401k Plan data: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN plan

THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	005

THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).

401k Sponsoring company profile

PEOPLES UNITED FINANCIAL, INC. has sponsored the creation of one or more 401k plans.

Company Name: PEOPLES UNITED FINANCIAL, INC.

Employer identification number (EIN): 208447891

NAIC Classification: 522110
NAIC Description: Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2014-01-01 MICHELLE MCNEIL MICHELLE MCNEIL 2015-05-14
005 2013-01-01 MICHELLE MCNEIL MICHELLE MCNEIL 2014-07-31
005 2012-01-01 MICHELLE MCNEIL MICHELLE MCNEIL 2013-07-31
005 2011-01-01 MICHELLE MCNEIL
005 2010-01-01 MARIA STOLFI

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
005	2014-01-01	MICHELLE MCNEIL	MICHELLE MCNEIL	2015-05-14
005	2013-01-01	MICHELLE MCNEIL	MICHELLE MCNEIL	2014-07-31
005	2012-01-01	MICHELLE MCNEIL	MICHELLE MCNEIL	2013-07-31
005	2011-01-01	MICHELLE MCNEIL
005	2010-01-01	MARIA STOLFI

Plan Statistics for THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2014: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 48
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: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 56
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 20
Number of other retired or separated participants entitled to future benefits 2013-01-01 28
Total of all active and inactive participants 2013-01-01 48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 48
Number of participants with account balances 2013-01-01 48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 79
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 23
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 33
Total of all active and inactive participants 2012-01-01 56
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 56
Number of participants with account balances 2012-01-01 56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 105
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 68
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 11
Total of all active and inactive participants 2011-01-01 79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 79
Number of participants with account balances 2011-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 99
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 91
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 14
Total of all active and inactive participants 2010-01-01 105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 105
Number of participants with account balances 2010-01-01 105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0

Measure	Date	Value
2014: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	48
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: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	56
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	20
Number of other retired or separated participants entitled to future benefits	2013-01-01	28
Total of all active and inactive participants	2013-01-01	48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	48
Number of participants with account balances	2013-01-01	48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	79
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	23
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	33
Total of all active and inactive participants	2012-01-01	56
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	56
Number of participants with account balances	2012-01-01	56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	105
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	68
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	11
Total of all active and inactive participants	2011-01-01	79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	79
Number of participants with account balances	2011-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	99
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	91
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	14
Total of all active and inactive participants	2010-01-01	105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	105
Number of participants with account balances	2010-01-01	105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0

Financial Data on THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2014 : THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total income from all sources	2014-07-21	$79
Expenses. Total of all expenses incurred	2014-07-21	$310,900
Benefits paid (including direct rollovers)	2014-07-21	$310,872
Total plan assets at end of year	2014-07-21	$0
Total plan assets at beginning of year	2014-07-21	$310,821
Value of fidelity bond covering the plan	2014-07-21	$3,000,000
Expenses. Other expenses not covered elsewhere	2014-07-21	$0
Other income received	2014-07-21	$79
Net income (gross income less expenses)	2014-07-21	$-310,821
Net plan assets at end of year (total assets less liabilities)	2014-07-21	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-07-21	$310,821
Expenses. Administrative service providers (salaries,fees and commissions)	2014-07-21	$28
2013 : THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$368
Expenses. Total of all expenses incurred	2013-12-31	$112,254
Benefits paid (including direct rollovers)	2013-12-31	$112,254
Total plan assets at end of year	2013-12-31	$310,821
Total plan assets at beginning of year	2013-12-31	$422,707
Value of fidelity bond covering the plan	2013-12-31	$3,000,000
Other income received	2013-12-31	$368
Net income (gross income less expenses)	2013-12-31	$-111,886
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$310,821
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$422,707
2012 : THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,589
Expenses. Total of all expenses incurred	2012-12-31	$328,913
Benefits paid (including direct rollovers)	2012-12-31	$328,913
Total plan assets at end of year	2012-12-31	$422,707
Total plan assets at beginning of year	2012-12-31	$750,031
Value of fidelity bond covering the plan	2012-12-31	$3,000,000
Other income received	2012-12-31	$717
Net income (gross income less expenses)	2012-12-31	$-327,324
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$422,707
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$750,031
Total contributions received or receivable from employer(s)	2012-12-31	$872
2011 : THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$2,346
Expenses. Total of all expenses incurred	2011-12-31	$328,221
Benefits paid (including direct rollovers)	2011-12-31	$328,201
Total plan assets at end of year	2011-12-31	$750,031
Total plan assets at beginning of year	2011-12-31	$1,075,906
Value of fidelity bond covering the plan	2011-12-31	$3,000,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$20
Other income received	2011-12-31	$2,346
Net income (gross income less expenses)	2011-12-31	$-325,875
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$750,031
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,075,906
2010 : THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$699,629
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,075,906
Total plan assets at beginning of year	2010-12-31	$376,277
Value of fidelity bond covering the plan	2010-12-31	$3,000,000
Other income received	2010-12-31	$535,129
Net income (gross income less expenses)	2010-12-31	$699,629
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,075,906
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$376,277
Assets. Value of employer securities	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$164,500

Form 5500 Responses for THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN

2014: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP 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: THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP 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

Potentially related plans

THE LSB CORPORATION AND RIVERBANK EMPLOYEE STOCK OWNERSHIP PLAN [EIN = 041528790]

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Company Name:	PEOPLES UNITED FINANCIAL, INC.
Employer identification number (EIN):	208447891
NAIC Classification:	522110
NAIC Description:	Commercial Banking