HomcStar Financial Group, Inc. Manteno, IL. (A Delaware Corporation) 3/29/1983
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- Geraldine Hardy
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2 Attachment A OrganiJ.ational Chart December 2016 Legal Entity Identifier (LEI) - C!Qllf for all entitles within the organization HomcStar Financial Group, Inc. (A Delaware Corporation) 3/29/1983 I I I HomeStar Education Foundation, Inc. (Illinois Non-Profit Corp) ' HomeStar Bank and Financial Services (lllonoos Chanered Community Bank) IOO o 2' \lanteno Capital Tru;t I (Delaware Statutory Business Trust) (1 rust Preferred Stock) IOO o 3 9'2000 llome tar Capital TrU5t II (Delaware Statutory Business Trust) (Trust Preferred Stock) IOO o I I llome tar Deferred lschange Corp (lhnoos Corporation) IOO o 7; llomc tar Tille LLC Bradlev IL IOO:r. (llhno1s LLC) 2/ Managinl! member llomcstar Insurance Services, LLC 50% (llhno1s LLC) 12i31'2010 Non-managing member I Home tar Title Services, LLC (OBA llomestar Title ) Bradley, IL 50% (llhno1s LLC) Non-mnnnging member 317/ AM T \F1nance\Oeb\HSFG\Org Chart\HSFG Org Cllan 2016 xis
3 \Uathment II Results: A hst of branches for your depository institution. H.JMESTAll BAN Aim F N.t.NOAI. SEl!VIC S OO RSSD )(Xl()36 This depository institution 1s held by -OMESTAll F AA GllO..f> '<.. L.!09088) ol M4HTINO. il The data are as of U 31/20lli. Data reflects Information that was received and processed through 01/10/2017 Reconclllatlon and Verification Steps 1. In the Dalli Action column of each branch row, enter one or more of the actions speafled below 2. If required, enter the date In the Effective Date column Actions OK: If the branch Information is correct, enter OK' In the Data Action column. Chance: If the branch lnformauon Is incorrect or incomplete, revtse the data, enter o.ang" in the Dalli Action column and the date when this Information first became valid tn the Effective Date column. Close: If a branch hsted was sold or closed, enter 'Oast!' in the Dalli Action column and the sale or closure date In the Effective Date column. Delett!; If a branch listed was never owned by this depository inst1tut1on, enter 0e1ete in the Data Action column. Add: If a reportable branch 1s missing. insert a row, add the branch data, and enter Add' In the Data Action column and the opening or acqu1srt1on date in the Effective Date column. If printing this list, you may need to adjust your page setup in MS Excel. Try using landscape orientation, page scahng. and/or legal sized paper. Submission Procedure When you are finished, send a saved copy to your FRB contact. See the detailed instructions on this site for more information. If you are ing this to your FRB contact, put your institution name, crtv and state in the subject hne of the . Note: To satisfy the FR Y-10 reporting requirements, you must also submit FR Y-10 Domestic Branch Schedules for each branch with a Dalli Action of Change, Close, Delete. or Add The FR Y-10 report may be submitted 1n a hardcopy format or via the FR Y-10 Online application - htps://yloonllne. federalreserve.gov FDIC UNINUM, Office Number, and ID_RSSD columns are for reference only. Verification of these values is not required. Dete E"9ctlve Brandl Stat Zip Action Dete Branch Service Tvee ID_RSSD' Popular Name Street Address City e Code County Country HOMESTAR BANK AND OK Full Service (Head Office) FINANCIAL SERVICES 303 SECTION LINE ROAD MANTENO IL KANKAKEE UNITED STATES Office FDIC Numbe UNINUM r 10S57 0 Head Office Head Office ID_RSSD' nts HOMESTAR BANK AND FINANCIAL SERVICES HOMESTAR BANK AND Com me OK Full Service BOURBONNAIS BRANCH 576 LATHAM DRIVE BOURBONNAIS IL KANKAKEE UNITED STATES FINANCIAL SERVICES HOMESTAR BANK AND OK Full Service BRADLEY BRANCH 435 EAST NORTH STREET BRADLEY IL KANKAKEE UNITED STATES FINANCIAL SERVICES HOMESTAR BANK AND OK Full Service KANKAKEE BRANCH 255 EAST STATION STREET KANKAKEE IL KANKAKEE UNITED STATES 4ns21 11 FINANCIAL SERVICES HOMESTAR BANK AND OK Full Service 36nsn MANHAlTAN BRANCH SOUTH GOUGAR ROAD MANHAlTAN IL WILL UNITED STATES FINANCIAL SERVICES /l/1017 I S7 PM r \F1110ncr\O.b\HSFG\8runcha FR H\Broncha FuM Public J of J >IV
4 Report Item 3: Securities Holders (1)(a)(b)(c) and (2)(a)(b)(c) FORM FR-Y 6 HOMESTAR FINANCIAL GROUP, INC. Fiscal Year Ending December 31, 2016 Attachment C Amended Final Current Securities Holders with ownership, control or holdings of 5% or more with power to Securities Holders not listed in 3(1)(a) through (3)(1)(c) that vote as of fiscal year ending had ownership, control or holdings of 5% or more with power to vote during the fiscal year (1) (a) (1) (b) (1) (c) (2) (a) (2) (b) (2) (c) Name & Address Country of Citizensip Nbr of Percentage Name & Address Country of Citizensip Nbr of Percentage (city, State, Country) or Incorporation Shares (city, State, Country) or Incorporation Shares Madelyn A O'Brien, Trustee % Common Stock "none" "none" "none" "none" "none" GST Family Trust C/U Patrick M O'Brien Bourbonnais, IL Madelyn A O'Brien Self Directed IRA % Common Stock HomeStar Bank and Financial Services, Custodian Bradley, IL Madelyn A O'Brien % Common Stock Bourbonnais, IL Dennis O'Brien, Trustee % Common Stock under Dennis O'Brien Trust Washington DC Dennis O'Brien % Common Stock Washington DC Michael P. and Nicole O'Brien % Common Stock Kankakee, IL 6/13/2017 2:21 PM T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 3-Sec Holders).xls \ Pg 1 of 4
5 Attachment C Current Securities Holders with ownership, control or holdings of 5% or more with power to vote as of fiscal year ending (1) (a) (1) (b) Name & Address Country of Citizensip (city, State, Country) or Incorporation Nbr of Shares Securities Holders not listed in 3(1)(a) through (3)(1)(c) that had ownership, control or holdings of 5% or more with power to vote during the fiscal year (2) (c) Name & Address Country of Citizensip Nbr of Percentage (city, State, Country) or Incorporation Shares (1) (c) (2) (a) (2) (b) Percentage Michael P. O'Brien, Trustee under Michael P. O'Brien Trust Kankakee, IL Michael P. O'Brien Kankakee, IL Mary Denise O'Brien Self Directed IRA HomeStar Bank & Fincl Services, Custodian Bradley, IL Francis J Smith Francis J Smith Self Directed IRA HomeStar Bank and Financial Services, Custodian Bradley, IL Jean Smith William F Smith, voting individually and as a Trustee Chicago, IL Laura Bertucci Smith Chicago, IL % Common Stock % Common Stock % Common Stock % Common Stock % Common Stock % Common Stock % Common Stock % Common Stock 6/13/2017 2:21 PM T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 3-Sec Holders).xls \ Pg 2 of 4
6 Attachment C Current Securities Holders with ownership, control or holdings of 5% or more with power to vote as of fiscal year ending (1) (a) (1) (b) Name & Address Country of Citizensip (city, State, Country) or Incorporation Nbr of Shares Securities Holders not listed in 3(1)(a) through (3)(1)(c) that had ownership, control or holdings of 5% or more with power to vote during the fiscal year (2) (c) Name & Address Country of Citizensip Nbr of Percentage (city, State, Country) or Incorporation Shares (1) (c) (2) (a) (2) (b) Percentage Pamela J Smith Washington DC, Kelly C Smith-Haley, voting individually and as a Trustee Chicago, IL Michael D Smith and Amy Tejral in Joint Tenancy Chevy Chase, MD Michael D Smith, voting individually and as a Trustee Chevy Chase, MD % Common Stock % Common Stock % Common Stock % Common Stock Amy C Tejral Chevy Chase, MD James P Smith as Trustee Under James P Smith Revocable Trust Washington, DC Christine K Smith as Trustee Under Christine K Smith Revocable Trust Washington, DC Daniel P Smith Washington, DC % Common Stock % Common Stock % Common Stock % Common Stock 6/13/2017 2:21 PM T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 3-Sec Holders).xls \ Pg 3 of 4
7 Attachment C Current Securities Holders with ownership, control or holdings of 5% or more with power to vote as of fiscal year ending Securities Holders not listed in 3(1)(a) through (3)(1)(c) that had ownership, control or holdings of 5% or more with power to vote during the fiscal year (1) (a) (1) (b) (1) (c) (2) (a) (2) (b) (2) (c) Name & Address (city, State, Country) Country of Citizensip or Incorporation Nbr of Shares Percentage Name & Address (city, State, Country) Country of Citizensip or Incorporation Nbr of Shares Percentage Molly Smith Molloy Baltimore, MD % Common Stock Martin J Whalen Jr. LaPort, IN % Common Stock 6/13/2017 2:21 PM T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 3-Sec Holders).xls \ Pg 4 of 4
8 Attachment D Report Item 4: Insiders (1), (2), (3)(a)(b)(c), and (4)(a)(b)(c) FORM FR Y-6 HOMESTAR FINANCIAL GROUP, INC. Fiscal Year Ending December 31, 2016 Amended Final (1) Names & Adress (City, State, Country) (2) Principal Occupation if other than with (3)(a) Title & Position with (3)(b) Title & Position with Subsidiaries (include names of subsidiaries) (3)(c) Title & Position with Other Businesses (include names of other businesses) (4)(a) (4)(b) (4)(c) List names of other companies Securities in (includes partnerships) if 25% or Securities in Subsidiaries more of voting securities are held Bank (include (List names of companies & Holding names of percentage of voting securities held) subsidiaries) Madelyn A O'Brien, Trustee Retired GST Family Trust C/U Patrick M O'Brien Bourbonnais, IL "n/a" "n/a" "n/a" % None "n/a" Madelyn A O'Brien Self Retired Directed IRA HomeStar Bank and Financial Services, Custodian Bradley, IL "n/a" "n/a" "n/a" % None "n/a" Madelyn O'Brien Bourbonnais IL, Retired "n/a" "n/a" "n/a" % None "n/a" Dennis O'Brien, Trustee under Dennis O'Brien Trust Washington DC Director of Business Operations "n/a" "n/a" Director -Dennis J Smith Legacy Foundation CEO/Founder - Clover Consulting LLC % None "n/a" Dennis P O'Brien Washington DC, Director of Business Operations "n/a" "n/a" Director -Dennis J Smith Legacy Foundation CEO/Founder - Clover Consulting LLC % None "n/a" Michael P. O'Brien, Trustee Banker under Michael P. O'Brien Trust Kankakee, IL Secretary Director COO, Sr. EVP & Director - Home- Star Bank and Financial Services Director - Community Foundation of Kankakee River Valley Chairman and Director - Kankakee Development Corporation Secretary and Treasurer - Dennis J. Smith Legacy Foundation Managing Partner - DJS N&N, LLC % None "n/a" Page 1 of 5 T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 4-Insiders) Dec 16.xls 6/13/2017
9 Attachment D Report Item 4: Insiders (1), (2), (3)(a)(b)(c), and (4)(a)(b)(c) FORM FR Y-6 HOMESTAR FINANCIAL GROUP, INC. Fiscal Year Ending December 31, 2016 Amended Final (1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c) Principal Occupation Title & Position with Securities in if other than with Title & Position with Subsidiaries Title & Position with Other Businesses (include Securities in Subsidiaries (include names of subsidiaries) names of other businesses) Bank (include Holding names of subsidiaries) Names & Adress (City, State, Country) List names of other companies (includes partnerships) if 25% or more of voting securities are held (List names of companies & percentage of voting securities held) Michael P O'Brien Kankakee IL, Banker Secretary Director COO, Sr. EVP & Director - Home- Star Bank and Financial Services Director - Community Foundation of Kankakee River Valley Chairman and Director - Kankakee Development Corporation Secretary and Treasurer - Dennis J. Smith Legacy Foundation Managing Partner - DJS N&N, LLC % None "n/a" Michael P & Nicole "n/a" "n/a" "n/a" "n/a" % None "n/a" O'Brien Kankakee IL, Mary Denise O'Brien Retired attorney "n/a" "n/a" Director, Secretary-Treasurer - Manage % None "n/a" Self Directed IRA ment and Regulatory Consultants, Inc. HomeStar Bank & Fincl Services, Custodian Bradley,IL, Francis J Smith Banker/Real Estate Chairman Sr. EVP, Director, & Business Director - Manteno Comm. Dev. Corp % None Smith Development Limited Manteno Developer Director Development Officer - HomeStar Partner Associates, LP Liability Corporation (25%) IL, Bank and Financial Services Managing Partner - Smith Dev't LLC Director - HomeStar Titlt Co. Francis J Smith Self Directed IRBanker/Real Estate Chairman Sr. EVP, Director, & Business Director - Manteno Comm. Dev. Corp % None Smith Development Limited HomeStar Bank and Financial SDeveloper Director Development Officer - HomeStar Partner Associates, LP Liability Corporation (25%) Custodian Bank and Financial Services Managing Partner - Smith Dev't LLC Bradley, IL Director - HomeStar Titlt Co. Page 2 of 5 T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 4-Insiders) Dec 16.xls 6/13/2017
10 Attachment D Report Item 4: Insiders (1), (2), (3)(a)(b)(c), and (4)(a)(b)(c) FORM FR Y-6 HOMESTAR FINANCIAL GROUP, INC. Fiscal Year Ending December 31, 2016 Amended Final (1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c) Principal Occupation Title & Position with Securities in if other than with Title & Position with Subsidiaries Title & Position with Other Businesses (include Securities in Subsidiaries (include names of subsidiaries) names of other businesses) Bank (include Holding names of subsidiaries) Names & Adress (City, State, Country) List names of other companies (includes partnerships) if 25% or more of voting securities are held (List names of companies & percentage of voting securities held) Jean Smith Manteno IL, Retired "n/a" "n/a" "n/a" % None "n/a" William F Smith, voting individually & as a Trustee Chicago IL, Banker President & CEO Director CEO, Chairman, General Counsel, Chief Trust Officer, Chief Investment Officer - HomeStar Bank and Financial Services Partner - Erickson, Smith, O'Hara, Keigher, LLC President - Dennis J. Smith Legacy Foundation Managing Partner - DJS N&N, LLC % None "n/a" Laura Bertucci Smith Chicago IL, Associate Judge "n/a" "n/a" Director -Dennis J Smith Legacy Foundation % None "n/a" Pamela J Smith Washington DC, Government Relations "n/a" "n/a" Partner - Tarplin, Downs & Young, LLC % None "n/a" Kelly C Smith-Haley, voting individually & as a Trustee Chicago IL, Attorney "n/a" "n/a" Partner - Fox, Swibel, Levin, & Carroll, LLP Director - Chicago Foundation for Women Director - Twelve Clans, Inc % None "n/a" Michael D Smith, voting individually & as a Trustee Chevy Chase MD, Government Relations "n/a" "n/a" Principal and Director - Cornerstone Government Affairs % None "n/a" Page 3 of 5 T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 4-Insiders) Dec 16.xls 6/13/2017
11 Attachment D Report Item 4: Insiders (1), (2), (3)(a)(b)(c), and (4)(a)(b)(c) FORM FR Y-6 HOMESTAR FINANCIAL GROUP, INC. Fiscal Year Ending December 31, 2016 Amended Final (1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c) Principal Occupation Title & Position with Securities in if other than with Title & Position with Subsidiaries Title & Position with Other Businesses (include Securities in Subsidiaries (include names of subsidiaries) names of other businesses) Bank (include Holding names of subsidiaries) Names & Adress (City, State, Country) List names of other companies (includes partnerships) if 25% or more of voting securities are held (List names of companies & percentage of voting securities held) Michael D Smith & Amy Tejral in Joint Tenancy Chevy Chase MD, N/A "n/a" "n/a" "n/a" % None "n/a" Amy C Tejral Chevy Chase MD, Government Relations "n/a" "n/a" Partner - Avenue Solutions % None "n/a" James P Smith as Trustee Under James P Smith Revocable Trust Washington, DC Attorney Vice-President Director Director - HomeStar Bank and Financial Services President - Smith, Dawson, & Andrews, Inc % None Smith Development Limited Liability Corporation (25%) Smith, Dawson & Andrews, Inc. (100%) Christine K Smith as Trustee Under Christine K Smith Revocable Trust Washington, DC Assistant Head Master "n/a" "n/a" "n/a" % None "n/a" Daniel P Smith Washington DC, Deputy Counsel "n/a" "n/a" Minority Partner - DJS N&N, LLC % None "n/a" Molly Smith Molloy Baltimore MD, Post Doctoral Fellow "n/a" "n/a" Minority Partner - DJS N&N, LLC % None "n/a" Page 4 of 5 T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 4-Insiders) Dec 16.xls 6/13/2017
12 Attachment D Report Item 4: Insiders (1), (2), (3)(a)(b)(c), and (4)(a)(b)(c) FORM FR Y-6 HOMESTAR FINANCIAL GROUP, INC. Fiscal Year Ending December 31, 2016 Amended Final (1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c) Principal Occupation Title & Position with Securities in if other than with Title & Position with Subsidiaries Title & Position with Other Businesses (include Securities in Subsidiaries (include names of subsidiaries) names of other businesses) Bank (include Holding names of subsidiaries) Names & Adress (City, State, Country) Patrick D Martin Banker Assistant Secretary President, CAO & Director - Trustee - Kankakee Community College % None "n/a" Manteno Director HomeStar Bank and Financial Chairman - Oakside Board of Riverside IL, Services List names of other companies (includes partnerships) if 25% or more of voting securities are held (List names of companies & percentage of voting securities held) Deborah S Maw Banker Treasurer Sr. VP & CFO - HomeStar Bank "n/a" % None "n/a" Bourbonnais and Financial Services IL, Treasurer - HomeStar Title Co. Page 5 of 5 T:\Finance\Deb\HSFG\FR Y-6\FR Y6 Attachment (Report Item 4-Insiders) Dec 16.xls 6/13/2017
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