401k Plan data: MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN plan

MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN 401k Plan overview

Plan Name	MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN
Plan identification number	003

MOODY NATIONAL BANK EMPLOYEES 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.

401k Sponsoring company profile

MOODY NATIONAL BANK has sponsored the creation of one or more 401k plans.

Company Name: MOODY NATIONAL BANK

Employer identification number (EIN): 740560665

NAIC Classification: 551111
NAIC Description: Offices of Bank Holding Companies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2013-01-01 JULIE KEENA VICTOR PIERSON 2014-11-18
003 2012-01-01 JULIE KEENA JULIE KEENA 2013-10-15
003 2011-01-01 JULIE KEENA 2012-07-24 JULIE KEENA 2012-07-24
003 2010-01-01 JULIE KEENA 2011-06-02 JULIE KEENA 2011-06-02

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2013-01-01	JULIE KEENA		VICTOR PIERSON	2014-11-18
003	2012-01-01	JULIE KEENA		JULIE KEENA	2013-10-15
003	2011-01-01	JULIE KEENA	2012-07-24	JULIE KEENA	2012-07-24
003	2010-01-01	JULIE KEENA	2011-06-02	JULIE KEENA	2011-06-02

Plan Statistics for MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN

401k plan membership statisitcs for MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN

Measure Date Value
2013: MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 129
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
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 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 107
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 14
Total of all active and inactive participants 2012-01-01 121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 121
Number of participants with account balances 2012-01-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1

Measure	Date	Value
2013: MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	129
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
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	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	107
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	14
Total of all active and inactive participants	2012-01-01	121
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	121
Number of participants with account balances	2012-01-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1

Financial Data on MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN

Measure	Date	Value
2013 : MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$1,112,253
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$1,089,223
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	$377,260
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$152,463
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$151,181
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$259,552
Value of total assets at end of year	2013-12-31	$1,089,223
Value of total assets at beginning of year	2013-12-31	$887,456
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,282
Total interest from all sources	2013-12-31	$1,163
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$15,679
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$15,679
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
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	$115,815
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$33,910
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$25
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$1,089,223
Administrative expenses (other) incurred	2013-12-31	$1,282
Total non interest bearing cash at end of year	2013-12-31	$937,908
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	$224,797
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$887,456
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	$7,553
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$742,255
Interest on participant loans	2013-12-31	$1,144
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$19
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$100,866
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	$143,737
Employer contributions (assets) at end of year	2013-12-31	$143,737
Employer contributions (assets) at beginning of year	2013-12-31	$111,291
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$151,181
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	2013-12-31	No
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	Yes
Aggregate proceeds on sale of assets	2013-12-31	$146,339
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$146,339
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	EDWARD J. WALSH & ASSOCIATES
Accountancy firm EIN	2013-12-31	760625995
2012 : MOODY NATIONAL BANK EMPLOYEES 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	$407,244
Total loss/gain on sale of assets	2012-12-31	$88
Total of all expenses incurred	2012-12-31	$66,932
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$65,542
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$327,434
Value of total assets at end of year	2012-12-31	$887,456
Value of total assets at beginning of year	2012-12-31	$547,144
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,390
Total interest from all sources	2012-12-31	$1,109
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$15,365
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	$15,365
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
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	$112,280
Participant contributions at end of year	2012-12-31	$33,910
Participant contributions at beginning of year	2012-12-31	$13,794
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$6,700
Administrative expenses (other) incurred	2012-12-31	$1,390
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	$340,312
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$887,456
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$547,144
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	$742,255
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$436,553
Interest on participant loans	2012-12-31	$1,094
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	$96,797
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$15
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$63,248
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	$208,454
Employer contributions (assets) at end of year	2012-12-31	$111,291
Employer contributions (assets) at beginning of year	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$65,542
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	No
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
Aggregate proceeds on sale of assets	2012-12-31	$130,186
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$130,098
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	EDWARD J. WALSH & ASSOCIATES
Accountancy firm EIN	2012-12-31	760266034

Form 5500 Responses for MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN

2013: MOODY NATIONAL BANK EMPLOYEES 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	Yes
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: MOODY NATIONAL BANK EMPLOYEES 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MOODY NATIONAL BANK
Employer identification number (EIN):	740560665
NAIC Classification:	551111
NAIC Description:	Offices of Bank Holding Companies