Form FR Y-9LP FR Y-9LP Parent Company Only Financial Statements for Large Bank

FR Y-9LP
OMB Number 7100–0128
Ave. hrs. per response: 5.25
Expires March 31, 2014

Board of Governors of the Federal Reserve System

Parent Company Only Financial Statements
for Large Bank Holding Companies—FR Y-9LP
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) and Section 225.5(b) of Regulation
Y [12 CFR 225.5(b)].
This report form is to be filed by the parent company of large bank
holding companies. For purposes of this report, large bank holding companies are bank holding companies with total consolidated
assets of $500 million or more, or bank holding companies that
NOTE: The Parent Company Only Financial Statements for
Large Bank Holding Companies must be signed and attested
by the Chief Financial Officer (CFO) of the reporting bank holding company (or by the individual performing this equivalent
function).

meet certain criteria, regardless of size. When such bank holding
companies are tiered bank holding companies, separate reports
are also to be filed by each of the subsidiary bank holding companies. 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.

Date of Report:

March 31, 2012
Month / Date / Year (BHCP 9999)

I, the undersigned CFO (or equivalent) of the named bank holding company, attest that the Parent Company Only Financial Statements for Large Bank Holding Companies for this report date have
been prepared in conformance with the instructions issued by the
Federal Reserve System and are true and correct to the best of my
knowledge and belief.

Printed Name of Chief Financial Officer (or Equivalent) (BHCP C490)

Legal Title of Bank Holding Company (TEXT 9010)

Signature of Chief Financial Officer (or Equivalent)

(Mailing Address of the Bank Holding Company) Street / PO Box (TEXT 9110)

Date of Signature (MM/DD/CCYY) (BHPX J196)

City (TEXT 9130)

State (TEXT 9200)

Zip Code (TEXT 9220)

Bank holding companies must maintain in their files a manually signed and attested printout of the data submitted.
Person to whom questions about this report should be directed:

Name / Title (BHPX 8901)

For Federal Reserve Bank Use Only

Area Code / Phone Number (BHPX 8902)

RSSD ID
C.I.

S.F.
FAX Number (BHPX 9116)

E-mail Address of Contact (BHPX 4086)
Public reporting burden for this information collection is estimated to vary from 2 to 13.5 hours per response, with an average of 5.25 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 (7100–0128), Washington, DC 20503.

For Federal Reserve Bank Use Only
RSSD Number

Name of Bank Holding Company

C.I.

FR Y–9LP
Page 1

S.F.

Parent Company Only Financial Statements for
Large Bank Holding Companies
Report at the close of business
Report the Income Statement on a calendar year-to-date basis.

Schedule PI—Parent Company Only Income Statement
Dollar Amounts in Thousands BHCP
1. Operating Income:
a. Income from bank subsidiaries and associated banks, excluding equity in
undistributed income:
(1) Dividends ....................................................................................................................
(2) Interest ........................................................................................................................
(3) Management and service fees ....................................................................................
(4) Other ...........................................................................................................................
(5) Total (sum of items 1.a(1) through 1.a(4))...................................................................
b. Income from nonbank subsidiaries and associated nonbank companies, excluding
equity in undistributed income:
(1) Dividends ....................................................................................................................
(2) Interest ........................................................................................................................
(3) Management and service fees ....................................................................................
(4) Other ...........................................................................................................................
(5) Total (sum of items 1.b(1) through 1.b(4))...................................................................
c. (This item is to be completed only by bank holding companies that have
subsidiary bank holding companies or associated bank holding companies)
Income from subsidiary bank holding companies and associated bank holding
companies, excluding equity in undistributed income:
(1) Dividends ....................................................................................................................
(2) Interest ........................................................................................................................
(3) Management and service fees ....................................................................................
(4) Other ...........................................................................................................................
(5) Total (sum of items 1.c(1) through 1.c(4)) ...................................................................
d. Securities gains/(losses) ...................................................................................................
e. All other operating income.................................................................................................
f. Total operating income (sum of items 1.a(5), 1.b(5), 1.c(5), 1.d, and 1.e) ........................
2. Operating expense:
a. Salaries and employee benefits ........................................................................................
b. Interest expense ................................................................................................................
c. Provision for loan and lease losses ...................................................................................
d. All other expenses .............................................................................................................
e. Total operating expense (sum of items 2.a through 2.d) ...................................................
3. Income (loss) before taxes and undistributed income
(item 1.f minus item 2.e).........................................................................................................
4. Applicable income taxes ........................................................................................................
5. Extraordinary items, net of tax effect......................................................................................
6. Income (loss) before undistributed income of subsidiaries and associated companies
(sum of item 3 and 5 minus item 4) ........................................................................................
7. Equity in undistributed income (losses) of subsidiaries and associated companies:
a. Bank ..................................................................................................................................
b. Nonbank ............................................................................................................................
c. Subsidiary bank holding companies ..................................................................................
8. Net Income (loss) (sum of items 6, 7.a, 7.b, and 7.c) ............................................................

Bil

Mil

Thou

0508
0512
0515
0518
0520

1.a.(1)
1.a.(2)
1.a.(3)
1.a.(4)
1.a.(5)

1275
1276
1277
1278
1279

1.b.(1)
1.b.(2)
1.b.(3)
1.b.(4)
1.b.(5)

0206
0207
0208
0209
0210
4091
0447
4000

1.c.(1)
1.c.(2)
1.c.(3)
1.c.(4)
1.c.(5)
1.d.
1.e.
1.f.

4135
4073
4230
0522
4130

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

4250
4302
4320

3.
4.
5.

0496

6.

3156
3147
3513
4340

7.a.
7.b.
7.c.
8.

03/02

FR Y–9LP
Page 2

Schedule PI—Continued
MEMORANDA
Dollar Amounts in Thousands BHCP

Bil

Mil

Thou

Noncash items included in operating expense.......................................................................
Loan and lease financing receivables charged-off .................................................................
Loan and lease financing receivables recoveries ..................................................................
Interest expense paid to special-purpose subsidiaries that issued trust preferred
securities (included in item 2.d above) ...................................................................................

4647
4635
4605

M.1.
M.2.
M.3.

C254

M.4.

Memorandum item 5 is to be completed by bank holding companies that have elected
to account for financial instruments or servicing assets and liabilities at fair value
under a fair value option.
5. Net change in fair values of financial instruments accounted for under a fair value option ...

J980

M.5.

1.
2.
3.
4.

03/11

FR Y–9LP
Page 3

Instructions must be reviewed as this Schedule requires negative entries for certain reported items.

Schedule PI-A—Cash Flow Statement
Dollar Amounts in Thousands BHCP
Part I. Cash Flows from Operating Activities:
1. Net income (loss) (must equal Schedule PI, item 8) ..............................................................
2. Adjustments to reconcile net income to net cash provided by operating activities:
a. Provision for deferred income taxes ..................................................................................
b. (Gain) or loss on sales of assets .......................................................................................
c. Equity in undistributed (earnings) losses of subsidiaries...................................................
d. Equity in extraordinary items of subsidiaries .....................................................................
e. Net change in other liabilities ............................................................................................
f. Net change in other assets................................................................................................
g. Other, net...........................................................................................................................
h. Total adjustments (sum of items 2.a through 2.g) .............................................................
3. Net cash provided (used) by operating activities (sum of Part I, items 1 and 2.h) .................

BHCP

Part II. Cash Flows from Investing Activities:
1. Purchases of held-to-maturity and available-for-sale securities.............................................
2. Sales and maturities of held-to-maturity and available-for-sale securities .............................
3. Payments for investments in and advances to subsidiaries...................................................
4. Sale or repayment of investments in and advances to subsidiaries ......................................
5. Outlays for business acquisitions ...........................................................................................
6. Proceeds from business divestitures .....................................................................................
7. Other, net ...............................................................................................................................
8. Net cash provided (used) by investing activities (sum of Part II, items 2, 4, 6, and 7
minus items 1, 3, and 5) .........................................................................................................

Mil

Thou

1.
2.a.
2.b.
2.c.
2.d.
2.e.
2.f.
2.g.
2.h.
3.
Bil

Mil

Thou

6552
6567
6571
6573
F737
F817
6588

1.
2.
3.
4.
5.
6.
7.

6589

8.

BHCP

Part III. Cash Flows from Financing Activities:
1. Net change in purchased funds and other short-term borrowings .........................................
2. Not applicable
3. Proceeds from advances from subsidiaries ...........................................................................
4. Repayment of advances from subsidiaries ............................................................................
5. Proceeds from issuance of long-term debt ............................................................................
6. Repayment of long-term debt.................................................................................................
7. Proceeds from issuance of common stock ............................................................................
8. Payment to repurchase common stock ..................................................................................
9. Proceeds from issuance of preferred stock............................................................................
10. Payment to repurchase preferred stock .................................................................................
11. Dividends paid........................................................................................................................
12. Other, net ...............................................................................................................................
13. Net cash provided (used) by financing activities (sum of Part III, items 1, 3, 5, 7, 9,
and 12 minus items 4, 6, 8, 10, and 11) .................................................................................

Bil

bhpa
4340
BHCP
3611
3612
3613
3614
3615
3616
3617
3618
3619

Bil

Mil

Thou

F818

1.

6592
6596
6600
6604
6607
8518
6619
6741
6742
6743

3.
4.
5.
6.
7.
8.
9.
10.
11.
12.

6744

13.

BHCP

Part IV. Cash and Cash Equivalents:
1. Net (decrease) increase in cash and cash equivalents (sum of Part I, item 3, Part II,
item 8, and Part III, item 13) ................................................................................................... 6758
2. Cash and cash equivalents at beginning of year ................................................................... 6773
3. Cash and cash equivalents, current year-to-date (sum of Part IV, items 1 and 2) ................. 6775

Bil

Mil

Thou

1.
2.
3.

03/08

FR Y–9LP
Page 4

Schedule PC—Parent Company Only Balance Sheet
Dollar Amounts in Thousands BHCP
ASSETS
1. Cash and balances due from depository institutions:
a. Balances with subsidiary or affiliated depository institutions .............................................
b. Balances with unrelated depository institutions.................................................................
2. Securities:
a. U.S. Treasury securities ....................................................................................................
b. Securities of U.S. Government agencies and corporations and securities issued by
states and political subdivisions ........................................................................................
c. Other debt and equity securities........................................................................................
3. Securities purchased under agreements to resell ..................................................................
4. Loans and lease financing receivables:
a. Loans:
(1) To U.S. addressees (domicile) ....................................................................................
(2) To non-U.S. addressees (domicile) .............................................................................
b. LESS: Unearned income on loans ....................................................................................
c. Loans, net of unearned income (sum of items 4.a(1) and 4.a(2) minus item 4.b) .............
d. Lease financing receivables, net of unearned income ......................................................
e. LESS: Allowance for loan and lease losses ......................................................................
f. Loans and leases, net of unearned income and allowance for loan and lease losses
(sum of items 4.c and 4.d minus item 4.e) ........................................................................
5. Investments in and receivables due from subsidiaries and associated companies
(from Schedule PC-A, item 4) ................................................................................................
6. Premises and fixed assets (including capitalized leases) ......................................................
7. Intangible assets (other than reported in item 5 above):
a. Goodwill.............................................................................................................................
b. Mortgage servicing assets.................................................................................................
c. Other identifiable intangibles .............................................................................................
8. Other assets ...........................................................................................................................
9. Balances due from related institutions, other than investments:
a. Related banks ...................................................................................................................
b. Related nonbank companies .............................................................................................
c. Related bank holding companies ......................................................................................
10. TOTAL ASSETS (sum of items 1.a through 3, and 4.f through 9.c above) ............................

Bil

Mil

Thou

5993
0010

1.a.
1.b.

0400

2.a.

6791
1299
0277

2.b.
2.c.
3.

0362
0363
2123
0364
2165
3123

4.a.(1)
4.a.(2)
4.b.
4.c.
4.d.
4.e.

2125

4.f.

0365
2145

5.
6.

3163
3164
3165
2160

7.a.
7.b.
7.c.
8.

3602
3603
3604
2170

9.a.
9.b.
9.c.
10.

03/01

FR Y–9LP
Page 5

Schedule PC—Continued
Dollar Amounts in Thousands BHCP
LIABILITIES AND EQUITY CAPITAL
11. Deposits .................................................................................................................................
12. Securities sold under agreements to repurchase...................................................................
13. Borrowings with a remaining maturity of one year or less:
a. Commercial paper .............................................................................................................
b. Other borrowings ...............................................................................................................
14. Other borrowed money with a remaining maturity of more than one year .............................
15. Not applicable
16. Subordinated notes and debentures1 .....................................................................................
17. Other liabilities........................................................................................................................
18. Balances due to subsidiaries and related institutions:
a. Subsidiary banks ...............................................................................................................
b. Nonbank subsidiaries ........................................................................................................
c. Related bank holding companies ......................................................................................
19. Not applicable
20. Equity Capital:
a. Perpetual preferred stock (including related surplus) ........................................................
b. Common stock (par value) ................................................................................................
c. Surplus (exclude all surplus related to preferred stock) ....................................................
d. Retained earnings .............................................................................................................
e. Accumulated other comprehensive income2 .....................................................................
f. Other equity capital components3......................................................................................
g. Not applicable
h. TOTAL EQUITY CAPITAL (sum of items 20.a through 20.f) .............................................
21. TOTAL LIABILITIES AND EQUITY CAPITAL (sum of items 11 through 20) ..........................

Bil

Mil

Thou

2200
0279

11.
12.

2309
2332
0368

13.a.
13.b.
14.

4062
2930

16.
17.

3605
3606
3607

18.a.
18.b.
18.c.

3283
3230
3240
3247
B530
A130

20.a.
20.b.
20.c.
20.d.
20.e.
20.f.

3210
3300

20.h.
21.

MEMORANDA
Memoranda items 1.a and 1.b are to be completed by bank holding companies that
have elected to account for financial instruments or servicing assets and liabilities
at fair value under a fair value option.
1. Financial assets and liabilities measured at fair value:
a. Total assets ....................................................................................................................... F819
b. Total liabilities .................................................................................................................... F820

M.1.a.
M.1.b.

1. Includes limited-life preferred stock and related surplus.
2. Includes net unrealized holding gains (losses) on available-for-sale securities, accumulated net gains (losses) on cash flow hedges,
cumulative foreign currency translation adjustments, and minimum pension liability adjustments.
3. Includes treasury stock and unearned Employee Stock Ownership Plan shares.

03/08

FR Y–9LP
Page 6

Schedule PC-A—Investments in Subsidiaries
and Associated Companies
Dollar Amounts in Thousands BHCP
1. a. Equity investments in bank subsidiaries and associated banks:
(1) Common and preferred stock (net of amount reported in item 1.a(2))........................
(2) Intangible assets:
(a) Goodwill ................................................................................................................
(b) Other identifiable intangibles ................................................................................
b. Nonequity investments in and receivables due from bank subsidiaries and associated
banks:
(1) Loans, advances, notes, bonds, and debentures .......................................................
(2) Other receivables ........................................................................................................
2. a. Equity investments in nonbank subsidiaries and associated nonbank companies:
(1) Common and preferred stock (net of amount reported in items 2.a(2)) ......................
(2) Intangible assets:
(a) Goodwill ................................................................................................................
(b) Other identifiable intangibles ................................................................................
b. Nonequity investments in and receivables due from nonbank subsidiaries and
associated nonbank companies:
(1) Loans, advances, notes, bonds, and debentures .......................................................
(2) Other receivables ........................................................................................................
3. (This item is to be completed only by bank holding companies that have
subsidiary bank holding companies or associated bank holding companies)
a. Equity investments in subsidiary bank holding companies and associated bank
holding companies:
(1) Common and preferred stock (net of amount reported in Item 3.a(2)) .......................
(2) Intangible assets:
(a) Goodwill ................................................................................................................
(b) Other identifiable intangibles ................................................................................
b. Nonequity investments in and receivables due from subsidiary bank holding
companies and associated bank holding companies:
(1) Loans, advances, notes, bonds, and debentures .......................................................
(2) Other receivables ........................................................................................................
4. TOTAL (sum of items 1 through 3) (must equal Schedule PC, item 5) ..................................

Bil

Mil

Thou

3239

1.a.(1)

3238
4485

1.a.(2)(a)
1.a.(2)(b)

0533
0534

1.b.(1)
1.b.(2)

1273

2.a.(1)

0087
0536

2.a.(2)(a)
2.a.(2)(b)

0537
0538

2.b.(1)
2.b.(2)

0201

3.a.(1)

0202
0203

3.a.(2)(a)
3.a.(2)(b)

0204
0205
bhpa
0365

3.b.(1)
3.b.(2)
4.

06/07

FR Y–9LP
Page 7

Schedule PC-B—Memoranda
Dollar Amounts in Thousands BHCP
1. Amount of assets scheduled to mature within one year (including contractual payments
to be repaid within one year) ..................................................................................................
2. Amount of borrowings included in Schedule PC, items 16 and 18 that is scheduled to
mature within one year (exclude short-term debt)..................................................................
3. Amount of liabilities (other than borrowings) scheduled to mature within one year
(including any contractual payments to be repaid within one year) .......................................
4. Amount of borrowings from unaffiliated parties guaranteed by the parent with respect to
the following subsidiaries:
a. Bank ..................................................................................................................................
b. Nonbank ............................................................................................................................
c. Related bank holding companies ......................................................................................
5. Borrowing by the parent from subsidiaries and associated companies (included in
Schedule PC, item 18):
a. Bank ..................................................................................................................................
b. Nonbank ............................................................................................................................
c. Related bank holding companies ......................................................................................
6. Long-term debt that reprices within one year .........................................................................
7. Loans and lease financing receivables of the parent:
a. Past due 90 days or more and still accruing .....................................................................
b. Nonaccrual status..............................................................................................................
8. Loans of the parent restructured in troubled debt restructurings that are in
compliance with their modified terms................................................................................
9. Not applicable
10. Pledged securities1.................................................................................................................
11. a. Fair value of securities classified as available-for-sale in
Schedule PC, items 2.a through 2.c ..................................................................................
b. Amortized cost of securities classified as held-to-maturity in
Schedule PC, items 2.a through 2.c ..................................................................................
12. Balances held by subsidiary banks of the bank holding company due from:
a. Other bank subsidiaries of the bank holding company......................................................
b. Nonbank subsidiaries of the bank holding company .........................................................
13. Balances held by subsidiary banks of the bank holding company due to:
a. Other bank subsidiaries of the bank holding company......................................................
b. Nonbank subsidiaries of the bank holding company .........................................................
14. Bank holding company (parent company only) borrowings not held by financial
institutions or by insiders (including directors) and their interests ..........................................
15. (To be completed only by the top-tier bank holding company for its consolidated
nonbank and thrift subsidiaries)
a. Total combined nonbank assets of nonbank subsidiaries .................................................
b. Total combined loans and leases of nonbank subsidiaries ...............................................
c. Total aggregate operating revenue of nonbank subsidiaries .............................................
d. Combined thrift assets included in 15.a ............................................................................
e. Combined foreign nonbank subsidiary assets included in 15.a ........................................

Bil

Mil

Thou

0543

1.

3409

2.

3609

3.

0540
0541
0542

4.a.
4.b.
4.c.

0467
1274
0539
3298

5.a.
5.b.
5.c.
6.

1407
1403

7.a.
7.b.

K297

8.

0416

10.

8516

11.a.

8517

11.b.

6792
6793

12.a.
12.b.

6794
6795

13.a.
13.b.

3152

14.

4778
C427
C428
2792
2793

15.a.
15.b.
15.c.
15.d.
15.e.

f. Number of nonbank subsidiaries included in 15.a .......... 2794
g. Number of thrift subsidiaries included in 15.d................. 2796
h. Number of foreign nonbank subsidiaries included in 15.e 2831
16. Notes payable to special-purpose subsidiaries that issued trust preferred securities
(included in Schedule PC, item 18.b and item 5.b above) ..................................................... C255

15.f.
15.g.
15.h.

NUMBER (UNROUNDED)

16.

1. Includes held-to-maturity securities at amortized cost and available-for-sale securities at fair value.

03/11

FR Y–9LP
Page 8

Notes to the Parent Company Only Financial Statements
Enter in the lines provided below any additional information on specific line items on the financial statements that the bank holding company wishes to explain, that has been separately disclosed in the bank holding company's quarterly reports to its shareholders, in its press
releases, or on its quarterly reports to the Securities and Exchange Commission (SEC).
Also include any transactions which previously would have appeared as footnotes to Schedules PI through PC-B.
Each additional piece of information disclosed should include the appropriate reference to schedule and item number, as well as a
description of the additional information and the dollar amount (in thousands of dollars) associated with that disclosure.

Example
A parent bank holding company has guaranteed a new loan for its leveraged Employee Stock Ownership Plan (ESOP) for
$500 thousand and that amount has increased the parent company's long-term unsecured debt by a material amount. Enter on the line
item below the following information:
TEXT
0000

BHCP

Bil

Mil

Thou

Sch. PC, item 14, New loan to holding company's ESOP guaranteed
by bank holding company parent
0000

500

Notes to the Financial Statements
1.

TEXT
5485

2.

5486

3.

5487

4.

5488

5.

5489

Dollar Amount in Thousands BHCP

Bil

Mil

Thou

5485

1.

5486

2.

5487

3.

5488

4.

5489

5.

03/01