FDIC DFAST 14A Reg Regulatory Capital Instruments Template

''Annual Stress Test Reporting Templates and Documentation for Covered Banks with Total Consolidated Assets of $10 Billion or More under Dodd-Frank''

FDIC DFAST-14A Regulatory Capital Instruments Template.xlsx

"Annual Stress Test Reporting Template and Documentation for Covered Banks with Total Consolidated Assets of $50 Billion or More under the Dodd-Frank Wall Street Reform and Consumer Protection Act.''

OMB: 3064-0189

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Overview

Regulatory Capital Cover Sheet
Proj. Actions&Balances
Capital position reconciliation

Sheet 1: Regulatory Capital Cover Sheet
DFAST-14A Regulatory Capital Instruments Schedule Cover Sheet







Institution Name:











RSSD ID:











Submission Date (MM/DD/YYYY):











CERT:




Sheet 2: Proj. Actions&Balances
DFAST-14A Regulatory Capital Instruments Schedule



















































Projected Capital Actions and Balances





























Notional amount ($mil)

Amount recognized in regulatory capital ($mil)
































Actual Projected
Actual Projected

Item
Basel I regulatory capital treatment
Q3 2012 Q4 2012 Q1 2013 Q2 2013 Q3 2013 Q4 2013 Q1 2014 Q2 2014 Q3 2014 Q4 2014
Q3 2012 Q4 2012 Q1 2013 Q2 2013 Q3 2013 Q4 2013 Q1 2014 Q2 2014 Q3 2014 Q4 2014
Comments




























Quarterly Redemption/Repurchase Activity
























1 Common Stock (CS) Tier 1























2 CS Warrants Tier 1























3 CS USG Investment Tier 1























4 Non-Cumulative Perpetual Preferred (NCPP) Tier 1























5 NCPP Convertible Tier 1























6 Cumulative Perpetual Preferred (CPP) Tier 1























7 CPP TARP Preferred Tier 1























8 Mandatory Convertible Preferred (MCP) Tier 1























9 MCP USG Preferred Tier 1























10 Cumulative Dated Preferred (TRUPS) Tier 1























11 USG Preferred TRUPS Tier 1























12 REIT Preferred Tier 1























13 Other Tier 1 Instruments Tier 1























14 Cumulative Perpetual Preferred (CPP) Tier 2























15 Mandatory Convertible Preferred (MCP) Tier 2























16 Cumulative Dated Preferred (TRUPS) Tier 2























17 Subordinated Debt Tier 2























18 Other Tier 2 Instruments Tier 2














































































Quarterly Issuance Activity
























19 Common Stock (CS) Tier 1























20 CS Warrants Tier 1























21 CS USG Investment Tier 1























22 Non-Cumulative Perpetual Preferred (NCPP) Tier 1























23 NCPP Convertible Tier 1























24 Cumulative Perpetual Preferred (CPP) Tier 1























25 CPP TARP Preferred Tier 1























26 Mandatory Convertible Preferred (MCP) Tier 1























27 MCP USG Preferred Tier 1























28 Cumulative Dated Preferred (TRUPS) Tier 1























29 USG Preferred TRUPS Tier 1























30 REIT Preferred Tier 1























31 Other Tier 1 Instruments Tier 1























32 Cumulative Perpetual Preferred (CPP) Tier 2























33 Mandatory Convertible Preferred (MCP) Tier 2























34 Cumulative Dated Preferred (TRUPS) Tier 2























35 Subordinated Debt Tier 2























36 Other Tier 2 Instruments Tier 2














































































Capital Balances
























37 Common Stock (CS) Tier 1























38 CS Warrants Tier 1























39 CS USG Investment Tier 1























40 Non-Cumulative Perpetual Preferred (NCPP) Tier 1























41 NCPP Convertible Tier 1























42 Cumulative Perpetual Preferred (CPP) Tier 1























43 CPP TARP Preferred Tier 1























44 Mandatory Convertible Preferred (MCP) Tier 1























45 MCP USG Preferred Tier 1























46 Cumulative Dated Preferred (TRUPS) Tier 1























47 USG Preferred TRUPS Tier 1























48 REIT Preferred Tier 1























49 Other Tier 1 Instruments Tier 1























50 Cumulative Perpetual Preferred (CPP) Tier 2























51 Mandatory Convertible Preferred (MCP) Tier 2























52 Cumulative Dated Preferred (TRUPS) Tier 2























53 Subordinated Debt Tier 2























54 Other Tier 2 Instruments Tier 2



















































Data completeness check: If "No", please complete all non shaded cells until all cells to the right read "Yes." Do not leave cells blank; enter "0" if not applicable.

No No No No No No No No No No
No No No No No No No No No No





54 54 54 54 54 54 54 54 54 54
54 54 54 54 54 54 54 54 54 54
































1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
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1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1





1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1

Sheet 3: Capital position reconciliation
DFAST-14A Regulatory Capital Instruments Schedule


























Capital Position Reconciliation






























Actual in $Millions Projections in $Millions


Notes
Q3 2012 Q4 2012 Q1 2013 Q2 2013 Q3 2013 Q4 2013 Q1 2014 Q2 2014 Q3 2014 Q4 2014

Reconciliation of Tier 1 capital position











1 Funded Tier 1 instruments*

- - - - - - - - - -
2 Noncontrolling (minority) interest RCFD 3000










3 Class A











4 Class B











5 Class C











6 Retained earnings RCFD 3632










7 Accumulated other comprehensive income RCFD B530










8 Regulatory adjustments

9 Restricted core capital in excess of the Tier 1 limit (if addition, report as a positive value; if deduction, report as a negative value)











10 Other additions/reductions

11 Net unrealized gains (losses) on available-for-sale securities (if a gain, report as a positive value; if a loss, report as a negative value) RCFD 8434










12 Net unrealized loss on available-for-sale equity securities (report loss as a positive value) RCFD A221










13 Accumulated net gains (losses) on cash flow hedges (if a gain, report as a positive value; if a loss, report as a negative value) RCFD 4336










14 Disallowed goodwill and other disallowed intangible assets RCFD B590










15 Cumulative change in fair value of all financial liabilities accounted for under a fair value option that is included in retained earnings and is attributable to changes in the bank holding company's own creditworthiness (if a net gain, report as a positive value; if a net loss, report as a negative value) RCFD F264










16 Disallowed servicing assets and purchased credit card relationships RCFD B591










17 Disallowed deferred tax assets RCFD 5610










18 Other additions/deduction to tier 1 capital RCFD B592










19 Tier 1 capital (includes funded instruments, noncontrolling interest, retained earnings and AOCI LESS regulatory adjustments)

20 For validation purposes, enter the value of Tier 1 capital per Schedule RC-R RCFD 8274











Validation check: does Line 19=Line 20?

No























Reconciliation of Tier 2 capital position











21 Funded Tier 2 instruments*

- - - - - - - - - -
22 Noncontrolling (minority) interest

23 Class B











24 Class C











25 Regulatory adjustments

26 Restricted core capital in excess of the Tier 2 limit (if addition, report as a positive value; if deduction, report as a negative value)











27 Allowance for loan and lease losses includible in Tier 2 capital RCFD 5310










28 Unrealized gains on available-for-sale equity securities includable in Tier 2 capital RCFD 2221










29 Other Tier 2 capital components RCFD B594










30 Tier 2 capital (includes funded instruments, noncontrolling interest, and regulatory adjustments)

31 For validation purposes, enter the value of Tier 2 capital per Schedule RC-R RCFD 8275











Validation check: does Line 30=Line 31?

No























Reconciliation of Total risk-based capital position











32 Tier 3 capital allocated for market risk RCFD 1395










33 Deductions for total risk-based capital RCFD B595










34 Total risk-based capital

35 For validation purposes, enter the value of Total risk-based capital per Schedule RC-R RCFD 3792











Validation check: does Line 34=Line 35?

No























Data completeness check: If "No", please complete all non shaded cells until all cells to the right read "Yes." Do not leave cells blank; enter "0" if not applicable.

No No No No No No No No No No















* Funded Tier 1 and Tier 2 instruments should equal the sum of the instruments as reported on the "Projected Capital Balances" worksheet.











































30 27 27 27 27 27 27 27 27 27


















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1 1 1 1 1 1 1 1 1 1














































1 1 1 1 1 1 1 1 1 1




1 1 1 1 1 1 1 1 1 1




1 1 1 1 1 1 1 1 1 1




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1 1 1 1 1 1 1 1 1 1




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- - - - - - - - - -




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1 1 1 1 1 1 1 1 1 1




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1 1 1 1 1 1 1 1 1 1




1 1 1 1 1 1 1 1 1 1




1 1 1 1 1 1 1 1 1 1




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1 1 1 1 1 1 1 1 1 1




1 1 1 1 1 1 1 1 1 1




1






















































1 1 1 1 1 1 1 1 1 1




1 1 1 1 1 1 1 1 1 1




1 1 1 1 1 1 1 1 1 1




1








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