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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Fnb United Corp. (MM) | NASDAQ:FNBN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 8.11 | 0 | 01:00:00 |
CommunityOne 401(k) PLAN
FINANCIAL STATEMENTS AND
SUPPLEMENTAL SCHEDULE
December 31, 2012 and 2011 and for the Year Ended December 31, 2012
|
CommunityOne 401(k) Plan
|
|
|
|
|
||||
Statements of Net Assets Available for Benefits
|
|
|
|
|
||||
|
|
December 31, 2012
|
|
December 31, 2011
|
|
|||
Assets
|
|
|
|
|
||||
Investments, at fair value:
|
|
|
|
|
||||
Mutual funds
|
|
$
|
17,025,389
|
|
|
$
|
10,391,718
|
|
Common collective trust
|
|
7,423,273
|
|
|
3,074,334
|
|
||
Common stock of FNB United Corp.
|
|
—
|
|
|
25,920
|
|
||
Money market funds
|
|
—
|
|
|
244
|
|
||
Total investments
|
|
24,448,662
|
|
|
13,492,216
|
|
||
|
|
|
|
|
||||
Receivables:
|
|
|
|
|
||||
Notes receivable from participants
|
|
814,870
|
|
|
591,672
|
|
||
Accrued interest and dividends
|
|
616
|
|
|
7,509
|
|
||
Total receivables
|
|
815,486
|
|
|
599,181
|
|
||
|
|
|
|
|
||||
Cash
|
|
—
|
|
|
244,236
|
|
||
|
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS AT FAIR VALUE
|
|
25,264,148
|
|
|
14,335,633
|
|
||
|
|
|
|
|
||||
Adjustment from fair value to contract value for fully benefit-responsive investment contracts
|
|
(405,900
|
)
|
|
(65,401
|
)
|
||
|
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS
|
|
$
|
24,858,248
|
|
|
$
|
14,270,232
|
|
|
|
|
|
|
CommunityOne 401(k) Plan
|
|
|
||
Statement of Changes in Net Assets Available for Benefits
|
|
|
||
|
|
Year Ended
|
||
|
|
December 31, 2012
|
||
ADDITIONS TO NET ASSETS ATTRIBUTED TO:
|
|
|
||
Investment income:
|
|
|
||
Interest and dividends
|
|
$
|
360,600
|
|
Net appreciation in fair value of investments
|
|
1,508,425
|
|
|
Total investment depreciation
|
|
1,869,025
|
|
|
|
|
|
||
Interest income on notes receivable from participants
|
|
16,649
|
|
|
|
|
|
||
Contributions:
|
|
|
||
Employer
|
|
528,634
|
|
|
Participants
|
|
1,299,742
|
|
|
Rollovers
|
|
38,752
|
|
|
Total contributions
|
|
1,867,128
|
|
|
|
|
|
||
TOTAL ADDITIONS
|
|
3,752,802
|
|
|
|
|
|
||
DEDUCTIONS FROM NET ASSETS ATTRIBUTED TO:
|
|
|
||
Benefits paid to participants
|
|
2,694,033
|
|
|
Administrative expenses
|
|
28,725
|
|
|
TOTAL DEDUCTIONS
|
|
2,722,758
|
|
|
|
|
|
||
INCREASE IN NET ASSETS BEFORE TRANSFERS IN
|
|
1,030,044
|
|
|
|
|
|
||
TRANSFERS INTO PLAN
|
|
9,557,972
|
|
|
|
|
|
||
NET ASSETS AVAILABLE FOR BENEFITS BEGINNING OF YEAR
|
|
14,270,232
|
|
|
|
|
|
||
NET ASSETS AVAILABLE FOR BENEFITS END OF YEAR
|
|
$
|
24,858,248
|
|
|
|
|
•
|
A failure of the Plan or its trust to qualify for exemption from federal income taxes or any required prohibited transaction exemption under ERISA.
|
•
|
Material breaches of responsibility which are not cured.
|
•
|
Material or adverse changes to the provisions of the Plan.
|
•
|
termination of the plan.
|
•
|
a material adverse change to the provisions of the plan.
|
•
|
the employer elects to withdraw from a wrapper contract in order to switch to a different investment provider,
|
•
|
the terms of a successor plan (in the event of the spin-off or sale of a division) do not meet the wrapper contract issuer’s underwriting criteria for issuance of a clone wrapper contract.
|
|
|
December 31, 2012
|
|
|
December 31, 2011
|
|
|
Investments at fair value:
|
|
|
|
|
|||
MetLife Stable Value Fund
|
|
$
|
7,423,273
|
|
|
$ *
|
|
JP Morgan Core Bond
|
|
1,991,138
|
|
|
*
|
|
|
Vanguard 500 Index Fund
|
|
1,904,570
|
|
|
845,206
|
|
|
JP Morgan SmartRetirement 2020
|
|
1,829,204
|
|
|
*
|
|
|
MFS Value R3
|
|
1,322,008
|
|
|
*
|
|
|
Prudential Jennison Mid Cap Growth
|
|
1,296,531
|
|
|
*
|
|
|
Capital Preservation Fund, Instl Pricing
|
|
*
|
|
|
3,074,334
|
|
|
Wasatch Large Cap Value
|
|
*
|
|
|
1,235,116
|
|
|
Royce Special Equity Fund
|
|
*
|
|
|
1,101,250
|
|
|
Columbia Acorn Fund
|
|
*
|
|
|
1,078,599
|
|
|
American Century Strategic: Aggressive Fund
|
|
*
|
|
|
1,018,283
|
|
|
American Growth Fund of America
|
|
*
|
|
|
813,977
|
|
|
T. Rowe Price Capital Appreciation Fund
|
|
*
|
|
|
755,236
|
|
|
American Century Strategic Moderate Fund
|
|
*
|
|
|
715,487
|
|
|
|
|
|
|
|
|||
* Less than five percent of net assets
|
|
|
|
|
|||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||
|
|
|
|
|
|
|
|
|
||||||||
|
|
As of December 31, 2012
|
||||||||||||||
|
|
Total
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
||||||||
Mutual funds
|
|
|
|
|
|
|
|
|
||||||||
Equity funds
|
|
$
|
14,116,983
|
|
|
$
|
14,116,983
|
|
|
$
|
—
|
|
|
$
|
—
|
|
Fixed income funds
|
|
2,908,406
|
|
|
2,908,406
|
|
|
—
|
|
|
—
|
|
||||
Common collective trust
|
|
|
|
|
|
|
|
|
||||||||
Collective investment fund
|
|
7,423,273
|
|
|
—
|
|
|
7,423,273
|
|
|
—
|
|
||||
Total assets
|
|
$
|
24,448,662
|
|
|
$
|
17,025,389
|
|
|
$
|
7,423,273
|
|
|
$
|
—
|
|
|
|
|
|
|
|
|
|
|
||||||||
|
|
|
|
|
|
|
|
|
||||||||
|
|
As of December 31, 2011
|
||||||||||||||
|
|
Total
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
||||||||
Mutual funds
|
|
|
|
|
|
|
|
|
||||||||
Equity funds
|
|
$
|
8,604,238
|
|
|
$
|
8,604,238
|
|
|
$
|
—
|
|
|
$
|
—
|
|
Fixed income funds
|
|
1,787,480
|
|
|
1,787,480
|
|
|
—
|
|
|
—
|
|
||||
Common equity securities
|
|
25,920
|
|
|
25,920
|
|
|
—
|
|
|
—
|
|
||||
Common collective trust
|
|
|
|
|
|
|
|
|
||||||||
Collective investment fund
|
|
3,074,334
|
|
|
—
|
|
|
3,074,334
|
|
|
|
|||||
Money market funds
|
|
244
|
|
|
—
|
|
|
244
|
|
|
—
|
|
||||
Total assets
|
|
$
|
13,492,216
|
|
|
$
|
10,417,638
|
|
|
$
|
3,074,578
|
|
|
$
|
—
|
|
|
|
|
||
|
|
Level 3 Assets
|
||
|
|
Year Ended December 31, 2012
|
||
Balance, beginning of year
|
|
$
|
—
|
|
Realized gains
|
|
—
|
|
|
Purchases, sales, issuances, settlements and transfers, net
|
|
—
|
|
|
Balance, end of year
|
|
$
|
—
|
|
|
|
|
||
|
|
|
||
|
|
Level 3 Assets
|
||
|
|
Year Ended December 31, 2011
|
||
|
|
Group Annuity Plans
|
||
Balance, beginning of year
|
|
$
|
43,498
|
|
Realized gains
|
|
88
|
|
|
Purchases, sales, issuances, settlements and transfers, net
|
|
(43,586
|
)
|
|
Balance, end of year
|
|
$
|
—
|
|
|
|
|
|
|
Fair Value at
|
|
Fair Value at
|
|
Unfunded
|
||||||
|
|
December 31, 2012
|
|
December 31, 2011
|
|
Commitments
|
||||||
Common collective trust funds:
|
|
|
|
|
|
|
||||||
Collective investment fund (a)
|
|
$
|
7,423,273
|
|
|
$
|
3,074,334
|
|
|
$
|
—
|
|
TOTAL
|
|
$
|
7,423,273
|
|
|
$
|
3,074,334
|
|
|
$
|
—
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||
|
|
December 31, 2012
|
|
|
December 31, 2011
|
|
Net assets available for benefits per the financial statements
|
|
24,858,248
|
|
|
14,270,232
|
|
Accrued dividends not reflected on Form 5500
|
|
—
|
|
|
(7,508
|
)
|
Net assets available for benefits per the Form 5500
|
|
24,858,248
|
|
|
14,262,724
|
|
|
|
|
|
|
|
|
|
||
Net increase in net assets available for benefits per the financial statements
|
|
$
|
10,588,016
|
|
Accrued interest and dividends not reflected on Form 5500
|
|
7,508
|
|
|
Benefits paid to participants not reflected in Form 5500
|
|
—
|
|
|
Net increase in net assets available for benefits per the Form 5500
|
|
$
|
10,595,524
|
|
|
|
|
|
|
|
|
|
|
|
|
||
|
|
|
|
|
|
|
|
||
(a)
|
(b) Identity of Issue, borrower, lessor or similar party
|
|
(c) Description of Investment, including maturity date, rate of interest,collateral, par or maturity value
|
|
(d) Cost**
|
|
(e) Current value
|
||
|
|
|
Mutual Funds
|
|
|
|
|
||
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement Income A
|
|
—
|
|
|
746,195
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2010 A
|
|
—
|
|
|
72,862
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2015 A
|
|
—
|
|
|
294,549
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2020 A
|
|
—
|
|
|
1,829,204
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2025 A
|
|
—
|
|
|
1,050,335
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2030 A
|
|
—
|
|
|
114,458
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2035 A
|
|
—
|
|
|
71,255
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2040 A
|
|
—
|
|
|
1,207,140
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2045 A
|
|
—
|
|
|
100,308
|
|
|
JP Morgan Asset Management
|
|
JP Morgan SmartRetirement 2050 A
|
|
—
|
|
|
28,125
|
|
|
American Funds
|
|
American Funds EuroPacific Gr R3
|
|
—
|
|
|
912,771
|
|
|
Harbor Funds
|
|
Harbor International Fund
|
|
—
|
|
|
315,190
|
|
|
Delaware Investments
|
|
Delaware Small Cap Value Instl
|
|
—
|
|
|
790,490
|
|
|
Loomis, Sayles and Co.
|
|
Loomis Sayles Small Cap Growth
|
|
—
|
|
|
770,068
|
|
|
JP Morgan Asset Management
|
|
JP Morgan Mid Cap Value
|
|
—
|
|
|
260,560
|
|
|
Prudential Investments
|
|
Prudential Jennison Mid Cap Growth
|
|
—
|
|
|
1,296,531
|
|
|
Harbor Funds
|
|
Harbor Capital Appreciation
|
|
—
|
|
|
1,030,364
|
|
|
MFS Investment Management
|
|
MFS Value R3
|
|
—
|
|
|
1,322,008
|
|
|
Vanguard
|
|
Vanguard 500 Index
|
|
—
|
|
|
1,904,570
|
|
|
JP Morgan Asset Management
|
|
JP Morgan Core Bond
|
|
—
|
|
|
1,991,138
|
|
|
Pimco Funds
|
|
PIMCO Total Return A
|
|
—
|
|
|
917,268
|
|
|
Metropolitan Life
|
|
MetLife Stable Value Fund CIT III
|
|
—
|
|
|
7,017,373
|
|
|
|
|
|
|
—
|
|
|
24,042,762
|
|
|
|
|
|
|
|
|
|
||
|
|
|
|
|
|
|
|
||
*
|
Participant loans
|
|
Notes receivable from participants, rates vary from 3.25 - 5.50%
|
|
—
|
|
|
815,486
|
|
|
|
|
|
|
|
|
|
||
|
|
|
Total Investments
|
|
—
|
|
|
24,858,248
|
|
|
|
|
|
|
|
|
|
||
*
|
Represents party-in-interest
|
|
|
|
|
|
|
||
**
|
Cost omitted for participant-directed investments.
|
|
|
|
|
||||
|
|
|
|
|
|
|
|
1 Year Fnb United Corp. (MM) Chart |
1 Month Fnb United Corp. (MM) Chart |
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