401k Plan data: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN plan

ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN
Plan identification number	002

ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS 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

ERSTE GROUP BANK AG NEW YORK BRANCH has sponsored the creation of one or more 401k plans.

Company Name: ERSTE GROUP BANK AG NEW YORK BRANCH

Employer identification number (EIN): 522078193

NAIC Classification: 522110
NAIC Description: Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 SANDRA PETERSON 2023-09-20
002 2021-01-01 SANDRA PETERSON 2022-09-29 SANDRA PETERSON 2022-09-29
002 2020-01-01 SANDRA PETERSON 2021-06-28 SANDRA PETERSON 2021-06-28
002 2019-01-01 SANDRA PETERSON 2020-07-14 SANDRA PETERSON 2020-07-14
002 2018-01-01 SANDRA PETERSON 2019-08-14 SANDRA PETERSON 2019-08-14
002 2017-01-01 SANDRA PETERSON 2018-07-30 SANDRA PETERSON 2018-07-30
002 2016-01-01 SANDRA PETERSON 2017-06-22 SANDRA PETERSON 2017-06-22
002 2015-01-01 SANDRA PETERSON 2016-09-09 SANDRA PETERSON 2016-09-09
002 2014-01-01 SANDRA PETERSON 2015-08-11 SANDRA PETERSON 2015-08-11
002 2013-01-01 SANDRA PETERSON 2014-10-06 SANDRA PETERSON 2014-10-06
002 2012-01-01 SANDRA PETERSON SANDRA PETERSON 2013-10-04
002 2011-01-01 SANDRA PETERSON
002 2009-01-01 SANDRA PETERSON SANDRA PETERSON 2010-07-30
002 2009-01-01 SANDRA PETERSON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01	SANDRA PETERSON	2023-09-20
002	2021-01-01	SANDRA PETERSON	2022-09-29	SANDRA PETERSON	2022-09-29
002	2020-01-01	SANDRA PETERSON	2021-06-28	SANDRA PETERSON	2021-06-28
002	2019-01-01	SANDRA PETERSON	2020-07-14	SANDRA PETERSON	2020-07-14
002	2018-01-01	SANDRA PETERSON	2019-08-14	SANDRA PETERSON	2019-08-14
002	2017-01-01	SANDRA PETERSON	2018-07-30	SANDRA PETERSON	2018-07-30
002	2016-01-01	SANDRA PETERSON	2017-06-22	SANDRA PETERSON	2017-06-22
002	2015-01-01	SANDRA PETERSON	2016-09-09	SANDRA PETERSON	2016-09-09
002	2014-01-01	SANDRA PETERSON	2015-08-11	SANDRA PETERSON	2015-08-11
002	2013-01-01	SANDRA PETERSON	2014-10-06	SANDRA PETERSON	2014-10-06
002	2012-01-01	SANDRA PETERSON		SANDRA PETERSON	2013-10-04
002	2011-01-01	SANDRA PETERSON
002	2009-01-01	SANDRA PETERSON		SANDRA PETERSON	2010-07-30
002	2009-01-01	SANDRA PETERSON

Plan Statistics for ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN

401k plan membership statisitcs for ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN

Measure Date Value
2012: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 30
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 14
Total of all active and inactive participants 2012-01-01 45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 45
Number of participants with account balances 2012-01-01 44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2
2011: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 40
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 8
Total of all active and inactive participants 2011-01-01 48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 48
Number of participants with account balances 2011-01-01 47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 43
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 40
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 4
Total of all active and inactive participants 2009-01-01 44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 44
Number of participants with account balances 2009-01-01 43
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	30
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	14
Total of all active and inactive participants	2012-01-01	45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	45
Number of participants with account balances	2012-01-01	44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2
2011: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	40
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	8
Total of all active and inactive participants	2011-01-01	48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	48
Number of participants with account balances	2011-01-01	47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	43
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	40
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	4
Total of all active and inactive participants	2009-01-01	44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	44
Number of participants with account balances	2009-01-01	43
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN

Measure	Date	Value
2012 : ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$2,203,538
Expenses. Total of all expenses incurred	2012-12-31	$376,335
Benefits paid (including direct rollovers)	2012-12-31	$373,828
Total plan assets at end of year	2012-12-31	$18,125,262
Total plan assets at beginning of year	2012-12-31	$16,298,059
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$469,067
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$125,179
Other income received	2012-12-31	$1,149,842
Net income (gross income less expenses)	2012-12-31	$1,827,203
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$18,125,262
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$16,298,059
Assets. Value of participant loans	2012-12-31	$222,632
Total contributions received or receivable from employer(s)	2012-12-31	$459,450
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$1,767
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$740
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$1,785,155
Expenses. Total of all expenses incurred	2011-12-31	$100
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$16,298,059
Total plan assets at beginning of year	2011-12-31	$14,513,004
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$548,745
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$348,758
Other income received	2011-12-31	$338,907
Net income (gross income less expenses)	2011-12-31	$1,785,055
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$16,298,059
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$14,513,004
Assets. Value of participant loans	2011-12-31	$263,303
Total contributions received or receivable from employer(s)	2011-12-31	$548,745
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$100
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$2,354,864
Expenses. Total of all expenses incurred	2010-12-31	$150
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$14,513,004
Total plan assets at beginning of year	2010-12-31	$12,158,290
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$522,841
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$65,082
Other income received	2010-12-31	$1,244,100
Net income (gross income less expenses)	2010-12-31	$2,354,714
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$14,513,004
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$12,158,290
Assets. Value of participant loans	2010-12-31	$255,107
Total contributions received or receivable from employer(s)	2010-12-31	$522,841
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$150
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS 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 ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN

2012: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS 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: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ERSTE GROUP BANK EMPLOYEE 401(K) SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

FL 52027

Policy instance

Insurance contract or identification number	FL 52027
Number of Individuals Covered	45
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $19,648
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $19,648
Insurance broker organization code?	1
Insurance broker name	JHW FINANCIAL SERVICES INC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

FL 52027

Policy instance

Insurance contract or identification number	FL 52027
Number of Individuals Covered	48
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $7,639
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

FL 52027

Policy instance

Insurance contract or identification number	FL 52027
Number of Individuals Covered	44
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $5,775
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	ERSTE GROUP BANK AG NEW YORK BRANCH
Employer identification number (EIN):	522078193
NAIC Classification:	522110
NAIC Description:	Commercial Banking