DFAST-14A Regulatory Capital Instruments Schedule Cover

DFAST-14A Regulatory Capital Instruments Schedule Cover Sheet
Institution Name:
RSSD ID:
Submission Date (MM/DD/YYYY):
OCC Charter ID:

Regulatory Capital Cover Sheet
1

DFAST-14A Regulatory Capital Instruments Schedule
Projected Capital Actions and Balances
Amount recogniz

Notional amount ($mil)
Actual
Basel I regulatory
capital treatment

Item

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18

Quarterly Redemption/Repurchase Activity
Common Stock (CS)
CS Warrants
CS USG Investment
Non-Cumulative Perpetual Preferred (NCPP)
NCPP Convertible
Cumulative Perpetual Preferred (CPP)
CPP TARP Preferred
Mandatory Convertible Preferred (MCP)
MCP USG Preferred
Cumulative Dated Preferred (TRUPS)
USG Preferred TRUPS
REIT Preferred
Other Tier 1 Instruments
Cumulative Perpetual Preferred (CPP)
Mandatory Convertible Preferred (MCP)
Cumulative Dated Preferred (TRUPS)
Subordinated Debt
Other Tier 2 Instruments

Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 2
Tier 2
Tier 2
Tier 2
Tier 2

19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36

Quarterly Issuance Activity
Common Stock (CS)
CS Warrants
CS USG Investment
Non-Cumulative Perpetual Preferred (NCPP)
NCPP Convertible
Cumulative Perpetual Preferred (CPP)
CPP TARP Preferred
Mandatory Convertible Preferred (MCP)
MCP USG Preferred
Cumulative Dated Preferred (TRUPS)
USG Preferred TRUPS
REIT Preferred
Other Tier 1 Instruments
Cumulative Perpetual Preferred (CPP)
Mandatory Convertible Preferred (MCP)
Cumulative Dated Preferred (TRUPS)
Subordinated Debt
Other Tier 2 Instruments

Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 2
Tier 2
Tier 2
Tier 2
Tier 2

37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54

Capital Balances
Common Stock (CS)
CS Warrants
CS USG Investment
Non-Cumulative Perpetual Preferred (NCPP)
NCPP Convertible
Cumulative Perpetual Preferred (CPP)
CPP TARP Preferred
Mandatory Convertible Preferred (MCP)
MCP USG Preferred
Cumulative Dated Preferred (TRUPS)
USG Preferred TRUPS
REIT Preferred
Other Tier 1 Instruments
Cumulative Perpetual Preferred (CPP)
Mandatory Convertible Preferred (MCP)
Cumulative Dated Preferred (TRUPS)
Subordinated Debt
Other Tier 2 Instruments

Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 1
Tier 2
Tier 2
Tier 2
Tier 2
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.

Projected

Actual

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

No

No

No

No

No

No

No

No

No

No

No

No

No

No

No

Proj. Actions&Balances
2

zed in regulatory capital ($mil)
Projected
Q4 2013

Q1 2014

Q2 2014

Q3 2014

Q4 2014

No

No

No

No

No

Comments

Proj. Actions&Balances
3

DFAST-14A Regulatory Capital Instruments Schedule
Capital Position Reconciliation

Notes
1
2
3
4
5
6
7
8
9
10
11
12
13
14

15
16
17
18
19
20

21
22
23
24
25
26
27
28
29
30
31

32
33
34
35

Reconciliation of Tier 1 capital position
Funded Tier 1 instruments*
Noncontrolling (minority) interest
Class A
Class B
Class C
Retained earnings
Accumulated other comprehensive income
Regulatory adjustments
Restricted core capital in excess of the Tier 1 limit (if addition, report as a positive value; if deduction, report as a negative value)
Other additions/reductions
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)
Net unrealized loss on available-for-sale equity securities (report loss as a positive value)
Accumulated net gains (losses) on cash flow hedges (if a gain, report as a positive value; if a loss, report as a negative value)
Disallowed goodwill and other disallowed intangible assets
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)
Disallowed servicing assets and purchased credit card relationships
Disallowed deferred tax assets
Other additions/deduction to tier 1 capital
Tier 1 capital (includes funded instruments, noncontrolling interest, retained earnings and AOCI LESS regulatory adjustments)
For validation purposes, enter the value of Tier 1 capital per Schedule RC-R
Validation check: does Line 19=Line 20?
Reconciliation of Tier 2 capital position
Funded Tier 2 instruments*
Noncontrolling (minority) interest
Class B
Class C
Regulatory adjustments
Restricted core capital in excess of the Tier 2 limit (if addition, report as a positive value; if deduction, report as a negative value)
Allowance for loan and lease losses includible in Tier 2 capital
Unrealized gains on available-for-sale equity securities includable in Tier 2 capital
Other Tier 2 capital components
Tier 2 capital (includes funded instruments, noncontrolling interest, and regulatory adjustments)
For validation purposes, enter the value of Tier 2 capital per Schedule RC-R
Validation check: does Line 30=Line 31?
Reconciliation of Total risk-based capital position
Tier 3 capital allocated for market risk
Deductions for total risk-based capital
Total risk-based capital
For validation purposes, enter the value of Total risk-based capital per Schedule RC-R
Validation check: does Line 34=Line 35?
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.

Actual in
$Millions
Q3 2012

Proje
Q3 2013

Q4 2012

Q1 2013

Q2 2013

-

-

-

-

-

-

-

-

-

-

RCFD 3000

RCFD 3632
RCFD B530

RCFD 8434
RCFD A221
RCFD 4336
RCFD B590

RCFD F264
RCFD B591
RCFD 5610
RCFD B592
RCFD 8274
No

RCFD 5310
RCFD 2221
RCFD B594
RCFD 8275
No

RCFD 1395
RCFD B595
RCFD 3792
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.

Capital position reconciliation
4

ections in $Millions
Q4 2013
Q1 2014

No

Q2 2014

Q3 2014

Q4 2014

-

-

-

-

-

-

-

-

-

-

No

No

No

No

Capital position reconciliation
5