401k Plan data: ONEWEST BANK N.A. 401K PLAN plan

ONEWEST BANK N.A. 401K PLAN 401k Plan overview

Plan Name	ONEWEST BANK N.A. 401K PLAN
Plan identification number	001

ONEWEST BANK N.A. 401K 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) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ONEWEST BANK N.A. has sponsored the creation of one or more 401k plans.

Company Name: ONEWEST BANK N.A.

Employer identification number (EIN): 264382801

NAIC Classification: 522120
NAIC Description: Savings Institutions

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ONEWEST BANK N.A. 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 JENNIFER PIKOOS JENNIFER PIKOOS 2016-07-18
001 2014-01-01 JENNIFER PIKOOS JENNIFER PIKOOS 2015-10-14
001 2013-01-01 JENNIFER PIKOOS JENNIFER PIKOOS 2014-08-18
001 2012-01-01 JENNIFER PIKOOS JENNIFER PIKOOS 2013-10-11
001 2011-01-01 JENNIFER PIKOOS JENNIFER PIKOOS 2012-08-31
001 2010-01-01 JENNIFER PIKOOS JENNIFER PIKOOS 2011-10-14
001 2009-11-10 JENNIFER PIKOOS JENNIFER PIKOOS 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	JENNIFER PIKOOS	JENNIFER PIKOOS	2016-07-18
001	2014-01-01	JENNIFER PIKOOS	JENNIFER PIKOOS	2015-10-14
001	2013-01-01	JENNIFER PIKOOS	JENNIFER PIKOOS	2014-08-18
001	2012-01-01	JENNIFER PIKOOS	JENNIFER PIKOOS	2013-10-11
001	2011-01-01	JENNIFER PIKOOS	JENNIFER PIKOOS	2012-08-31
001	2010-01-01	JENNIFER PIKOOS	JENNIFER PIKOOS	2011-10-14
001	2009-11-10	JENNIFER PIKOOS	JENNIFER PIKOOS	2010-10-15

Plan Statistics for ONEWEST BANK N.A. 401K PLAN

401k plan membership statisitcs for ONEWEST BANK N.A. 401K PLAN

Measure Date Value
2015: ONEWEST BANK N.A. 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 2,230
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: ONEWEST BANK N.A. 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2,649
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1,751
Number of retired or separated participants receiving benefits 2014-01-01 3
Number of other retired or separated participants entitled to future benefits 2014-01-01 475
Total of all active and inactive participants 2014-01-01 2,229
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 2,230
Number of participants with account balances 2014-01-01 1,561
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 74
2013: ONEWEST BANK N.A. 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 3,154
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2,200
Number of retired or separated participants receiving benefits 2013-01-01 3
Number of other retired or separated participants entitled to future benefits 2013-01-01 445
Total of all active and inactive participants 2013-01-01 2,648
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 2,649
Number of participants with account balances 2013-01-01 1,678
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 114
2012: ONEWEST BANK N.A. 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 3,196
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2,854
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 297
Total of all active and inactive participants 2012-01-01 3,153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 3,154
Number of participants with account balances 2012-01-01 1,676
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 47
2011: ONEWEST BANK N.A. 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2,833
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2,996
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 199
Total of all active and inactive participants 2011-01-01 3,195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 3,196
Number of participants with account balances 2011-01-01 1,555
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 30
2010: ONEWEST BANK N.A. 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 2,373
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 2,740
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 93
Total of all active and inactive participants 2010-01-01 2,833
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 2,833
Number of participants with account balances 2010-01-01 1,366
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 21
2009: ONEWEST BANK N.A. 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-11-10 2,368
Total number of active participants reported on line 7a of the Form 5500 2009-11-10 2,368
Number of retired or separated participants receiving benefits 2009-11-10 0
Number of other retired or separated participants entitled to future benefits 2009-11-10 5
Total of all active and inactive participants 2009-11-10 2,373
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-11-10 0
Total participants 2009-11-10 2,373
Number of participants with account balances 2009-11-10 997
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-11-10 0

Measure	Date	Value
2015: ONEWEST BANK N.A. 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	2,230
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: ONEWEST BANK N.A. 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2,649
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1,751
Number of retired or separated participants receiving benefits	2014-01-01	3
Number of other retired or separated participants entitled to future benefits	2014-01-01	475
Total of all active and inactive participants	2014-01-01	2,229
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	2,230
Number of participants with account balances	2014-01-01	1,561
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	74
2013: ONEWEST BANK N.A. 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	3,154
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2,200
Number of retired or separated participants receiving benefits	2013-01-01	3
Number of other retired or separated participants entitled to future benefits	2013-01-01	445
Total of all active and inactive participants	2013-01-01	2,648
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	2,649
Number of participants with account balances	2013-01-01	1,678
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	114
2012: ONEWEST BANK N.A. 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	3,196
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2,854
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	297
Total of all active and inactive participants	2012-01-01	3,153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	3,154
Number of participants with account balances	2012-01-01	1,676
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	47
2011: ONEWEST BANK N.A. 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2,833
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2,996
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	199
Total of all active and inactive participants	2011-01-01	3,195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	3,196
Number of participants with account balances	2011-01-01	1,555
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	30
2010: ONEWEST BANK N.A. 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	2,373
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	2,740
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	93
Total of all active and inactive participants	2010-01-01	2,833
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	2,833
Number of participants with account balances	2010-01-01	1,366
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	21
2009: ONEWEST BANK N.A. 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-11-10	2,368
Total number of active participants reported on line 7a of the Form 5500	2009-11-10	2,368
Number of retired or separated participants receiving benefits	2009-11-10	0
Number of other retired or separated participants entitled to future benefits	2009-11-10	5
Total of all active and inactive participants	2009-11-10	2,373
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-11-10	0
Total participants	2009-11-10	2,373
Number of participants with account balances	2009-11-10	997
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-11-10	0

Financial Data on ONEWEST BANK N.A. 401K PLAN

Measure	Date	Value
2015 : ONEWEST BANK N.A. 401K PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	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	$126,248
Total income from all sources (including contributions)	2015-12-31	$7,193,267
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$68,333,756
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$68,055,501
Expenses. Certain deemed distributions of participant loans	2015-12-31	$-199,544
Value of total corrective distributions	2015-12-31	$165,970
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$7,006,714
Value of total assets at end of year	2015-12-31	$0
Value of total assets at beginning of year	2015-12-31	$61,266,737
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$311,829
Total interest from all sources	2015-12-31	$49,789
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$550,849
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$550,849
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$50,000,000
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
Contributions received from participants	2015-12-31	$5,350,024
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$1,170,446
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$355,257
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$126,248
Administrative expenses (other) incurred	2015-12-31	$311,829
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	$-61,140,489
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$61,140,489
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$58,448,586
Interest on participant loans	2015-12-31	$49,789
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-414,085
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	$1,301,433
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$1,647,705
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$68,055,501
Did the plan have assets held for investment	2015-12-31	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	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	Yes
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	SOTOMAYOR & ASSOCIATES LLP
Accountancy firm EIN	2015-12-31	954720879
2014 : ONEWEST BANK N.A. 401K PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$126,248
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$407,142
Total income from all sources (including contributions)	2014-12-31	$12,713,903
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$7,853,061
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$7,592,380
Expenses. Certain deemed distributions of participant loans	2014-12-31	$46,021
Value of total corrective distributions	2014-12-31	$186,449
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$9,317,707
Value of total assets at end of year	2014-12-31	$61,266,737
Value of total assets at beginning of year	2014-12-31	$56,686,789
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$28,211
Total interest from all sources	2014-12-31	$62,864
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,415,602
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	$2,415,602
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$35,000,000
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
Contributions received from participants	2014-12-31	$7,369,947
Participant contributions at end of year	2014-12-31	$1,170,446
Participant contributions at beginning of year	2014-12-31	$1,300,128
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$299,523
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$126,248
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$407,142
Other income not declared elsewhere	2014-12-31	$5,311
Administrative expenses (other) incurred	2014-12-31	$28,211
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	$4,860,842
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$61,140,489
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$56,279,647
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$58,448,586
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$53,477,735
Interest on participant loans	2014-12-31	$62,864
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$912,419
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
Contributions received in cash from employer	2014-12-31	$1,648,237
Employer contributions (assets) at end of year	2014-12-31	$1,647,705
Employer contributions (assets) at beginning of year	2014-12-31	$1,908,926
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$7,592,380
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
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	SOTOMAYOR & ASSOCIATES LLP
Accountancy firm EIN	2014-12-31	954720879
2013 : ONEWEST BANK N.A. 401K 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	$407,142
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$303,277
Total income from all sources (including contributions)	2013-12-31	$20,183,324
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$4,731,739
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$4,286,394
Expenses. Certain deemed distributions of participant loans	2013-12-31	$12,865
Value of total corrective distributions	2013-12-31	$407,142
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$11,269,666
Value of total assets at end of year	2013-12-31	$56,686,789
Value of total assets at beginning of year	2013-12-31	$41,131,339
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$25,338
Total interest from all sources	2013-12-31	$60,899
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$1,634,898
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	$1,634,898
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$140,000,000
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	$8,273,175
Participant contributions at end of year	2013-12-31	$1,300,128
Participant contributions at beginning of year	2013-12-31	$1,154,495
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,087,565
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$407,142
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$303,277
Other income not declared elsewhere	2013-12-31	$1,157
Administrative expenses (other) incurred	2013-12-31	$25,338
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	$15,451,585
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$56,279,647
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$40,828,062
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$53,477,735
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$38,031,558
Interest on participant loans	2013-12-31	$60,899
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$7,216,704
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
Contributions received in cash from employer	2013-12-31	$1,908,926
Employer contributions (assets) at end of year	2013-12-31	$1,908,926
Employer contributions (assets) at beginning of year	2013-12-31	$1,945,286
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$4,286,394
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	SOTOMAYOR & ASSOCIATES LLP
Accountancy firm EIN	2013-12-31	954720879
2012 : ONEWEST BANK N.A. 401K 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	$303,277
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$331,376
Total income from all sources (including contributions)	2012-12-31	$14,931,515
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,911,526
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,518,448
Expenses. Certain deemed distributions of participant loans	2012-12-31	$71,353
Value of total corrective distributions	2012-12-31	$303,277
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$11,006,869
Value of total assets at end of year	2012-12-31	$41,131,339
Value of total assets at beginning of year	2012-12-31	$29,139,449
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$18,448
Total interest from all sources	2012-12-31	$55,723
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$1,066,757
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	$1,066,757
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$140,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
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	$8,009,948
Participant contributions at end of year	2012-12-31	$1,154,495
Participant contributions at beginning of year	2012-12-31	$988,779
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$1,049,525
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$303,277
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$331,376
Administrative expenses (other) incurred	2012-12-31	$18,448
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	$12,019,989
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$40,828,062
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$28,808,073
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$38,031,558
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$26,349,561
Interest on participant loans	2012-12-31	$55,723
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,802,166
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	$1,947,396
Employer contributions (assets) at end of year	2012-12-31	$1,945,286
Employer contributions (assets) at beginning of year	2012-12-31	$1,801,109
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,518,448
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	SOTOMAYOR & ASSOCIATES LLP
Accountancy firm EIN	2012-12-31	954720879
2011 : ONEWEST BANK N.A. 401K 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	$331,376
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$28,284
Total income from all sources (including contributions)	2011-12-31	$10,149,085
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,480,299
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,112,632
Expenses. Certain deemed distributions of participant loans	2011-12-31	$21,016
Value of total corrective distributions	2011-12-31	$331,376
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$10,410,262
Value of total assets at end of year	2011-12-31	$29,139,449
Value of total assets at beginning of year	2011-12-31	$21,167,571
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$15,275
Total interest from all sources	2011-12-31	$48,295
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$662,199
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	$662,199
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$140,000,000
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	$7,186,160
Participant contributions at end of year	2011-12-31	$988,779
Participant contributions at beginning of year	2011-12-31	$705,374
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,421,176
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$331,376
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$28,284
Administrative expenses (other) incurred	2011-12-31	$15,275
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	$7,668,786
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$28,808,073
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$21,139,287
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	$26,349,561
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$18,859,874
Interest on participant loans	2011-12-31	$48,295
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-971,671
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	$1,802,926
Employer contributions (assets) at end of year	2011-12-31	$1,801,109
Employer contributions (assets) at beginning of year	2011-12-31	$1,602,323
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,112,632
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	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2011-12-31	134008324
2010 : ONEWEST BANK N.A. 401K 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	$28,284
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	$16,244,065
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,169,314
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,081,518
Expenses. Certain deemed distributions of participant loans	2010-12-31	$48,289
Value of total corrective distributions	2010-12-31	$30,932
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$14,234,788
Value of total assets at end of year	2010-12-31	$21,167,571
Value of total assets at beginning of year	2010-12-31	$6,064,536
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$8,575
Total interest from all sources	2010-12-31	$36,040
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$414,210
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	$414,210
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$120,000,000
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	$6,268,030
Participant contributions at end of year	2010-12-31	$705,374
Participant contributions at beginning of year	2010-12-31	$338,051
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$2,610
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$6,360,675
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$28,284
Administrative expenses (other) incurred	2010-12-31	$8,575
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	$15,074,751
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$21,139,287
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$6,064,536
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	$18,859,874
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$5,294,972
Interest on participant loans	2010-12-31	$36,040
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,559,027
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	$1,606,083
Employer contributions (assets) at end of year	2010-12-31	$1,602,323
Employer contributions (assets) at beginning of year	2010-12-31	$428,903
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,081,518
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	PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN	2010-12-31	134008324
2009 : ONEWEST BANK N.A. 401K 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 ONEWEST BANK N.A. 401K PLAN

2015: ONEWEST BANK N.A. 401K PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ONEWEST BANK N.A. 401K 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	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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ONEWEST BANK N.A. 401K 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: ONEWEST BANK N.A. 401K 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: ONEWEST BANK N.A. 401K 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: ONEWEST BANK N.A. 401K 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: ONEWEST BANK N.A. 401K PLAN 2009 form 5500 responses
2009-11-10	Type of plan entity	Single employer plan
2009-11-10	Submission has been amended	No
2009-11-10	This submission is the final filing	No
2009-11-10	This return/report is a short plan year return/report (less than 12 months)	Yes
2009-11-10	Plan is a collectively bargained plan	No
2009-11-10	Plan funding arrangement – Trust	Yes
2009-11-10	Plan benefit arrangement - Trust	Yes

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Company Name:	ONEWEST BANK N.A.
Employer identification number (EIN):	264382801
NAIC Classification:	522120
NAIC Description:	Savings Institutions