Idea Transcript
FRY-6 OMB Number 7100-0297 Approval expires September 30, 2018 Page 1of2
Board of Governors of the Federal Reserve System
Annual Report of Holding Companies-FR Y-6 Report at the close of business as of the end of fiscal year This Report is required by law· Section 5(c)(1)(A) of the Bank Holding Company Act (12 U.S.C. § 1844(c)(1)(A)); sections 8(a) and 13(a) of the International Banking Act (12 U.S.C. §§ 3106(a) and 3108(a)); sections 11(a)(1), 25, and 25A of the Federal Reserve Act {12 U S.C. §§ 248(a)(1), 602, and 611a); and sec tions 113, 165, 312, 618, and 809 of the Dodd-Frank Act (12 U.S.C. §§ 5361, 5365, 5412, 1850a(c)(1), and 5468(b){1)). Return to the appropriate Federal Reserve Bank the original and the number of copies specified.
This report form is to be filed by all top-tier bank holding compa nies, top-tier savings and loan holding companies, and U.S inter mediate holding companies organized under U.S. law, and by any foreign banking organization that does not meet the require ments of and is not treated as a qualifying foreign banking orga nization under Section 211.23 of Regulation K (12 C.F.R. § 211.23). (See page one of the general instructions for more detail of who must file ) The Federal Reserve may not conduct or spon sor, and an organization (or a person) is not required to respond to, an information collection unless it displays a currently valid OMB control number.
NOTE: The Annual Report of Holding Companies must be signed by one director of the top-tier holding company. This individual should also be a senior official of the top-tier holding company. In the event that the top-tier holding company does not have an individual who is a senior official and is also a director, the chairman of the board must sign the report. If the holding company is an ESOP/ESOT formed as a corporation or is an LLC, see the General Instructions for the authorized individual who must sign the report.
Date of Report (top-tier holding company's fiscal year-end):
r. Luci nda
December
31, 2016
Month I Day I Year
none Reportefs Legal Entity Identifier (LEI) (20-Character LEI Code)
Reporter's Name, Street, and Mailing Address
Alden
Name of the Holding Company Director and Official
Newell B a nc shares, Inc.
President
Lega l Title of Holding Company
True of the Holding Company Director and Official
attest that the Annual Report of Holding Companies (including the supporting attachments) for this report date has been pre pared in conformance with the instructions issued by the Federal Reserve System and are true and correct to the best of my knowledge and belief With respect to information regarding individuals contained in lhis report, the Reporter certifies that it has the authority to provide lhis information to the Federal Reserve. The Reporter also certifies that it has the authority, on behalf of each individual, to consent or ob1ect to public release of information regarding that individual. The Federal Reserve may assume, in the absence of a request for confidential treatment submitted in accordance with the Board's "Rules Regarding Availability of Information," 12 C F.R. Part 261, that the Reporter M.d individual consent to public release of all def ifs in he report conce 9 that indi id a .
n/'_ J
'
,//.,;:
2382335
119 S t n o ut h Fulo (Mailing Address of the Holding Company) Street/ P 0.
Newell
Physical
Location
Box
Iowa
50568
State
Zip Code
(if different from malling a ddress)
Person to whom questions about this report should be directed·
CPA
Tim Breib t ach Name
-----
Title
515-244-0266 Area Code I Phone Number I Extension 515-288-8350 Area Code I FN< Number b t reitb ac h @ rothc _ p _a ,_c. o _ _m
_ ___ _ _ _ _ __ _ _ _
E-maol Address
www.fcb4u.com Address (URL) for the Holding Company's web page
For holding companies QQ1 registered with the SECIndicate status of Annual Report to Shareholders:
181 0 0
Is Included with the FR Y-6 report will be sent under separate cover Is not prepared
C.I
a n k Use Only
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• UJb l l0'-1 \ il�I iV
3.
Security Holders (1) Listing of security holders of record that directly or indirectly own, control, or hold with power to vote 5% or more of any class of voting securities of the bank holding company. SHARES NAME AND ADDRESS
CITIZENSHIP
OWNED
PERCENT AGE
U.S.A.
16,000
16.0%
U.S.A.
16.000
16.0%
U.S.A.
22,000
22.0%
U.S.A.
6,000
6.0%
U.S.A.
40,000
40.0o/o
Lucinda Alden, Trustee for Lucinda Hill Alden Exempt Trust under The Gilbert D. Hill Descendant's Trust Los Angeles, California Lucinda Alden, Trustee for Julie Hill Exempt Trust under The Gilbert D. Hill Descendant's Trust Los Angeles, California Lucinda Alden, Trustee for The Roberta E. Hill Descendant's Trust Los Angeles, California Lucinda Alden, Trustee for the Julie Hill Irrevocable Trust Dated April 7, 2003 Los Angeles, California Lucinda Alden, Trustee for the Lucinda Hill Alden hTcvocable Trust Dated April 7, 2003 Los Angeles, California
The Company does not have any options, warrants or other securities or rights that can be converted into or exercised for voting securities. (2) List any security holder not listed in section 3(1) above that owned or controlled five percent or more of any class of voting securities in the bank holding company during the fiscal year for which the report is being filed. None
4.
Insiders Listing of bank holding company principal security holders, directors, trustees, partners, executive officers or persons exercising similar functions, regardless of title or compensation.
(I) Name and address:
(2) Principal occupation:
Lucinda Alden
Roberta E. Hill
Los Angeles, California
Phoenix, Arizona
Investment Advisor
Retired
President, Treasurer
Secretary, Vice President
(3) Title or position with: (a) The bank holding company
and Director (b) Subsidiary of the bank holding company:
Chairman and Director
None
None
None
* I00,000 (I00%)
None
None
None
None
None
(c) Similar connections with other business companies: (4) Number of shares and percentage of each class of voting securities owned, controlled or held with power to vote: (a) The bank holding company (b) Subsidiary of the bank holding company: ( c) Similar connections with other business companies in which 25% or more of voting securities are held: *Ms. Alden serves as the trustee for trusts that collectively own I 00,000 shares of the bank holding company.