Form FR G-4 FR G-4 Annual Report

FR G-4
OMB No. 7100–0011
Approval expires March 31, 2008

BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

Annual Report
(Federal Reserve Form G-4)
For the year ended June 30,

This report is required by law (15 U.S.C. 78g and 78w; 12 CFR 221).
The Federal Reserve Board regards the information provided by each
respondent as confidential. If it should be determined subsequently that any
information collected on this form must be released, respondents will be
notified.
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.

Public reporting burden for this collection of information is estimated to average
2.0 hours per response, including the 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 (7100-0011), Washington, DC 20503.

Name of registrant:
IRS Identification No.*

Address of principal office:
Street

City

County

State

ZIP Code

GENERAL INSTRUCTIONS

DEFINITIONS

Who must file: Section 221.3(b)(3) of the Federal Reserve
Regulation U requires a report on Form G-4 to be filed by
every person subject to the registration requirement of
Section 221.3(b)(1) of the rule. Any person registered under
the regulation may apply for termination of registration by
filing FR Form G-2 [see Section 221.3(b)(2)], if such person
has not, during the preceding six calendar months, had a total
of $200,000 or more of credit outstanding secured directly or
indirectly by margin stock.

Terms used in this form are explained below. Precise
definitions may be found in Section 221.2 of Regulation U.

When and where to file: Form G-4 shall be filed, in duplicate,
with the Federal Reserve Bank of the district in which the
registrant’s principal place of business is located, within 30
days following June 30 of each calendar year.

Purpose credit: Credit extended for the purpose of purchasing
or carrying margin stock, or to reduce or retire indebtedness
previously incurred for that purpose.

What to file: The registrant is required to file with this report
two copies of the registrant’s balance sheet, certified by an
independent public accountant, as of the end of its most
recent fiscal year. If a certified balance sheet is not available,
registrant should file with this report a balance sheet in the
form prescribed by Schedule B on FR Form G-1, or if subject
to supervision by a state or federal regulatory agency, the
latest balance sheet filed with such agency.

*A registrant who is an individual is not required to disclose his or her Social
Security number.

Person: Any individual, corporation, partnership, association,
joint stock company, business trust, or unincorporated
organization.
Registrant: Any person who is subject to the registration
requirement of Section 221.3(b)(1).

Margin stock: Includes (1) stocks registered on a national
securities exchange or any OTC security designated for
trading in the National Market System, (2) debt securities that
are convertible into, or carry a warrant or right to subscribe to
or purchase margin stock, (3) any such warrant or right, and
(4) shares of most mutual funds.
Indirectly secured: In general, credit is indirectly secured by
margin stock if there is an understanding between the
borrower and the lender (1) which is designated to make the
margin stock more available to the lender in case of default
than to the borrower’s other creditors, or (2) which limits the
borrower from exercising full dominion over the margin stock
to sell, pledge, or donate them, or determining where they
shall be placed physically.

FR G-4
Page 2 of 4

Instructions for Completing Schedule of Securities Credit
A. Report all Purpose Credit secured by margin stock
extended during the reporting period, as well as all purpose
credit secured by margin stock outstanding as of June 30, on
Part A of the Schedule of Securities Credit.
B. Registrants reporting Purpose Credit secured by margin
stock in Part A must also complete Part B if any nonpurpose
credit was extended during the reporting period or is
outstanding as of June 30.
C. Registrants not reporting Purpose Credit in Part A must
complete

complete Part B if any nonpurpose credit was extended
during the reporting period or is outstanding as of June 30.
D. Registrants who maintain records based upon fiscal quarters that do not coincide with calendar quarters have an
option of reporting credit outstanding and extended in a
slightly different manner. These registrants may report the
annual data requried by FR Form G-4 as of the year ended on
either April 30 or May 31. A registrant reporting in this
manner should change the date in Column I of the Schedule
of Securities Credit to reflect the year end date used.

Employee Stock Option, Purchase, and Ownership Plan Credit
1. Is part or all of the credit extended pursuant to an employee stock option, purchase, or ownership plan?
Yes

No

2. A. If “yes,” does the credit qualify under the special provisions set forth in Section 221.4 of Regulation U?
Yes

No

B. If credit reported in Column I of the Schedule of Securities Credit includes outstanding employee stock option, purchase,
   or ownership plan credit, please report the following:
   i. Outstanding “Plan-Lender” credit pursuant to Section 221.4(a)

$

   ii. Outstanding credit to an ESOP pursuant to Section 221.4(c)

$

3. Has any of the credit reported above been extended pursuant to a plan adopted since the submission of the last annual
report?
Yes

No

If yes, please submit two copies of the plan and any supporting documents.

FR G-4
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Schedule of Securities Credit
I¹
Total credit outstanding
as of June 30, ____
(dollars)
Mil

Thou

Dollars

II²
Credit extended during
reporting period
(dollars)
Mil

Thou

Dollars

A. Credit to purchase or carry margin stock (Purpose Loans):
1. Secured directly by margin stock:
   a. Listed stocks and OTC margin stocks ...........................................
   b. Debt securities convertible into margin stock .................................
   c. Mutual funds and other margin stock ...........................................
2. Secured indirectly by margin stock ...................................................
3. TOTAL (Purpose Credit) ..................................................................

B. Other credit (Nonpurpose Loans):
1. Secured directly by margin stock:
   a. Listed stocks and OTC margin stocks ...........................................
   b. Debt securities convertible into margin stock .................................
   c. Mutual funds and other margin stock ...........................................
2. Secured indirectly by margin stock ....................................................
3. TOTAL (Nonpurpose Credit) .............................................................

1. “Credit outstanding” (Column I) includes credit extended by the registrant during the year covered by this report, and during previous years, that has not been
extinguished before the end of the year covered by this report.
2. “Credit extended” (Column II) is credit extended at any time during the year covered by this report. Column II includes all new credit extended during the year
regardless of whether such credit was extinguished at the end of the year. An increase in an existing loan is new credit.

FR G-4
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Changes in Background Information
For material included in background information, see the second page of FR Form G-1 Registration Statement

Have there been any changes in background information since the previous G-4 report (G-1 report for a registrant filing its first
G-4 report)?
Yes

No

If yes, describe any such changes pertaining to name, address, IRS Identification No., organizational structure (e.g., a sole
proprietorship becoming incorporated), name of person responsible for maintaining Regulation U records, control, or location
of records.

Certification
The registrant filing this annual report and any attachment thereto and the person by whom it is executed represent hereby that
all information contained therein is true and complete.

Date

Signature of sole proprietor, general partner, managing agent, or principal officer

Telephone number (including area code)

Print or type name

Title

This mandatory report is needed to elicit certain background and financial information about a Regulation U lender and the types
and amount of credit activities engaged in that are secured by margin stock.

Honest, accurate, and timely statements are required by law.
(15 U.S.C. §78ff; 18 U.S.C. §1001)