY
001	2009-01-01	LAWRENCE WARD

Plan Statistics for HERITAGE OAKS BANK RETIREMENT PLAN

401k plan membership statisitcs for HERITAGE OAKS BANK RETIREMENT PLAN

Measure Date Value
2017: HERITAGE OAKS BANK RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 346
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: HERITAGE OAKS BANK RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 332
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 283
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 48
Total of all active and inactive participants 2016-01-01 331
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 331
Number of participants with account balances 2016-01-01 323
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 20
2015: HERITAGE OAKS BANK RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 302
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 247
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 53
Total of all active and inactive participants 2015-01-01 300
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 301
Number of participants with account balances 2015-01-01 288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 16
2014: HERITAGE OAKS BANK RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 251
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 272
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 42
Total of all active and inactive participants 2014-01-01 314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 314
Number of participants with account balances 2014-01-01 301
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 47
2013: HERITAGE OAKS BANK RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 273
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 223
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 27
Total of all active and inactive participants 2013-01-01 250
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 250
Number of participants with account balances 2013-01-01 239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 30
2012: HERITAGE OAKS BANK RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 305
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 259
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 52
Total of all active and inactive participants 2012-01-01 311
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 311
Number of participants with account balances 2012-01-01 258
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 29
2011: HERITAGE OAKS BANK RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 315
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 242
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 93
Total of all active and inactive participants 2011-01-01 335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 335
Number of participants with account balances 2011-01-01 307
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 38
2009: HERITAGE OAKS BANK RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 252
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 243
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 26
Total of all active and inactive participants 2009-01-01 269
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 269
Number of participants with account balances 2009-01-01 190
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 4

Measure	Date	Value
2017: HERITAGE OAKS BANK RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	346
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: HERITAGE OAKS BANK RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	332
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	283
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	48
Total of all active and inactive participants	2016-01-01	331
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	331
Number of participants with account balances	2016-01-01	323
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	20
2015: HERITAGE OAKS BANK RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	302
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	247
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	53
Total of all active and inactive participants	2015-01-01	300
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	301
Number of participants with account balances	2015-01-01	288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	16
2014: HERITAGE OAKS BANK RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	251
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	272
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	42
Total of all active and inactive participants	2014-01-01	314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	314
Number of participants with account balances	2014-01-01	301
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	47
2013: HERITAGE OAKS BANK RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	273
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	223
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	27
Total of all active and inactive participants	2013-01-01	250
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	250
Number of participants with account balances	2013-01-01	239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	30
2012: HERITAGE OAKS BANK RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	305
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	259
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	52
Total of all active and inactive participants	2012-01-01	311
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	311
Number of participants with account balances	2012-01-01	258
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	29
2011: HERITAGE OAKS BANK RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	315
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	242
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	93
Total of all active and inactive participants	2011-01-01	335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	335
Number of participants with account balances	2011-01-01	307
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	38
2009: HERITAGE OAKS BANK RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	252
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	243
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	26
Total of all active and inactive participants	2009-01-01	269
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	269
Number of participants with account balances	2009-01-01	190
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	4

Financial Data on HERITAGE OAKS BANK RETIREMENT PLAN

Measure	Date	Value
2017 : HERITAGE OAKS BANK RETIREMENT PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-06-12	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-06-12	$0
Total unrealized appreciation/depreciation of assets	2017-06-12	$0
Total transfer of assets to this plan	2017-06-12	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-12	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-06-12	$0
Total income from all sources (including contributions)	2017-06-12	$1,354,203
Total loss/gain on sale of assets	2017-06-12	$0
Total of all expenses incurred	2017-06-12	$14,080,290
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-06-12	$14,054,713
Expenses. Certain deemed distributions of participant loans	2017-06-12	$0
Value of total corrective distributions	2017-06-12	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-06-12	$565,395
Value of total assets at end of year	2017-06-12	$0
Value of total assets at beginning of year	2017-06-12	$12,726,087
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-06-12	$25,577
Total income from rents	2017-06-12	$0
Total interest from all sources	2017-06-12	$5,224
Total dividends received (eg from common stock, registered investment company shares)	2017-06-12	$34,820
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-06-12	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-06-12	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-06-12	$34,820
Administrative expenses professional fees incurred	2017-06-12	$0
Was this plan covered by a fidelity bond	2017-06-12	Yes
Value of fidelity bond cover	2017-06-12	$6,000,000
If this is an individual account plan, was there a blackout period	2017-06-12	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-06-12	$0
Were there any nonexempt tranactions with any party-in-interest	2017-06-12	No
Amount of non-exempt transactions with any party-in-interest	2017-06-12	$0
Contributions received from participants	2017-06-12	$446,671
Participant contributions at end of year	2017-06-12	$0
Participant contributions at beginning of year	2017-06-12	$236,848
Participant contributions at end of year	2017-06-12	$0
Participant contributions at beginning of year	2017-06-12	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-06-12	$2,213
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-06-12	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-06-12	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-06-12	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-06-12	$0
Other income not declared elsewhere	2017-06-12	$-291
Administrative expenses (other) incurred	2017-06-12	$113
Liabilities. Value of operating payables at beginning of year	2017-06-12	$0
Total non interest bearing cash at end of year	2017-06-12	$0
Total non interest bearing cash at beginning of year	2017-06-12	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-06-12	No
Value of net income/loss	2017-06-12	$-12,726,087
Value of net assets at end of year (total assets less liabilities)	2017-06-12	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-06-12	$12,726,087
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-06-12	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-06-12	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2017-06-12	$0
Were any leases to which the plan was party in default or uncollectible	2017-06-12	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2017-06-12	$0
Investment advisory and management fees	2017-06-12	$10,772
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-06-12	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-06-12	$10,707,382
Value of interest in pooled separate accounts at end of year	2017-06-12	$0
Value of interest in pooled separate accounts at beginning of year	2017-06-12	$1,318,652
Interest on participant loans	2017-06-12	$2,970
Income. Interest from loans (other than to participants)	2017-06-12	$0
Interest earned on other investments	2017-06-12	$2,254
Income. Interest from US Government securities	2017-06-12	$0
Income. Interest from corporate debt instruments	2017-06-12	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-06-12	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-06-12	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-06-12	$463,205
Expenses. Payments to insurance carriers foe the provision of benefits	2017-06-12	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-06-12	$682,628
Net investment gain/loss from pooled separate accounts	2017-06-12	$66,427
Net investment gain or loss from common/collective trusts	2017-06-12	$0
Net gain/loss from 103.12 investment entities	2017-06-12	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-06-12	No
Was there a failure to transmit to the plan any participant contributions	2017-06-12	No
Has the plan failed to provide any benefit when due under the plan	2017-06-12	No
Contributions received in cash from employer	2017-06-12	$116,511
Employer contributions (assets) at end of year	2017-06-12	$0
Employer contributions (assets) at beginning of year	2017-06-12	$0
Income. Dividends from preferred stock	2017-06-12	$0
Income. Dividends from common stock	2017-06-12	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-06-12	$14,054,713
Contract administrator fees	2017-06-12	$14,692
Liabilities. Value of benefit claims payable at beginning of year	2017-06-12	$0
Did the plan have assets held for investment	2017-06-12	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	2017-06-12	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-06-12	Yes
Aggregate proceeds on sale of assets	2017-06-12	$0
Aggregate carrying amount (costs) on sale of assets	2017-06-12	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-06-12	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-06-12	Yes
Opinion of an independent qualified public accountant for this plan	2017-06-12	Disclaimer
Accountancy firm name	2017-06-12	CROWE HORWATH
Accountancy firm EIN	2017-06-12	350921680
2016 : HERITAGE OAKS BANK RETIREMENT PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$0
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$3,095,057
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,670,060
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,615,268
Expenses. Certain deemed distributions of participant loans	2016-12-31	$18,985
Value of total corrective distributions	2016-12-31	$850
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,242,194
Value of total assets at end of year	2016-12-31	$12,726,087
Value of total assets at beginning of year	2016-12-31	$11,301,090
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$34,957
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$20,950
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$199,989
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$199,989
Administrative expenses professional fees incurred	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$6,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Amount of non-exempt transactions with any party-in-interest	2016-12-31	$0
Contributions received from participants	2016-12-31	$1,407,277
Participant contributions at end of year	2016-12-31	$236,848
Participant contributions at beginning of year	2016-12-31	$242,804
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$49,733
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$420,603
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$442
Administrative expenses (other) incurred	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
Total non interest bearing cash at end of year	2016-12-31	$0
Total non interest bearing cash at beginning of year	2016-12-31	$0
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	$1,424,997
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$12,726,087
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$11,301,090
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2016-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$28,584
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$10,707,382
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$9,490,257
Value of interest in pooled separate accounts at end of year	2016-12-31	$1,318,652
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$935,964
Interest on participant loans	2016-12-31	$11,136
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$9,814
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$463,205
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$574,393
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$453,202
Net investment gain/loss from pooled separate accounts	2016-12-31	$178,280
Net investment gain or loss from common/collective trusts	2016-12-31	$0
Net gain/loss from 103.12 investment entities	2016-12-31	$0
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
Contributions received in cash from employer	2016-12-31	$414,314
Employer contributions (assets) at end of year	2016-12-31	$0
Employer contributions (assets) at beginning of year	2016-12-31	$7,939
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,615,268
Contract administrator fees	2016-12-31	$6,373
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
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
Aggregate proceeds on sale of assets	2016-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2016-12-31	350921680
2015 : HERITAGE OAKS BANK RETIREMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$0
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,541,295
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,457,239
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,407,266
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$14,553
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,632,625
Value of total assets at end of year	2015-12-31	$11,301,090
Value of total assets at beginning of year	2015-12-31	$11,217,034
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$35,420
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$18,035
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$180,567
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$180,567
Administrative expenses professional fees incurred	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$6,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Amount of non-exempt transactions with any party-in-interest	2015-12-31	$0
Contributions received from participants	2015-12-31	$1,228,597
Participant contributions at end of year	2015-12-31	$242,804
Participant contributions at beginning of year	2015-12-31	$364,066
Participant contributions at end of year	2015-12-31	$49,733
Participant contributions at beginning of year	2015-12-31	$796
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,052,074
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$1,388
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$1,181
Administrative expenses (other) incurred	2015-12-31	$334
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
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	$84,056
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$11,301,090
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$11,217,034
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2015-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$27,865
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$9,490,257
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$10,621,967
Value of interest in pooled separate accounts at end of year	2015-12-31	$935,964
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$11,691
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$6,344
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$574,393
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$229,807
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-259,088
Net investment gain/loss from pooled separate accounts	2015-12-31	$-32,025
Net investment gain or loss from common/collective trusts	2015-12-31	$0
Net gain/loss from 103.12 investment entities	2015-12-31	$0
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
Contributions received in cash from employer	2015-12-31	$351,954
Employer contributions (assets) at end of year	2015-12-31	$7,939
Employer contributions (assets) at beginning of year	2015-12-31	$398
Income. Dividends from preferred stock	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,405,878
Contract administrator fees	2015-12-31	$7,221
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
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
Aggregate proceeds on sale of assets	2015-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	CROWE HORWATH
Accountancy firm EIN	2015-12-31	350921680
2014 : HERITAGE OAKS BANK RETIREMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$0
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$5,500
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$4,004,129
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,745,029
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,709,281
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$7,238
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$3,337,201
Value of total assets at end of year	2014-12-31	$11,217,034
Value of total assets at beginning of year	2014-12-31	$8,952,434
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$28,510
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$17,750
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$254,591
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$254,591
Administrative expenses professional fees incurred	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$6,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Amount of non-exempt transactions with any party-in-interest	2014-12-31	$0
Contributions received from participants	2014-12-31	$1,105,029
Participant contributions at end of year	2014-12-31	$364,066
Participant contributions at beginning of year	2014-12-31	$296,969
Participant contributions at end of year	2014-12-31	$796
Participant contributions at beginning of year	2014-12-31	$2
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$1,952,677
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$13,069
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$1,146
Administrative expenses (other) incurred	2014-12-31	$4
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
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	$2,259,100
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$11,217,034
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$8,952,434
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2014-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$25,184
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$10,621,967
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$8,583,736
Interest on participant loans	2014-12-31	$15,122
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$2,628
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$229,807
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$70,959
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$393,441
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
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	Yes
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$279,495
Employer contributions (assets) at end of year	2014-12-31	$398
Employer contributions (assets) at beginning of year	2014-12-31	$768
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,696,212
Contract administrator fees	2014-12-31	$3,322
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
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
Aggregate proceeds on sale of assets	2014-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Qualified
Accountancy firm name	2014-12-31	CROWE HORWATH
Accountancy firm EIN	2014-12-31	350921680
2013 : HERITAGE OAKS BANK RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$2,711,260
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,612,012
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,589,891
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,458,979
Value of total assets at end of year	2013-12-31	$8,952,434
Value of total assets at beginning of year	2013-12-31	$7,853,186
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$22,121
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$15,863
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$216,400
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$216,400
Administrative expenses professional fees incurred	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$6,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Amount of non-exempt transactions with any party-in-interest	2013-12-31	$0
Contributions received from participants	2013-12-31	$848,581
Participant contributions at end of year	2013-12-31	$296,969
Participant contributions at beginning of year	2013-12-31	$385,119
Participant contributions at end of year	2013-12-31	$2
Participant contributions at beginning of year	2013-12-31	$28,509
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$534,907
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$697
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$30
Administrative expenses (other) incurred	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
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	$1,099,248
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$8,952,434
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$7,853,186
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2013-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$19,914
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$8,583,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$7,331,111
Interest on participant loans	2013-12-31	$14,280
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$1,583
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$70,959
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$103,119
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,019,988
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
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	Yes
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$75,491
Employer contributions (assets) at end of year	2013-12-31	$768
Employer contributions (assets) at beginning of year	2013-12-31	$5,328
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,589,194
Contract administrator fees	2013-12-31	$2,207
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
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
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2013-12-31	350921680
2012 : HERITAGE OAKS BANK RETIREMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$0
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$10,023
Expenses. Interest paid	2012-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$2,178,671
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,842,794
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,826,624
Expenses. Certain deemed distributions of participant loans	2012-12-31	$0
Value of total corrective distributions	2012-12-31	$1,631
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,141,755
Value of total assets at end of year	2012-12-31	$7,853,186
Value of total assets at beginning of year	2012-12-31	$7,527,332
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$14,539
Total income from rents	2012-12-31	$0
Total interest from all sources	2012-12-31	$3,345
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$64,853
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$64,853
Administrative expenses professional fees incurred	2012-12-31	$8,467
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$6,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Amount of non-exempt transactions with any party-in-interest	2012-12-31	$0
Contributions received from participants	2012-12-31	$751,953
Participant contributions at end of year	2012-12-31	$385,119
Participant contributions at beginning of year	2012-12-31	$306,385
Participant contributions at end of year	2012-12-31	$28,509
Participant contributions at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$244,909
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$10,023
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$3
Liabilities. Value of operating payables at beginning of year	2012-12-31	$0
Total non interest bearing cash at end of year	2012-12-31	$0
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Income. Non cash contributions	2012-12-31	$0
Value of net income/loss	2012-12-31	$335,877
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$7,853,186
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$7,517,309
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2012-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2012-12-31	$0
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$7,331,111
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,200,930
Value of interest in pooled separate accounts at end of year	2012-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$0
Interest on participant loans	2012-12-31	$3,297
Income. Interest from loans (other than to participants)	2012-12-31	$0
Interest earned on other investments	2012-12-31	$48
Income. Interest from US Government securities	2012-12-31	$0
Income. Interest from corporate debt instruments	2012-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$103,119
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$20,017
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$968,718
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$0
Net gain/loss from 103.12 investment entities	2012-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$144,893
Employer contributions (assets) at end of year	2012-12-31	$5,328
Employer contributions (assets) at beginning of year	2012-12-31	$0
Income. Dividends from preferred stock	2012-12-31	$0
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,826,624
Contract administrator fees	2012-12-31	$6,069
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	2012-12-31	Yes
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2012-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Qualified
Accountancy firm name	2012-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2012-12-31	350921680
2011 : HERITAGE OAKS BANK RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$10,023
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$33,229
Total income from all sources (including contributions)	2011-12-31	$980,940
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,366,181
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,318,102
Value of total corrective distributions	2011-12-31	$10,023
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,169,601
Value of total assets at end of year	2011-12-31	$7,527,332
Value of total assets at beginning of year	2011-12-31	$7,935,779
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$38,056
Total interest from all sources	2011-12-31	$18,840
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$699,731
Participant contributions at end of year	2011-12-31	$306,385
Participant contributions at beginning of year	2011-12-31	$317,511
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$308,618
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$10,023
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$33,229
Other income not declared elsewhere	2011-12-31	$-56
Administrative expenses (other) incurred	2011-12-31	$7,804
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-385,241
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$7,517,309
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$7,902,550
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$7,200,930
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$7,602,153
Interest on participant loans	2011-12-31	$13,720
Interest earned on other investments	2011-12-31	$5,120
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$20,017
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$11,704
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-207,445
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$161,252
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$4,411
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,318,102
Contract administrator fees	2011-12-31	$30,252
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	CROWE HORWATH, LLP
Accountancy firm EIN	2011-12-31	350921680
2010 : HERITAGE OAKS BANK RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$33,229
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$1,815,941
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$988,460
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$890,596
Expenses. Certain deemed distributions of participant loans	2010-12-31	$17,881
Value of total corrective distributions	2010-12-31	$33,229
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$943,272
Value of total assets at end of year	2010-12-31	$7,935,779
Value of total assets at beginning of year	2010-12-31	$7,075,069
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$46,754
Total interest from all sources	2010-12-31	$20,854
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$3,026
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$671,646
Participant contributions at end of year	2010-12-31	$317,511
Participant contributions at beginning of year	2010-12-31	$380,856
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$23,544
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$108,929
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$33,229
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$0
Other income not declared elsewhere	2010-12-31	$-9,148
Administrative expenses (other) incurred	2010-12-31	$43,728
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$827,481
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$7,902,550
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$7,075,069
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$7,602,153
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$6,362,896
Interest on participant loans	2010-12-31	$15,609
Interest earned on other investments	2010-12-31	$5,245
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$11,704
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$302,087
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$860,963
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$162,697
Employer contributions (assets) at end of year	2010-12-31	$4,411
Employer contributions (assets) at beginning of year	2010-12-31	$5,686
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$890,596
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	PERRY-SMITH LLP
Accountancy firm EIN	2010-12-31	680041802
2009 : HERITAGE OAKS BANK RETIREMENT 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 HERITAGE OAKS BANK RETIREMENT PLAN

2017: HERITAGE OAKS BANK RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: HERITAGE OAKS BANK RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: HERITAGE OAKS BANK RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: HERITAGE OAKS BANK RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: HERITAGE OAKS BANK RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: HERITAGE OAKS BANK RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: HERITAGE OAKS BANK RETIREMENT 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: HERITAGE OAKS BANK RETIREMENT 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

458914

Policy instance

Insurance contract or identification number	458914
Number of Individuals Covered	0
Insurance policy start date	2017-01-01
Insurance policy end date	2017-06-12
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $695
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	695
Additional information about fees paid to insurance broker	PRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?	3
Insurance broker name	KESTRA INVESTMENT SERVICES LLC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	0
Insurance policy start date	2017-01-01
Insurance policy end date	2017-06-12
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $244
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	244
Additional information about fees paid to insurance broker	PRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?	3
Insurance broker name	KESTRA INVESTMENT SERVICES LLC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

458914

Policy instance

Insurance contract or identification number	458914
Number of Individuals Covered	301
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	301
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $68
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	68
Additional information about fees paid to insurance broker	PRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?	3
Insurance broker name	NFP ADVISOR SERVICES LLC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	314
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	250
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

23179

Policy instance

Insurance contract or identification number	23179
Number of Individuals Covered	0
Insurance policy start date	2012-01-01
Insurance policy end date	2012-11-01
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	311
Insurance policy start date	2012-11-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

23179

Policy instance

Insurance contract or identification number	23179
Number of Individuals Covered	276
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $27,112
Total amount of fees paid to insurance company	USD $8,434
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

23179

Policy instance

Insurance contract or identification number	23179
Number of Individuals Covered	217
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $35,190
Total amount of fees paid to insurance company	USD $5,938
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

Potentially related plans

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Company Name:	HERITAGE OAKS BANK
Employer identification number (EIN):	450407749
NAIC Classification:	522110
NAIC Description:	Commercial Banking

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:
Company Identification Number:	C1153806