[]COPY - Federal Reserve Bank of Chicago

[]COPY
Board of Governors of the Federal Reserve System
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FRY-6
OMB Number 7100-0297
FEB 2 5 2014
Approval expires December 31,
2015
Page 1 of2
Cu
,
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)); Section 8(a)
of the International Banking Act (12 U.S.C. § 3106(a)); Sections
11(a)(1), 25 and 25A of the Federal Reserve Act (12 U.S.C.
§§ 248(a)(1), 602, and 611a); Section 211 .13(c) of Regulation K
(12 C.F.R. § 211.13(c)); and Section 225.5(b) of Regulation Y (12
C.F.R. § 225.5(b)) and section 10(c)(2)(H) of the Home Owners'
Loan Act. 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 and top-tier savings and loan holding companies organized
under U.S. law, and by any foreign banking organization that
does not meet the requirements of and is not treated as a qualify
ing
foreign
banking
organization
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 sponsor, and an organization (or a
person) is not required to respond to, an information collection
unless it displays a currently valid OMS 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
Date of Report (top-tier holding company's fiscal year-end):
December 31, 2013
Month I Day I Year
individual who is a senior official and is also a director, the chair
Reporter's Name, Street, and Mailing Address
man of the board must sign the report.
Oxford Financial Corporation
1. George P. Colis
Name of the Holding Company Director and Official
Legal Title of Holding Company
President, CEO and Director
1111 West 22nd Street, Suite 800
Titie of the Holding Company Director and Official
(Mailing Address of the Holding Company) Street I P.O. Box
attest that the Annual Report of Holding Companies (including
Oak Brook
IL
the supporting attachments) for this report date has been pre
60523
City
State
Zip Code
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 this
report, the Reporter certifies that it has the authority to provide this
information to the Federal Reserve. The Reporter also certifies
that it has the authority, on behalf of each individual, to consent or
object to public release of information regarding that individual.
The Federal Reserve may assume, in the absence of a request for
(if different
Physical l ocat ion
Person to whom questions about this report should be directed:
George P. Colis
President
Name
Titie
I Phone Number I Extension
630-628-0181
"Rules Regarding Availability of Information," 12 C.F.R. Part 261,
Area Code I FAX
filKl
individual consent to public release of all
deta · s in the report concerning that individual.
& CEO
630-629-5000
Area Code
confidential treatment submitted in accordance with the Board's
that the Reporter
from mailing address)
Number
gcol is@oxford-bank. com
E-mail Address
N/A
Address (URL) for the Holdi n g Compan y's web page
Date of Signature
Does the reporter request confd
i ential treatment for any portion of this
For holding companies
[]QJ. registered
with the SEC-
Indicate status of Annual Report to Shareholders:
D
D
�
is included with the FR Y-6 report
submission?
D Yes
Please identify the report items to which this request
applies:
will be sent u nder separate cover
D In accordance with the instructions on pages GEN-2
is not prepared
For Federal Reserve Bank Use
RSSDID
C.I.
and
Only
t &"rJ 3 ;;z__
/d. /
3, a letter justifying the request is being provided.
D The information for which confidential treatment is sought
is being submitted separately labeled "Confidential."
l:8J No
Public reporting burden for this information collection is estimated to vary from 1.3 to 101 hours per response, with an average of 5.25 hours per response. including time to gather and
maintain data in the required form and to review instructions and complete the information collection. Send comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden to: Secretary, Board of Governors of the Federal Reserve System, 20th and C Streets, N.W.. Washington, DC 20551, and to the
Office of Management and Budget, Paperwork Reduction Project (7100-0297), Washington, DC 20503.
1 2/20 1 2
OXFORD FINANCIAL CORPORATION
December 31, 2013
FR Y-6
Report Item 2a
Organization Chart
OXFORD FINANCIAL CORPORATION
An Illinois Corporation
(Oak Brook, IL)
I
100%
Oxford Bank & Trust
An Illinois Banking
Corporation
(Oak Brook, IL)
I
100%
Oxford Statutory Trust I
A statutory trust created under
the Connecticut General
Statutes
(Oak Brook, IL)
Results: A llat of branches for your hold!ng company: OXFORD FINANCIAL CORPORATION (1248032) of OAK BROOK. IL
The data are as of i2131/2013. Data reflects information that was received and processed through 01J07/2014.
Reconcl!lation andVerification Steps
1. ln the Data Action column or each branch «:NI, enter one or more ol the actions specified below.
2. If required, enter the dale in the Effective Date column.
A£!!2M
OK: If the branch Information is correct, enter 'OK' Jn the Data Action column.
Change: If the branch Information Is incorrect or incomplete, revise the d ata, enter 'Change' In the Data Action column and the date when this inlormatloo first became valid in the Effective Date column.
Clon: If a branch listed was sold or closed, enter 'Close' in the Data Action column and the sate or closure dale ln the Effective Date column.
Delete: Jf a branch listed was never owned by this depository institution, enter 'Delete' in the Data Action column.
JI a reportable branch Is missing, insert a row, add the branch data, and enter 'Add' !n the Data Action column and the opening or acquisition date In the Effective Cate column,
Add:
11 printing this list, you may need lo adjust your page setup In MS
Excet. 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 detatled Instructions on this site for more Information.
If you are e-mailing this to your FRB contact, put your lnstitutlon name, city and state In the subject line of the e-mail.
Nole:
To satisfy the FR Y-10 reporting requirements. you must also submit FR Y-10 Domestic Branch Schedules ror each branch with a Data Action of Change, CloH, Delete, or .Add.
The FR Y-10 report may be submitted in a hardcopy format or via the FR Y-10 Onllne application· htlpsJ/y10online.federalreserve.gov.
•FDIC UNINUM,
Office Number, and ID_RSSD cdumns are for reference only. Venr.catlon of these values Is not required.
oat.Action Effective oat.
OK
OK
OK
OK
OK
OK
OK
OK
Branch 10 RSSD"
Branch Service Type
647432
FuU SeMce (Head Office)
Full Setvtce
3670879
Full Service
2090573
Limited Servtce
Full Service
Full Service
Full Service
Full Service
2121682
2882219
35013n
3502260
3158322
Street Address
City
1111 WEST22ND STREET, SUITE 800 OAK BROOK
1520 WEST LAKE STREET
ADDISON
205 NORTH ADDISON ROAD
ADDISON
115 NORTH ADDISON ROAD
DRIVE-IN FACILITY
ADDISON
1260 BOOK ROAD
BOOK ROAD BRANCH
NAPERVILLE
ROUTE 59 FACILITY
ROUTE 59 & 83RD STREET
NAPERVILLE
13440 SOUTH ROUTE 59
PLAINFIELD
PLAINFIELD BRANCH
6495 SOUTH CASS AVENUE OFFICE 6495 SOUTH CASS AVENUE
WESTMONT
Popular Name
OXFORD BANK & TRUST
1520 WEST LAKE STREET BRANCH
ADDISON ROAD FACILITY
Slate
IL
IL
IL
IL
IL
IL
IL
IL
Zlo Code Countv Country
FDIC UNINUM" Office Number"
DUPAGE UNITED STATES
5920
0
60523
DUPAGE UNITED STATES
7
445285
60101
DUPAGE UNITED STATES
2
219788
60101
DUPAGE UNITED STATES
1
219787
60101
DUPAGE UNITED STATES
219790
4
60540
DUPAGE UNITED STATES
219789
3
60564
WILL
UNITED STATES
6
419069
60585
DUPAGE UNITED STATES
365353
5
60559
--3&
Head Office
Head Office 10 RSSO- Comments
OXFORD BANK & TRUST
647432
OXFORD BANK & TRUST
647432
OXFORD BANK & TRUST
647432
OXFORD BANK & TRUST
647432
OXFORD BANK & TRUST
647432
OXFORD BANK & TRUST
647432
OXFORD BANK & TRUST
647432
OXFORD BANK & TRUST
647432
OXFORD FINANCIAL CORPORATION
FR
Y-6 REPORT
December 31, 2013
REPORT ITEM 3 - SECURITIES HOLDERS
Current Securities Holders with ownership, control or holdings of
5°/o or
more with power to vote as of fiscal year ending 12-31-2013
(1)(a)
(1)(b)
(1)(c)
Number and
Securities Holders not listed In 3(1)(a) through (3)(1)(c) that had
ownership1 control or holdings of
(2)(a)
Country of
Percentage of Each
Citizenship or
Class of Voting
Name
State, Country)
Incorporation
Securities
(City, State, Country)
Colis Family Trust
USA
1O,174.50 Common
Shares - 58%
Name
& Address (City,
George P. Colis, Co-Trustee
John N. Celis, Co-Trustee
Leslie C. Ward, Co-Trustee
Valerie Colis, Co-Trustee
Oak Brook, IL USA
Celis Legacy Trust
NONE
USA
George P. Celis, Co-Trustee
2,283.00 Common
Shares -13%
John N. Celis, Co-Trustee
Leslie C. Ward, Co-Trustee
Valerie Calls, Co-Trustee
Oak Brook, IL USA
James J. Christie Non-
USA
Exempt Marital Trust No. 2
1,310.67 Common
Shares 7%
-
Rita Christie, Co-Trustee
George Christie, Co-Trustee
Wheeling, IL USA
Rita Christie 2001
Declaration ofTrust
Rita Christie, Trustee
Wheeling, IL USA
USA
655.33 Common Shares
-4%
5°/o or more with power to vote
during the fiscal year ending 12-31-2013
& Address
(2)(b)
(2)(c)
Number and
Country of
Percentage of Each
Citizenship or
Class of Voting
Incorporation
Securities
...
OXFORD FINANCIAL CORPORATION
FR Y-6 REPORT
December 31, 2013
REPORT ITEM 4 - INSIDERS
(1)
(2)
Names & Address
(City, State,
Country)
Principal
Occupation if other
than with Bank
Holding Company
George P. Colis
Bank Executive
Oak Brook, IL
(3)(a)
(3)(b)
(3)(c)
(4)(a)
(4)(b)
(4)(c)
Title & Position
with Bank
Holding
Company
List names of other
companies
(includes
partnerships) if 25%
or more of voting
securities are held
Percentage of
(List names of
Title & Position
Voting Securities companies and
Percentage of
Title & Position
with Other
percentage of
Voting Securities in Subsidiaries
with Subsidiaries Businesses
voting securities
(include names of (include names of in Bank Holding (include names
of
subsidiaries
other
businesses
subsidiaries)
) held)
) Company
President, CEO,
Chairman - Oxford
Director - Euclid
Treasurer & Asst.
Bank & Trust;
Insurance Services,
Secretary
Trustee - Oxford
Inc.; General
Statutory Trust I
71%
None
71%
None
Euclid Insurance
Services, Inc. - 100%
Partner - Oxford
General Partners
Leslie C. Ward
N/A
Director
None
Calais, VT
Director - Euclid
Euclid Insurance
Services, Inc. -
Insurance Services,
100%
Inc.; General
Partner - Oxford
General Partners
Valerie Colis
Chicago, IL
NIA
Director
Director - Oxford
Director - Euclid
Bank & Trust
Insurance Services,
Inc.; General
Partner - Oxford
General Partners
Page
1
71%
None
Euclid Insurance
Services, Inc. -
100%
OXFORD FINANCIAL CORPORATION
,.
FR Y-6 REPORT
December 31, 2013
REPORT ITEM 4 - INSIDERS
(2)
(1)
(3)(a)
Title & Position
with Bank
Holding
Company
Names & Address
(City, State,
Country)
Principal
Occupation if other
than with Bank
Holding Company
John N. Colis
Insurance Executive Director
Itasca, IL
(3)(c)
{3)(b)
Title & Position
with Subsidiaries
(include names of
subsidiaries)
Title & Position
with Other
Businesses
(include names of
other businesses)
Director - Oxford
Predident & Director
Bank & Trust
- Euclid Insurance
{4)(a)
{4)(b)
{4)(c)
List names of other
companies
(includes
partnerships) if 25%
or more of voting
securities are held
Percentage of
(List names of
Voting Securities companies and
Percentage of
Voting Securities in Subsidiaries
percentage of
in Bank Holding {include names voting securities
of subsidiaries) held )
Company
71%
None
Euclid Insurance
Services, Inc. -
Services, Inc.;
General Partner Oxford General
Partners
NIA
None
None
Unknown
11%
None
Unknown
George Christie,
Food Company
None
None
Unknown
11%
None
Unknown
Trustee
Executive
Rita Christie,
Trustee
Wheeling, IL
Wheeling, IL
Page 2
100%

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