401k Plan data: SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN plan

SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 401k Plan overview

Plan Name	SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN
Plan identification number	003

SOUTHEAST TEXAS BANCSHARES, INC. 401(K) 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.

401k Sponsoring company profile

BBVA USA BANCSHARES, INC. has sponsored the creation of one or more 401k plans.

Company Name: BBVA USA BANCSHARES, INC.

Employer identification number (EIN): 752641879

NAIC Classification: 522110
NAIC Description: Commercial Banking

Additional information about BBVA USA BANCSHARES, INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2007-02-15

Company Identification Number: 0800774658

Legal Registered Office Address: 350 N SAINT PAUL ST

DALLAS
United States of America (USA)
75201

More information about BBVA USA BANCSHARES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2014-01-01 KELCEY WHARTON 2015-01-27 KELCEY WHARTON 2015-01-27
003 2013-01-01 KELCEY WHARTON 2014-10-14 KELCEY WHARTON 2014-10-14
003 2012-01-01 RICHARD TALLO 2013-10-07
003 2011-01-01 RICHARD TALLO
003 2009-01-01 RICHARD TALLO 2010-10-15
003 2009-01-01 RICHARD TALLO

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2014-01-01	KELCEY WHARTON	2015-01-27	KELCEY WHARTON	2015-01-27
003	2013-01-01	KELCEY WHARTON	2014-10-14	KELCEY WHARTON	2014-10-14
003	2012-01-01	RICHARD TALLO	2013-10-07
003	2011-01-01	RICHARD TALLO
003	2009-01-01			RICHARD TALLO	2010-10-15
003	2009-01-01	RICHARD TALLO

Plan Statistics for SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN

401k plan membership statisitcs for SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN

Measure Date Value
2011: SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 135
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 58
Number of retired or separated participants receiving benefits 2011-01-01 108
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 169
Number of participants with account balances 2011-01-01 114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 215
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 81
Number of retired or separated participants receiving benefits 2009-01-01 32
Number of other retired or separated participants entitled to future benefits 2009-01-01 55
Total of all active and inactive participants 2009-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 169
Number of participants with account balances 2009-01-01 162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0
Number of employers contributing to the scheme 2009-01-01 0

Measure	Date	Value
2011: SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	135
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	58
Number of retired or separated participants receiving benefits	2011-01-01	108
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	169
Number of participants with account balances	2011-01-01	114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	215
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	81
Number of retired or separated participants receiving benefits	2009-01-01	32
Number of other retired or separated participants entitled to future benefits	2009-01-01	55
Total of all active and inactive participants	2009-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	169
Number of participants with account balances	2009-01-01	162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0
Number of employers contributing to the scheme	2009-01-01	0

Financial Data on SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN

Measure	Date	Value
2011 : SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$3,956,755
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$28,874
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$12,671
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$9,420
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$0
Value of total assets at end of year	2011-12-31	$47,695
Value of total assets at beginning of year	2011-12-31	$3,988,247
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$3,251
Total interest from all sources	2011-12-31	$0
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	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Administrative expenses professional fees incurred	2011-12-31	$3,251
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	Yes
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
Participant contributions at beginning of year	2011-12-31	$200,417
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$595
Total non interest bearing cash at end of year	2011-12-31	$47,695
Total non interest bearing cash at beginning of year	2011-12-31	$14,969
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	$16,203
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$47,695
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$3,988,247
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 beginning of year	2011-12-31	$1,477,340
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$2,294,926
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$2,294,926
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$28,874
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	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$9,420
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	2011-12-31	Yes
Did the plan have assets held for investment	2011-12-31	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	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	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	DELOITTE & TOUCHE LLP
Accountancy firm EIN	2011-12-31	133891517
2010 : SOUTHEAST TEXAS BANCSHARES, INC. 401(K) 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	$0
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	$237,363
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$508,378
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$468,418
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$0
Value of total assets at end of year	2010-12-31	$3,988,247
Value of total assets at beginning of year	2010-12-31	$4,259,262
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$39,960
Total interest from all sources	2010-12-31	$22,380
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$19,209
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2010-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$19,209
Administrative expenses professional fees incurred	2010-12-31	$39,960
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
Participant contributions at end of year	2010-12-31	$200,417
Participant contributions at beginning of year	2010-12-31	$300,623
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$595
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$282
Total non interest bearing cash at end of year	2010-12-31	$14,969
Total non interest bearing cash at beginning of year	2010-12-31	$5,840
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	$-271,015
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,988,247
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,259,262
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	$1,477,340
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$1,427,943
Interest on participant loans	2010-12-31	$13,234
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$2,294,926
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$2,524,574
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$2,524,574
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$9,146
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$195,774
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	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$468,418
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	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	DELOITTE & TOUCHE LLP
Accountancy firm EIN	2010-12-31	133891517

Form 5500 Responses for SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN

2011: SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: SOUTHEAST TEXAS BANCSHARES, INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BBVA USA BANCSHARES, INC.
Employer identification number (EIN):	752641879
NAIC Classification:	522110
NAIC Description:	Commercial Banking

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2007-02-15
Company Identification Number:	0800774658
Legal Registered Office Address:	350 N SAINT PAUL ST DALLAS United States of America (USA) 75201