Board of Governors of the Federal Reserve System

FRY6 OMB Number7100-0297 Approval expires September 30, 2018 Page 1 of2

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)); 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.

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.

1. Gerald Levy Name of the Holding Company Director and Official

Chairman Trtle 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 pre­pared 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 infonnat1on regarding individuals contained in this report, the Reporter certifies that it has the authonty to provide this infonnation to the Federal Reserve. The Reporter also certifies that ii has the authority, on behalf of each individual, to consent or object to public release of infonnation 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 Availab1l1ty of lnfonnalion, • 12 C.F.R. Part 261, that the Reporter ;mQ individual consent to public release of all detail in the report concemmg m vidual

Data of Signature

For holding companies D.QJ. registered with the SEC-

Indicate status of Annual Report to Shareholders

0 is included with the FR Y-6 report

0 will be sent under separate cover

l&J is not prepared

For Federal Reserve Bank Use Only

RSSDID cJc 5 3o27Y C.I. J

This report form is to be filed by all top-tier bank holding compa­nies 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 qualify­ing 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 rt displays a currently valid OMB control number.

Date of Report (top-tier holding company's fiscal year-end):

September 30, 2016 Month I Day I Year

N/A

Reporter's legal Entity Identifier (LEI) (20-Character LEI Code)

Reporter's Name, Street, and Marling Address

Guaranty Financial MHC Legel Title of Holding Company

501 W Northshore Drive (Mailing Address of the Holding Company) Street IP 0 Box

Glendale WI 53217 City State Zip Code

Physical Locabon (1f different from ma1hng address)

Person to whom questions about this report should be directed: Julie Borchert VP Regulatory Reporting Name

414-290-6086 Area Code I Phone Number I Extension

414-290-6170 Area Code I FAX Number

Julie.Borchert@gbmail.com E-mail Address

www.guarantybank.com Address (URL) for the Holding Company's web page

Does the reporter request confidential treatment for any portion of this

submission?

0 Yes Please identify the report items to which this request applies:

l8J No

O In accordance with the instructions on pages GEN-2 and 3, a letter justifying the request ls being provided.

O The information for which confidential treatment is sought is being submitted separately labeled "Confidential "

Public reporting burden for this Information collectJon os esbmatod lo vary from 1 3 to 101 hours per response, with an average of 5.25 hours per response, Including Ume to gather and maintain data In the required form and to review Instructions and complete the lnformalion collection Send comments regarding this burden estimate or any other aspoct of this collection of Information, Including suggestions for reducing thos burden to· Secrelary, Board of Governors of the federal Reserve System, 20th and C Slreets, NW. VVashlngton, DC 2055 1 , and to the Qfftco of Management and Budget, Paperwork Reduction Prolect (7100·0297), VVashington, DC 20503.

1212015

For Use By Tiered Holding Companies

FRY-6 Ptige 2 Of 2

Top-tiered holding companies must list the names, mailing address, and physical locations of each of their subsidiary holding companies below.

Guaranty Financial Corporation Legal Title of Subsidiary Holding Company

501 W Northshore Drive (Mailing Address of the Subs'dlary Holding Company) Street I P.O. Box

Glendale WI 53217 City State Zip Code

Physical Location (If different from malling address)

Legal T.Ue of Subs'dlary Holding Company

(Mailing Address of the Subsidiary Holding Company) Street IP 0. Box

City State Zip Code

Physical Loc:aticn (if different from malling address)

Legal Tille of Subsld1asy Holding Company

(Mailing Address of the Subsidiary Holding Company) Street I P.O. Box

City State Zip Code

Physical Loca11on (If dlflllfllnt from malling address)

Legal Title of Subsidiary Holding Company

(Ma�ing Address of the Subsidiary Holding Company) Street IP 0. Box

City State Zip Code

Physical Location {if different from malling address)

Legal lltle of Subsldlasy Holding Company

(IV.ailing Address cf the Subsidiary Holding Company) Stn:et/ P.O. Box

City State Zip Code

Physical Location (If different from malling address)

Legal Trt!e of Subsidiary Holding Company

(Mailing Address of the Subsidiary Holding Company) Street/ P.O. Box

City State Zip Code

Physical Location (If different from manlng addl'8$$)

Legal Trt!e of Subsidiary Holding Company

(Mailing Address of the Subsidiary Holding Company) Street I P.O. Box

City State Zip Code

Physical Location (ii different from maUlng address)

Legal Trtle of Subsld1&ry Holding Company

(Mallng Address of the Subsidiary Holding Company) Street I P.O. Box

City State Zip Code

Phys[cal Location (If different from ma1Ung address)

1212012

Form FR Y-6

G uaranty Financial, MHC

Glendale, Wisconsin

Fiscel Year ending September 30, 2016

Report11em

2a

lmu1UOJ-ongcamponyj

2b.

The savings and loan holding company prepares an annual report for 11s shareholders for lhe mid lier company GFC and IS nol reg1slered with the SEC.

Organlza111nal Chart There Is no LEI 10 report for all enbbes wilhin lhe orgamzallon.

Oua, anty Fln•ncl-1, MHC 1 teoer.f)'�•ed '""''* "°*dr'IG comptny Glenci•• WI

lncorpcnltd in Wisconsin

Ov.ranty Fln1nc:t.I CorpooraUon, I ted«tfV-d\anMed 1todl: c«potabon, a&.nd1iie WI lneotponl • d in WlloCOMlft

'"°"

Guarenty Bank, a J9detal)'�•ed 11oct.. W'llt'IQS t.n, Olend11e W

Domeslic branch �sling provided to the Federal Reserve Bank.

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_ .. ......_...

1700 CotpOt"ation, a Bf°""'" °"1 WI -

lncotpOl'l\ed ., Cat1fomll

�Pretwred Stock

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Form FR Y-6 Guaranty Financial, MHC

Glendale, Wisconsin

Fiscal Year ending September 30, 2016

Re ort ttem 3: Securities Holders

Guaranty Financial MHC ·NIA Guaran Financial Cor

Cumnl Securities Holders with ownership, control or holdings ol 5% or more with power to vote u of fiscal y .. r ending 9-30·201&

(1)(a) (1)(b) (1)(c)

Country of Number and Percentage of Citizenship or Each Class of Voting

Name & Address (City, Stale, Country) Incorporation Securities

Cede & Co•• us 692,807 • 37% Common

New York, NY, US

Dougla.s Levy us 100,180. 5% Common Fox Point, WI. US

Gerald Levy us 10,289 • 0.8% Common Glendale WI US

Guaranty F11ancial MHC. N/A us 52% ·Common Glendale, WI, US

(1) (2) (3)(a)

Principal Occup1tlon If other than with Holding Tiiie & Position with Holding

Names & Address (City, State, Country) Comp1ny Company

Gerald Levy Glendale WI US Challll\an, Director Chairman and Director, MHC

Douglas Levy CEO, President Director, MHC Fox Pooni, WI, US

Charles Hill Sr Director Director, MHC Chicago, IL US

Bruce Wynn Director Director, MHC Milwaukee, WI US

Viclona Husted-Medvec Dnctor Director, MHC Milwaukee. WI US

Peter Grossman Direclor Direclor, MHC Milwaukee, WI US

(3)(b) (l)(c)

Title & Position with Other Title & Position with Businesses (Include Subsidiaries (Include names of olher

Securities Holders not listed In 3(1)(1) through (3)(1)(c) that hid ownership, control or holdlngs of 5% or more with power lo vole during the llscal y .. r ending 9-30.2016

(2)(•) (2)(b)

Name & Address (City, Country or Clll20n1hlp Slate, Country) or Incorporation

us

us

NJA us

NJA us

(4)(a) (4)(b)

Percentage of Voting Percentage of Voling Securities In Securities In Holding Subsidiaries (Include

(2)(c)

Number and Percentage of Each Class of Voting Securities

(4)(c)

List n1mes or other companies (Includes partnerships) If 25% or more of voting securit ies are held (List names of companies and percentage

names or subsidiaries) businesses) Company namu of subsldlu1es) or voling securities held)

Chairman. GFC N/A N/A 0.8%. GFC NIA

Director, GFC NIA NIA 5%.GFC NIA

D.-ector, GFC President NJA NJA NJA Charies M H1U & Associates

Director. GFC President NJA 0.3%,GFC 100% ·Wynn Capllal Wynn Capital Mgmt

Dorector. GFC President NJA NIA NIA Medvec and Associates, LLC

Director GFC NIA NJA NIA NIA

Form FR Y-6

Guaranty Financial, MHC

Glendale, Wisconsin

Fiscal Year ending September 30, 2016

(1)

Names & Address (City, State, Country)

Douglas Levy Fox Point WI, US

Bruce Wynn

Milwaukee, WI US

Voctoria Husted-Medvec Milwaukee WI US

Gerald Levy Glendale WI US

Charles Hil Sr Chicago, IL US

Peler Grossman Milwaukee, WI US

Cede &Co··

NewYorlc NY US

Guaranty Financial MHC Glendale, WI. US

•• Personal Broker accounts indu ded in Cede & Co percentage of voling shares

Douglas S Levy Children's Trust Jil Levy Belcoms Chidren's Trust

Miehe., Ruth Levy Irrevocable Trust Jelfrey Louis Levy Irrevocable Trust

Hannah Sara Levy Irrevocable Trust

(2)

Principal Occupation II other than with Holding Company

CEO, President

D .. eclor

Direclor

Chairman, Director

D .. ector

D .. ector

lnveslmenl Flrrn

NIA

(3)(1)

Title & Position with Holding Company

Director, GFC

Dlfector, GFC

Director, GFC

Chairmen and Director. GFC

Director, GFC

Director, GFC

Shareholders

NIA

(J)(b) (3)(c) (4)(1)

Title & Position wllh Other Tiiie & Position with Businesses (Include Subsidiaries (Include 111mes of other names of subsidiaries) buslneHo.s)

CEO, Presldenl - GB NIA

Director, GB Presldenl

Wynn Capital Mgmt

Director, GB President Medvec and Assocaates

Chairman, GB NIA

Director, GB President

Percentage of Voting Securities In Holding Company

5%

0.3%

NIA LLC

0.6%

NIA

Charles M HIU & Associates

Director GB NIA NIA

lnveslment Firm NIA 37%

NIA NIA 52%

(4t(b) (4)(c)

List 111mes of other comp1nles (Includes partnerships) If 25% or

Percentage of Voting more of voting securities Securities In ire held (List 111me1 of Subsidiaries (Include companies 1nd percent1ge names of subsidiaries) of voting securities held)

NIA NIA

NIA 100% -Wynn Cap�al

NIA NIA

NIA NIA

NIA NIA

NIA NIA

N/A NIA

NIA N/A