401k Plan data: BANK OF SCOTLAND 401(K) PLAN plan

BANK OF SCOTLAND 401(K) PLAN 401k Plan overview

Plan Name	BANK OF SCOTLAND 401(K) PLAN
Plan identification number	002

BANK OF SCOTLAND 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.
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.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BANK OF SCOTLAND has sponsored the creation of one or more 401k plans.

Company Name: BANK OF SCOTLAND

Employer identification number (EIN): 980018456

NAIC Classification: 522110
NAIC Description: Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BANK OF SCOTLAND 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-01-01 ALEXANDRA SERNA ALEXANDRA SERNA 2015-10-15
002 2014-01-01 ALEXANDRA SERNA ALEXANDRA SERNA 2015-10-19
002 2013-01-01 ROBIN MIKLATEK ROBIN MIKLATEK 2014-10-15
002 2012-01-01 JULIE REID JULIE REID 2013-10-15
002 2011-01-01 JULIE REID
002 2010-01-01 DODA MANALANSAN
002 2009-01-01 ELIZABETH WILSON

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2014-01-01	ALEXANDRA SERNA	ALEXANDRA SERNA	2015-10-15
002	2014-01-01	ALEXANDRA SERNA	ALEXANDRA SERNA	2015-10-19
002	2013-01-01	ROBIN MIKLATEK	ROBIN MIKLATEK	2014-10-15
002	2012-01-01	JULIE REID	JULIE REID	2013-10-15
002	2011-01-01	JULIE REID
002	2010-01-01	DODA MANALANSAN
002	2009-01-01	ELIZABETH WILSON

Plan Statistics for BANK OF SCOTLAND 401(K) PLAN

401k plan membership statisitcs for BANK OF SCOTLAND 401(K) PLAN

Measure Date Value
2014: BANK OF SCOTLAND 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: BANK OF SCOTLAND 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 153
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 86
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 55
Total of all active and inactive participants 2013-01-01 141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 141
Number of participants with account balances 2013-01-01 132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 2
2012: BANK OF SCOTLAND 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 172
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 106
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 47
Total of all active and inactive participants 2012-01-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 153
Number of participants with account balances 2012-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 28
2011: BANK OF SCOTLAND 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 184
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 111
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 61
Total of all active and inactive participants 2011-01-01 172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 172
Number of participants with account balances 2011-01-01 167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 3
2010: BANK OF SCOTLAND 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 212
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 130
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 60
Total of all active and inactive participants 2010-01-01 190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 190
Number of participants with account balances 2010-01-01 175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 11
2009: BANK OF SCOTLAND 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 211
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 159
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 53
Total of all active and inactive participants 2009-01-01 212
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 212
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 9

Measure	Date	Value
2014: BANK OF SCOTLAND 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: BANK OF SCOTLAND 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	153
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	86
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	55
Total of all active and inactive participants	2013-01-01	141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	141
Number of participants with account balances	2013-01-01	132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	2
2012: BANK OF SCOTLAND 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	172
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	106
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	47
Total of all active and inactive participants	2012-01-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	153
Number of participants with account balances	2012-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	28
2011: BANK OF SCOTLAND 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	184
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	111
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	61
Total of all active and inactive participants	2011-01-01	172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	172
Number of participants with account balances	2011-01-01	167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	3
2010: BANK OF SCOTLAND 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	212
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	130
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	60
Total of all active and inactive participants	2010-01-01	190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	190
Number of participants with account balances	2010-01-01	175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	11
2009: BANK OF SCOTLAND 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	211
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	159
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	53
Total of all active and inactive participants	2009-01-01	212
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	212
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	9

Financial Data on BANK OF SCOTLAND 401(K) PLAN

Measure	Date	Value
2014 : BANK OF SCOTLAND 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$17,322,201
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	$-263,819
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$0
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$0
Value of total assets at end of year	2014-12-31	$0
Value of total assets at beginning of year	2014-12-31	$17,586,020
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$355
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$785
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	$785
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	$2,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$0
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$289,284
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$-131,748
Administrative expenses (other) incurred	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	$-263,819
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$17,586,020
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$14,718,299
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$-7
Interest earned on other investments	2014-12-31	$362
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$2,578,437
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	$-133,211
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
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Contributions received in cash from employer	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	$0
Contract administrator fees	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	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	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
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	Disclaimer
Accountancy firm name	2014-12-31	PRICEWATERHOUSECOOPERS
Accountancy firm EIN	2014-12-31	134008324
2013 : BANK OF SCOTLAND 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	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	$3,779,243
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,172,428
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,166,328
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	$1,034,986
Value of total assets at end of year	2013-12-31	$17,562,836
Value of total assets at beginning of year	2013-12-31	$14,956,021
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$6,100
Total interest from all sources	2013-12-31	$78,009
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$741,315
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	$741,315
Administrative expenses professional fees incurred	2013-12-31	$1,558
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$2,000,000
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
Contributions received from participants	2013-12-31	$732,063
Participant contributions at end of year	2013-12-31	$289,284
Participant contributions at beginning of year	2013-12-31	$160,772
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$13,885
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$-93,521
Administrative expenses (other) incurred	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	$2,606,815
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$17,562,836
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$14,956,021
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$2,732
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$14,718,299
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$12,093,943
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$9,320
Interest earned on other investments	2013-12-31	$68,689
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$2,530,454
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$2,659,438
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	$2,018,454
Net investment gain/loss from pooled separate accounts	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	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$289,038
Employer contributions (assets) at end of year	2013-12-31	$24,799
Employer contributions (assets) at beginning of year	2013-12-31	$41,868
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	$1,166,328
Contract administrator fees	2013-12-31	$1,810
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
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	PRICEWATERHOUSECOOPERS
Accountancy firm EIN	2013-12-31	134008324
2012 : BANK OF SCOTLAND 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	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	$0
Total income from all sources (including contributions)	2012-12-31	$3,210,690
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,167,988
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,151,052
Expenses. Certain deemed distributions of participant loans	2012-12-31	$258
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,455,449
Value of total assets at end of year	2012-12-31	$14,956,021
Value of total assets at beginning of year	2012-12-31	$13,913,319
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$16,678
Total interest from all sources	2012-12-31	$56,649
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$417,723
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	$417,723
Administrative expenses professional fees incurred	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$2,000,000
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
Contributions received from participants	2012-12-31	$1,041,981
Participant contributions at end of year	2012-12-31	$160,772
Participant contributions at beginning of year	2012-12-31	$248,876
Participant contributions at beginning of year	2012-12-31	$34,474
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$15,401
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
Value of net income/loss	2012-12-31	$1,042,702
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$14,956,021
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$13,913,319
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
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
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	$12,093,943
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$10,393,214
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	$9,304
Interest earned on other investments	2012-12-31	$47,345
Value of interest in common/collective trusts at end of year	2012-12-31	$0
Value of interest in common/collective trusts at beginning of year	2012-12-31	$3,186,436
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$2,659,438
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$0
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	$1,312,987
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$-32,118
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
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
Assets. Invements in employer securities at end of year	2012-12-31	$0
Assets. Invements in employer securities at beginning of year	2012-12-31	$0
Contributions received in cash from employer	2012-12-31	$413,468
Employer contributions (assets) at end of year	2012-12-31	$41,868
Employer contributions (assets) at beginning of year	2012-12-31	$50,319
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	$2,151,052
Contract administrator fees	2012-12-31	$1,277
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
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
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	Disclaimer
Accountancy firm name	2012-12-31	PRICEWATERHOUSECOOPERS
Accountancy firm EIN	2012-12-31	134008324
2011 : BANK OF SCOTLAND 401(K) 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	$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	$1,202,837
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,282,867
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,212,057
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,575,865
Value of total assets at end of year	2011-12-31	$13,913,319
Value of total assets at beginning of year	2011-12-31	$13,993,349
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$70,810
Total interest from all sources	2011-12-31	$11,376
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$295,485
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$295,485
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$2,000,000
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	$1,132,630
Participant contributions at end of year	2011-12-31	$248,876
Participant contributions at beginning of year	2011-12-31	$266,185
Participant contributions at end of year	2011-12-31	$34,474
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$6,352
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	$-80,030
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$13,913,319
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$13,993,349
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
Investment advisory and management fees	2011-12-31	$70,810
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$10,393,214
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$11,537,949
Interest on participant loans	2011-12-31	$11,376
Value of interest in common/collective trusts at end of year	2011-12-31	$3,186,436
Value of interest in common/collective trusts at beginning of year	2011-12-31	$2,099,105
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$56,451
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$56,451
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-679,889
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
Contributions received in cash from employer	2011-12-31	$443,235
Employer contributions (assets) at end of year	2011-12-31	$50,319
Employer contributions (assets) at beginning of year	2011-12-31	$27,307
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,212,057
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	PRICEWATERHOUSE COOPERS
Accountancy firm EIN	2011-12-31	134008324
2010 : BANK OF SCOTLAND 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	$3,439,296
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,774,367
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,703,340
Expenses. Certain deemed distributions of participant loans	2010-12-31	$6,504
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,781,808
Value of total assets at end of year	2010-12-31	$13,993,349
Value of total assets at beginning of year	2010-12-31	$12,328,420
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$64,523
Total interest from all sources	2010-12-31	$11,097
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$302,667
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$302,667
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$2,000,000
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	$1,256,142
Participant contributions at end of year	2010-12-31	$266,185
Participant contributions at beginning of year	2010-12-31	$180,165
Participant contributions at beginning of year	2010-12-31	$40,979
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$83,009
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$6,352
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$7,354
Administrative expenses (other) incurred	2010-12-31	$1,900
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	$1,664,929
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$13,993,349
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$12,328,420
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
Investment advisory and management fees	2010-12-31	$62,623
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$11,537,949
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$9,784,323
Interest on participant loans	2010-12-31	$11,067
Value of interest in common/collective trusts at end of year	2010-12-31	$2,099,105
Value of interest in common/collective trusts at beginning of year	2010-12-31	$2,273,820
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$56,451
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$23,593
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$23,593
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$30
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,273,704
Net investment gain or loss from common/collective trusts	2010-12-31	$70,020
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
Contributions received in cash from employer	2010-12-31	$442,657
Employer contributions (assets) at end of year	2010-12-31	$27,307
Employer contributions (assets) at beginning of year	2010-12-31	$18,186
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,703,340
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	PRICEWATERHOUSE COOPERS
Accountancy firm EIN	2010-12-31	134008324
2009 : BANK OF SCOTLAND 401(K) 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 BANK OF SCOTLAND 401(K) PLAN

2014: BANK OF SCOTLAND 401(K) 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: BANK OF SCOTLAND 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – 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: BANK OF SCOTLAND 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – 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: BANK OF SCOTLAND 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
2010: BANK OF SCOTLAND 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: BANK OF SCOTLAND 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BANK OF SCOTLAND
Employer identification number (EIN):	980018456
NAIC Classification:	522110
NAIC Description:	Commercial Banking