FR Y-12 Consolidated Bank Holding Company Report of Equity Inves

Board of Governors of the Federal Reserve System

FR Y–12
OMB Number 7100–0300
Expires December 2012

Consolidated Bank Holding Company
Report of Equity Investments
in Nonfinancial Companies—FR Y–12
Report at the close of business as of the last calendar day of the reporting period.
This report is required by law: Section 5(c) of the Bank Holding
Company Act (12 U.S.C. 1844).
The Consolidated Bank Holding Company Report of Equity Investments in Nonfinancial Companies is to be prepared in accordance

with the instructions provided by the Federal Reserve System. The
Federal Reserve may not conduct or sponsor and an organization
(or a person) is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

Legal Name of Bank Holding Company (TEXT 9010)

Mailing Address Street / P.O. Box (TEXT 9110)

Contact Name (TEXT 8901)

City (TEXT 9130), State (TEXT 9200)

Contact Phone Number (TEXT 8902)

As-of date (BHEI 9999)

Contact Fax Number (TEXT 9116)

Name and Title of Executive Officer of Bank Holding Company

Zip Code (TEXT 9220)

Contact E-Mail Address (TEXT 4086)

Signature of Executive Officer of the Bank Holding Company

For Federal Reserve Bank Use Only
RSSD Number
C.I.

S.F.

Public reporting burden for this information collection is estimated to average 16.5 hours
per response, including time to gather and maintain data in the required form and to
review instructions and complete the information collection. Comments regarding this
burden estimate or any other aspect of this information collection, including suggestions for reducing the burden, may be sent to Secretary, Board of Governors of the
Federal Reserve System, Washington, DC 20551, and to the Office of Management
and Budget, Paperwork Reduction Project (7100–0300), Washington, DC 20503.

FR Y–12
Page 1

For Federal Reserve Bank Use Only
RSSD Number
C.I.
Legal Name of Bank Holding Company

As-of date

Schedule A: Type of Investments
(Column B)
Net Unrealized
Holding Gains
Not Recognized
as Income

(Column A)
Acquisition
Cost

BHEI

1. Direct investments in public
entities. ...........................................
2. Direct investments in nonpublic
entities ............................................
3. All indirect investments ...................
4. Total portfolio (sum of items 1, 2,
and 3)..............................................

Bil

Mil

BHEI

Bil

Mil

(Column D)
Publicly
Quoted Value

(Column C)
Carrying
Value

BHEI

Bil

Mil

BHEI
C091

Bil

Mil

C088

C089

C090

C093
C097

C094
C098

C095
C099

2.
3.

C101

C102

C103

4.

Number of Companies
BHEI
Memoranda
1. Total Portfolio .................................. C100

1–10

11–25 26–100 100+

M.1.

(Column A)
Acquisition
Cost

BHEI

Bil

(Column B)
Net Unrealized
Holding Gains
Not Recognized
as Income
Mil

BHEI

FHCs only
2. Investments held under Merchant
Banking (GLBA) authority ............... C104

C105

Income Amount
Only for BHCs filing FR Y–9C
BHEI
Bil
Mil
3. Pre-tax Impact on net income
from items 1, 2, and 3 above .......... B498

M.3.

Off-Balance-Sheet
Amount
BHEI
For all BHCs
4. Investments managed for others .... C716

Bil

Mil

Income Amount
BHEI
Bil
Mil
Only for BHCs filing FR Y-9C
5. Pre-tax impact of management fee
income (from item M4 above) ......... J443

M.4.

M.5.

Bil

Mil

(Column C)
Carrying
Value

BHEI

C106

Bil

Mil

M.2.

1.

FR Y–12
Page 2

Legal Name of Bank Holding Company

As-of date

Schedule B: Type of Security
(Column A)
Acquisition
Cost
1.
2.
3.
4.

Common stock .......................................................................
Convertible debt and convertible preferred stock ..................
Other equity instruments........................................................
Total portfolio (sum of items 1, 2, and 3)................................

BHEI
C107
C109
C111
C113

Bil

(Column B)
Carrying
Value
Mil

BHEI
C108
C110
C112
C114

Bil

Mil

1.
2.
3.
4.

Off-Balance-Sheet
Amount
Memoranda
BHEI
1. Unused equity commitments ................................................. C115

Bil

Mil

M.1.

Warrants
BHEI
2. Does the BHC hold any Warrants or similar instruments
received in connection with equity investment activity?
(Enter "1" if yes, "0" if no). .................................................... C717

M.2.

Schedule C: Type of Entity within the Banking Organization
(Column B)
Net Unrealized
Holding Gains Not
Recognized as
Income

(Column A)
Acquisition
Cost

BHEI

1. Depository institutions:
a. SBICs .............................................................................
b. Edge and agreement corporations.................................
c. All other ..........................................................................
2. Parent holding and other nonbank subsidiaries:
a. SBICs .............................................................................
b. Edge and agreement corporations.................................
c. Broker/Dealers ...............................................................
d. Private Equity subsidiaries .............................................
e. All other ..........................................................................
3. Total portfolio (sum of items 1.a through 2.e) .....................

Bil

Mil

BHEI

Bil

Mil

(Column C)
Carrying
Value

BHEI

Bil

Mil

C117
C121
C126

C718
C719
C720

C118
C122
C127

1.a.
1.b.
1.c.

C136
C722
C131
C726
C145
C150

C721
C723
C725
C727
C729
C730

C137
C724
C132
C728
C146
C151

2.a.
2.b.
2.c.
2.d.
2.e.
3.

Memoranda
1. Domestic investments......................................................... C155
2. Foreign investments ........................................................... C157

C749
C750

C156
C158

M.1.
M.2.

FR Y–12
Page 3

Legal Name of Bank Holding Company

As-of date

Schedule D: Nonfinancial Investment Transactions During Reporting Period
Direct Public Investments
(Column B)
(Column A)
Carrying
Acquisition
Value
Cost
Type of Transaction
1. Purchases ..........................................
2. Less: Return of Capital ......................
3. Net Valuation Changes ......................
4. Other ..................................................
5. Total Transactions (sum of
Items 1–4) ..........................................

BHEI

Bil

Mil

C731
C735

(

)

BHEI

C741

C732
C736
C739
C742

C745

C746

Direct Nonpublic Investments
(Column C)
(Column D)
Acquisition
Carrying
Cost
Value

Bil

Mil

BHEI

Bil

Mil

(

)

J434
J436

(

)

BHEI

J439

J435
J437
J438
J440

J441

J442

Indirect (Fund) Investments
(Column F)
(Column E)
Carrying
Acquisition
Value
Cost

Bil

Mil

BHEI

Bil

Mil

(

)

C733
C737

(

)

BHEI

C743

C734
C738
C740
C744

C747

C748

Bil

Mil

(

)

1.
2.
3.
4.
5.