Round Top, Report Item 1: 2(a): The Bank Holding Company is not required to prepare form 10K as it is not registered with the SEC. The Bank Holding Company does not prepare an annual report for its sharesholders. Organization Chart Round Top Bancshares, Inc. 100% Round Top State Bank 100% Tom Baker Insurance Agency, Inc. 100% WSB Insurance Agency, Inc. 2(b): Domestic branch listing provided to the Federal Reserve Bank as part of this filing.
Results: A list of branches for your depository institution: ROUND TOP STATE BANK (ID_RSSD: 665865). This depository institution is held by ROUND TOP BANCSHARES, INC. (2684721) of ROUND TOP, TX. The data are as of 12/31/2016. Data reflects information that was received and processed through 01/10/2017. Reconciliation and Verification Steps 1. In the Data Action column of each branch row, enter one or more of the actions specified 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. Change: If the branch information is incorrect or incomplete, revise the data, enter 'Change' in the Data Action column and the date when this information first became valid in the Effective Date column. Close: If a branch listed was sold or closed, enter 'Close' in the Data Action column and the sale or closure date in the Effective Date column. Delete: If a branch listed was never owned by this depository institution, enter 'Delete' in the Data Action column. Add: If a reportable branch is missing, insert a row, add the branch data, and enter 'Add' in the Data Action column and the opening or acquisition 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 scaling, 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 e mailing this to your FRB contact, put your institution name, city and state in the subject line of the e mail. Note: To satisfy the FR Y 10 reporting requirements, you must also submit FR Y 10 Domestic Branch Schedules for each branch with a Data Action of Change, Close, Delete, or Add. The FR Y 10 report may be submitted in a hardcopy format or via the FR Y 10 Online application https://y10online.federalreserve.gov. * FDIC UNINUM, Office Number, and ID_RSSD columns are for reference only. Verification of these values is not required. Data Action Effective Date Branch Service Type Branch ID_RSSD* Popular Name Street Address City State Zip Code County Country FDIC UNINUM* Office Number* Head Office Head Office ID_RSSD* Comments OK Full Service (Head Office) 665865 ROUND TOP STATE BANK 301 NORTH WASHINGTON STREET, HIGHWAY 237 NORTH ROUND TOP TX 78954 FAYETTE UNITED STATES 13168 0 ROUND TOP STATE BANK 665865 OK Full Service 2425634 GIDDINGS BRANCH 1442 EAST AUSTIN STREET GIDDINGS TX 78942 LEE UNITED STATES 248036 1 ROUND TOP STATE BANK 665865 OK Full Service 976057 EAGLE BANK JARRELL BRANCH 12345 NORTH IH 35 JARRELL TX 76537 WILLIAMSON UNITED STATES 7111 4 ROUND TOP STATE BANK 665865 OK Full Service 3537888 LA GRANGE BRANCH 2010 HIGHWAY 71 WEST LA GRANGE TX 78945 FAYETTE UNITED STATES 357973 2 ROUND TOP STATE BANK 665865 OK Full Service 3304875 LEXINGTON BRANCH 8681 NORTH HIGHWAY 77 LEXINGTON TX 78947 9496 LEE UNITED STATES 432797 3 ROUND TOP STATE BANK 665865 OK Full Service 4833046 EAGLE BANK ROUND ROCK BRANCH 2250 NORTH AW GRIMES BOULEVARD ROUND ROCK TX 78665 WILLIAMSON UNITED STATES Not Required Not Required ROUND TOP STATE BANK 665865
Report Item 3: Securities Holders (1)(a)(b)(c) and (2)(a)(b)(c) Current securities holders with ownership, control or holdings of 5% or more Securities holders not listed in 3(1)(a) through 3(1)(c) that had ownership, control with power to vote as of fiscal year ending 12-31-2016 or holdings of 5% or more with power to vote during the fiscal year ending 12-31-2016 (1)(b) (1)(c) (2)(c) (1)(a) Country of Number and Percentage of (2)(a) (2)(b) Number and Percentage of Name Citizenship Each Class of Voting Name Country of Citizenship Each Class of Voting City, State, Country or Incorporation Securities City, State, Country or Incorporation Securities Ronny G. & Betty Sacks USA 2,867-6.83% as partners in None N/A N/A Sacks Family, LTD Michael A. & Jacquelyn R. Sacks USA 164 -.39% (son and daughter-in-law of Ronny G. & Betty Sacks) Wayne & Pearlie Wagner USA 4,537-10.80% Jason J. Wagner 2013 Trust USA 2,025-4.82% Wayne & Pearlie Wagner, Trustees Trustees of the Jason J. Wagner 2013 Trust Amy A. (Wagner) Hooge USA 2,025-4.82% 2013 Trust Trustees of the Amy A. Wayne & Pearlie Wagner, Trustees (Wagner) Hooge 2013 Trust Tina M. (Wagner) Morrow USA 2,025-4.82% 2013 Trust Trustees of the Tina M. Wayne & Pearlie Wagner, Trustees (Wagner) Morrow 2013 Trust
Report Item 3: Securities Holders (1)(a)(b)(c) and (2)(a)(b)(c) Current securities holders with ownership, control or holdings of 5% or more Securities holders not listed in 3(1)(a) through 3(1)(c) that had ownership, control with power to vote as of fiscal year ending 12-31-2016 or holdings of 5% or more with power to vote during the fiscal year ending 12-31-2016 (1)(b) (1)(c) (2)(c) (1)(a) Country of Number and Percentage of (2)(a) (2)(b) Number and Percentage of Name Citizenship Each Class of Voting Name Country of Citizenship Each Class of Voting City, State, Country or Incorporation Securities City, State, Country or Incorporation Securities Jason Wagner USA 805-1.92% (son of Wayne & Pearlie Wagner) Dave L. Weishuhn USA 2,100-5.00% Ellinger,, USA Scott Eckermann USA 1,990-4.74% Brenham,, USA Larry Eckermann USA 1,868-4.45% (brother of Scott Eckermann) Burton,, USA Kori Kelm USA 27-0.06% (daughter of Larry Eckermann) Brenham,, USA Thomas Ray Rogers USA 2,100-5.00% Woodway,, USA Craig C. Brown, II USA 340-0.81% Houston,, USA 255-0.61% as Separate Property
Report Item 3: Securities Holders (1)(a)(b)(c) and (2)(a)(b)(c) Current securities holders with ownership, control or holdings of 5% or more Securities holders not listed in 3(1)(a) through 3(1)(c) that had ownership, control with power to vote as of fiscal year ending 12-31-2016 or holdings of 5% or more with power to vote during the fiscal year ending 12-31-2016 (1)(b) (1)(c) (2)(c) (1)(a) Country of Number and Percentage of (2)(a) (2)(b) Number and Percentage of Name Citizenship Each Class of Voting Name Country of Citizenship Each Class of Voting City, State, Country or Incorporation Securities City, State, Country or Incorporation Securities Craig and Galen Brown Foundation USA 1,537-3.66% Houston,, USA (Member of the Board of Directors- Craig C. Brown, II) Robin G. Brown USA 25-0.06% (brother of Craig C. Brown, II) Houston,, USA
AMENDED Form FR Y-6 Report Item 4: Insiders (1), (2), (3)(a)(b)(c), and (4)(a)(b)(c) (4)(c) List names of other companies (includes (3)(c) partnerships) if 25% Title & Position (4)(b) or more of voting (2) (3)(b) with Other Percentage of securities are held (1)(a) Principal (3)(a) Title & Position Businesses (4)(a) Voting Shares in (List names of Name Occupation if other Title & Position with Subsidiaries (include names Percentage of Subsidiaries companies and City, State than with Holding with Holding (include names of other Voting Shares in (include names percentage of voting Country Company Company of subsidiaries) businesses) Holding Company of subsidiaries) securities held) Ronny Sacks N/A Director & Director & CEO/ N/A 6.83% None N/A President Chairman of the Board of Round Top State Bank #Wayne Wagner N/A Director & Director, Secretary Round Top 25.26% None N/A *Pearlie Wagner Secretary (Round Top State Service Station * Joint Owner of Bank) (owner) with Wayne Wagner Jason Wagner Mail carrier Principal Securities N/A N/A 1.92% None N/A (son of Wayne & Pearlie Holder Wagner) Dave L. Weishuhn N/A Director & Vice- Director, President/ N/A 5.00% None N/A Ellinger,, USA President CFO (Round Top State Bank) Branch Neutzler N/A Director Director (Round Top N/A 3.38% None N/A Austin,, USA State Bank) Scott Eckermann N/A Director Director (Round Top N/A 4.74% None N/A Brenham,, USA State Bank) David Kleiber Businessman Director Director (Round Top Kleiber 0.32% None N/A LaGrange,, USA State Bank) Tractor & Equipment (owner) Please note the following: * Technically, Pearlie Wagner is not an officer of She is however, the joint owner (controlling vote) of 25.26% of Round Top Bancshares, Inc. voting shares with her husband, Wayne Wagner, who is a director and secretary of the holding company. # The 25.26% of controlling voting shares of the holding company which are held by Wayne and Pearlie Wagner consist of the two individuals being trustees for three separate trust accounts: Jason J. Wagner 2013 Trust (4.82%), Amy A. (Wagner) Hooge Trust (4.82%), and the Tina M. (Wagner) Morrow Trust (4.82%); as well as 10.80% that is held as joint owners of common stock.