Form FR Y-8 FR Y-8 Bank Holding Company Report of Insured Depository Instit

FR Y-8
OMB Number 7100–0126
Ave. hrs. per response: 7.8
Expires April 30, 2012

Board of Governors of the Federal Reserve System

The Bank Holding Company Report of Insured Depository
Institutions’ Section 23A Transactions with Affiliates—FR Y-8
Report at the close of business as of the last calendar day of the quarter
This Report is required by law: Section 5(c) of the Bank Holding
Company Act (12 U.S.C. 1844(c)) and Section 225.5(b) of Regulation Y (12 CFR 225.5(b)). The Federal Reserve System regards
the individual bank 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.

NOTE: The Bank Holding Company Report of Insured Depository Institutions’ Section 23A Transactions with Affiliates must be
signed by an authorized officer of the bank holding company.

Date of Report:

The Bank Holding Company Report of Insured Depository
Institutions’ Section 23A Transactions with Affiliates should be
prepared in accordance with the instructions provided by the
Federal Reserve System.

Month / Date / Year (BIDI 9999)

I,
Name and Title of Officer

have reviewed The Bank Holding Company Report of Insured
Depository Institutions’ Section 23A Transactions with Affiliates
and believe that the report has been prepared in accordance
with the instructions issued by the Federal Reserve.

Legal Title of the Top-Tier Bank Holding Company

Signature of Officer

(Mailing Address of the Bank Holding Company) Street / P.O. Box (TEXT 9110)

Date of Signature

City (TEXT 9130)

State

(TEXT 9010)

(TEXT 9200)

Zip Code (TEXT 9220)

Return to the appropriate Federal Reserve Bank the completed original and the number of copies specified by that District Bank.

For Federal Reserve Bank Use Only
BHC RSSD ID

Person to whom questions about this report should be directed:

Name / Title (TEXT 8901)

BANK RSSD ID
Area Code / Phone Number (TEXT 8902)

FAX Number (TEXT 9116)

E-mail Address of Contact (TEXT 4086)
Public reporting burden for this information collection is estimated at an average of 7.8 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, D.C. 20551, and to the Office of Management and Budget, Paperwork Reduction
Project (7100–0126), Washington, D.C. 20503.

FR Y–8
Page 1

The Bank Holding Company Report of Insured Depository Institutions’
Section 23A Transactions with Affiliates—FR Y-8

Legal Name of Insured Depository Institution (TEXT 9012)

(Mailing Address of Insured Depository Institution) Street / P.O. Box (TEXT 9013)

City

(TEXT 9024)

State

(TEXT 9026)

Zip Code (TEXT 9027)

DECLARATION
The insured depository institution does not have to complete Page 2 or Page 3 of this report if the insured
depository institution meets all of the criteria in Part A or B below.
Part A
1. The insured depository institution did not make a loan or other extension of credit to any affiliate during the quarter, and does not
have outstanding a loan or other extension of credit to any affiliate as of the end of the quarter.
2. The insured depository institution did not purchase any asset from any affiliate during the quarter, and does not own or control
any asset that was purchased from an affiliate as of the end of the quarter.
3. The insured depository institution did not make a loan or other extension of credit to any nonaffiliate during the quarter that was
secured by securities issued by any affiliate, and does not have any outstanding loan or extension of credit to any nonaffiliate that
is secured by securities issued by any affiliate as of the end of the quarter.
4. The insured depository institution did not purchase or invest in securities issued by an affiliate during the quarter, and does not
own or control any securities issued by an affiliate as of the end of the quarter.
5. The insured depository institution did not issue a guarantee, acceptance, or letter of credit on behalf of an affiliate during the
quarter, and does not have any outstanding guarantees, acceptances, or letters of credit that were issued on behalf of an affiliate
as of the end of the quarter.
6. The insured depository institution did not engage in any of the above transactions with a nonaffiliate where the proceeds of those
transactions were transferred to, or used for the benefit of, an affiliate.
7. The insured depository institution does not control any financial subsidiaries as of the end of the quarter (as defined in the glossary
of this report).
8. The insured depository institution does not have any outstanding derivative transactions with affiliates as of the end of the quarter.

Part B
1. The insured depository institution did engage in the transactions described in Part A above, but those transactions are exempt
pursuant to sections 223.41 and 223.42 of Regulation W.
2. The insured depository institution does not control any financial subsidiaries as of the end of the quarter (as defined in the glossary
of this report).
3. The insured depository institution does not have any outstanding derivative transactions with affiliates as of the end of the quarter.

If the insured depository institution meets all of the criteria in Part A or B above, the appropriate officer must sign
in the space below and return the cover page of the report and the declaration page to the appropriate Federal
Reserve Bank each quarter.

Name and Title of Officer of the Insured Depository Institution

Signature of Officer of the Insured Depository Institution
6/03

FR Y–8
Page 2

The Bank Holding Company Report of Insured Depository Institutions’
Section 23A Transactions with Affiliates—FR Y-8
Legal Name of Insured Depository Institution (TEXT 9012)

(Mailing Address of Insured Depository Institution) Street / P.O. Box (TEXT 9013)

City

(TEXT 9024)

State

Report at the close of business

, 20

(TEXT 9026)

Zip Code (TEXT 9027)

.

This report is to be completed by the bank holding company for each insured depository institution.

Part I
Please check this box if the insured depository institution has covered transactions with financial
subsidiaries only. Do not complete items 1 and 2.
All bank holding companies (including financial holding
companies) with insured depository institutions that have
covered transactions with affiliates other than financial
subsidiaries must report items 1 and 2 and Memorandum
item 1.

Dollar Amounts in Thousands
(Column A)
Aggregate Amount at the End
of the Calendar Quarter
BIDI

1. Covered transactions subject to section 23A collateral
requirements (Exclude transactions between the insured
depository institution and financial subsidiaries) ..........................
2. Covered transactions not subject to section 23A collateral
requirements (Exclude transactions between the insured
depository institution and financial subsidiaries) ..........................

Bil

Mil

Thou

(Column B)
Maximum Aggregate Amount
During the Calendar Quarter
BIDI

Bil

Mil

Thou

B968

B969

1.

B970

B971

2.

Please check this box if the insured depository institution does not control a financial subsidiary.
Do not complete items 3 through 7.
All bank holding companies (including financial holding
companies) with insured depository institutions that control
a financial subsidiary must report items 3 through 7 and
Memorandum item 1.
3. Covered transactions subject to section 23A collateral
requirements between the insured depository institution and
financial subsidiaries (Exclude transactions reported in
items 5 and 6) ...............................................................................
4. Covered transactions not subject to section 23A
collateral requirements between the insured depository
institution and financial subsidiaries (Exclude transactions
reported in items 5 and 6) ............................................................
5. Purchase of, or investment in, securities issued by financial
subsidiaries of insured depository institutions by the insured
depository institution:
a. Equity securities (Exclude retained earnings) .........................
b. Debt securities .........................................................................
6. Purchase of, or investment in, securities issued by financial
subsidiaries of insured depository institutions by affiliates of
the insured depository institution:
a. Equity securities (Exclude retained earnings) .........................
b. Debt securities .........................................................................
7. Loans or other extensions of credit by affiliates of the insured
depository institution to the financial subsidiaries of the
insured depository institution (not subject to section 23A) ...........

Dollar Amounts in Thousands
BIDI

Bil

Mil

Thou

BIDI

Bil

Mil

Thou

B972

B973

3.

B974

B975

4.

B976
B977

5.a.
5.b.

B978
B979

6.a.
6.b.

B980

B981

7.

6/03

FR Y–8
Page 3

Part I—Continued
Memorandum
Dollar Amounts in Thousands

1. Maximum aggregate amount for all covered transactions included in items 1 through 6 for any BIDI
single day during the calendar quarter ......................................................................................... C450

Bil

Mil

Thou

M.1.

Part II
All bank holding companies (including financial holding companies) with insured
depository institutions that engage in derivative transactions with affiliates must report
items 1 through 3. (Exclude credit derivatives that are included in Part I.)

Dollar Amounts in Thousands
Aggregate Amount at the End
of the Calendar Quarter
BIDI

1. Positive fair value of derivative contracts between the insured depository
institution and its affiliates ........................................................................................................ C451
2. Amount of collateral pledged to the insured depository institution to secure derivative contracts
between the insured depository institution and its affiliates ....................................................... C452
3. Notional amount of derivative contracts between the insured depository
institution and its affiliates .......................................................................................................... C453

Bil

Mil

Thou

1.
2.
3.

6/06