Regulatory Capital Instruments Annual Schedule

Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of over $50 Billion

DFAST14A_REGCAP_INSTRUMENTS.xlsx

Regulatory Capital Instruments

OMB: 1557-0319

Document [xlsx]
Download: xlsx | pdf

Overview

Cover
Proj. Actions&Balances


Sheet 1: Cover

DFAST-14A Regulatory Capital Instruments Annual Schedule







Institution Name:











RSSD ID:











OCC CHARTER ID:











Date of Data Submission:











As of Date:





Sheet 2: Proj. Actions&Balances

DFAST-14A Regulatory Capital Instruments Annual Schedule:
























Date of data submission:

























Projected Capital Actions and Balances




























Notional amount ($mil)

Amount recognized in regulatory capital ($mil)
































Actual Projected
Actual Projected

Item
General risk-based capital rules treatment
As of date PQ 1 PQ 2 PQ 3 PQ 4 PQ 5 PQ 6 PQ 7 PQ 8 PQ 9
As of date PQ 1 PQ 2 PQ 3 PQ 4 PQ 5 PQ 6 PQ 7 PQ 8 PQ 9
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












































































































Actual Projected
Actual Projected



Revised regulatory capital treatment
As of date PQ 1 PQ 2 PQ 3 PQ 4 PQ 5 PQ 6 PQ 7 PQ 8 PQ 9
As of date PQ 1 PQ 2 PQ 3 PQ 4 PQ 5 PQ 6 PQ 7 PQ 8 PQ 9
Comments




























Quarterly Redemption/Repurchase Activity
























55 Common Stock (CS) Common Equity Tier 1























56 CS Warrants Common Equity Tier 1























57 CS USG Investment Common Equity Tier 1























58 Capital Instrument Issued by Subsidiary Common Equity Tier 1























59 Other Common Equity Tier 1 Instruments Common Equity Tier 1























60 Non-Cumulative Perpetual Preferred (NCPP) Additional Tier 1























61 NCPP Convertible Additional Tier 1























62 Mandatory Convertible Preferred (MCP) Additional Tier 1























63 MCP USG Preferred Additional Tier 1























64 Capital Instrument Issued by Subsidiary Additional Tier 1























65 Other Additional Tier 1 Instruments Additional Tier 1























66 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 1























67 CPP TARP Preferred Non-qualifying Instrument in Tier 1























68 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 1























69 MCP USG Preferred Non-qualifying Instrument in Tier 1























70 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 1























71 USG Preferred TRUPS Non-qualifying Instrument in Tier 1























72 Other Non-qualifying Instruments in Tier 1 Non-qualifying Instrument in Tier 1























73 Subordinated Debt Tier 2























74 Capital Instrument Issued by Subsidiary Tier 2























75 Other Tier 2 Instruments Tier 2























76 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 2























77 CPP TARP Preferred Non-qualifying Instrument in Tier 2























78 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 2























79 MCP USG Preferred Non-qualifying Instrument in Tier 2























80 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 2























81 USG Preferred TRUPS Non-qualifying Instrument in Tier 2























82 Other Non-qualifying Instruments in Tier 2 Non-qualifying Instrument in Tier 2














































































Quarterly Issuance Activity
























83 Common Stock (CS) Common Equity Tier 1























84 CS Warrants Common Equity Tier 1























85 CS USG Investment Common Equity Tier 1























86 Capital Instrument Issued by Subsidiary Common Equity Tier 1























87 Other Common Equity Tier 1 Instruments Common Equity Tier 1























88 Non-Cumulative Perpetual Preferred (NCPP) Additional Tier 1























89 NCPP Convertible Additional Tier 1























90 Mandatory Convertible Preferred (MCP) Additional Tier 1























91 MCP USG Preferred Additional Tier 1























92 Capital Instrument Issued by Subsidiary Additional Tier 1























93 Other Additional Tier 1 Instruments Additional Tier 1























94 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 1























95 CPP TARP Preferred Non-qualifying Instrument in Tier 1























96 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 1























97 MCP USG Preferred Non-qualifying Instrument in Tier 1























98 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 1























99 USG Preferred TRUPS Non-qualifying Instrument in Tier 1























100 Other Non-qualifying Instruments in Tier 1 Non-qualifying Instrument in Tier 1























101 Subordinated Debt Tier 2























102 Capital Instrument Issued by Subsidiary Tier 2























103 Other Tier 2 Instruments Tier 2























104 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 2























105 CPP TARP Preferred Non-qualifying Instrument in Tier 2























106 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 2























107 MCP USG Preferred Non-qualifying Instrument in Tier 2























108 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 2























109 USG Preferred TRUPS Non-qualifying Instrument in Tier 2























110 Other Non-qualifying Instruments in Tier 2 Non-qualifying Instrument in Tier 2














































































Capital Balances
























111 Common Stock (CS) Common Equity Tier 1























112 CS Warrants Common Equity Tier 1























113 CS USG Investment Common Equity Tier 1























114 Capital Instrument Issued by Subsidiary Common Equity Tier 1























115 Other Common Equity Tier 1 Instruments Common Equity Tier 1























116 Non-Cumulative Perpetual Preferred (NCPP) Additional Tier 1























117 NCPP Convertible Additional Tier 1























118 Mandatory Convertible Preferred (MCP) Additional Tier 1























119 MCP USG Preferred Additional Tier 1























120 Capital Instrument Issued by Subsidiary Additional Tier 1























121 Other Additional Tier 1 Instruments Additional Tier 1























122 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 1























123 CPP TARP Preferred Non-qualifying Instrument in Tier 1























124 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 1























125 MCP USG Preferred Non-qualifying Instrument in Tier 1























126 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 1























127 USG Preferred TRUPS Non-qualifying Instrument in Tier 1























128 Other Non-qualifying Instruments in Tier 1 Non-qualifying Instrument in Tier 1























129 Subordinated Debt Tier 2























130 Capital Instrument Issued by Subsidiary Tier 2























131 Other Tier 2 Instruments Tier 2























132 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 2























133 CPP TARP Preferred Non-qualifying Instrument in Tier 2























134 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 2























135 MCP USG Preferred Non-qualifying Instrument in Tier 2























136 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 2























137 USG Preferred TRUPS Non-qualifying Instrument in Tier 2























138 Other Non-qualifying Instruments in Tier 2 Non-qualifying Instrument in Tier 2



















































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