Form FR G-4 FR G-4 Annual Report

FR G-4
OMB No. 7100-0011
Approval expires January 31, 2014

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 FR 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.
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).
Purpose credit: Credit extended for the purpose of purchasing
or carrying margin stock, or to reduce or retire indebtedness
previously incurred for that purpose.
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 reporing period or is outstanding as of
June 30.
C. Registrants not reporting Purpose Credit in Part A must

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 required
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 1 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
(dollars)

II2
Credit extended during
reporting period
(dollars)

Mil

Mil

Thou

Dollars

Thou

Dollars

A. Credit to purchase or carry margin stock (Purpose Loans):
b

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 1) 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 any time during the year covered by the report. Column II includes 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 chages 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 recods, 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)