FDIC DFAST-14A Regilatory 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''

Copy of 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

Document [xlsx]
Download: xlsx | pdf
DFAST-14A Regulatory Capital Instruments Annual Schedule:



























Date of data submission:



























Projected Capital Actions and Balances



























Actual Data, as of date:
9/30/2014




























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
Page Reference in the Capital Plan
Comments






























Quarterly Redemption/Repurchase Activity (All repurchase figures must be entered as negative values)

























1 Common Stock (CS) Tier 1

























1B Common Stock (CS) - Employee Stock Compensation 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

























19B Common Stock (CS) - Employee Stock Compensation 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




















































































Quarterly Activity - Other than issuances or repurchases


























1A Common Stock (CS) Tier 1
























Equity infusion from parent
2A CS Warrants Tier 1

























3A CS USG Investment Tier 1

























4A Non-Cumulative Perpetual Preferred (NCPP) Tier 1

























5A NCPP Convertible Tier 1

























6A Cumulative Perpetual Preferred (CPP) Tier 1

























7A CPP TARP Preferred Tier 1

























8A Mandatory Convertible Preferred (MCP) Tier 1

























9A MCP USG Preferred Tier 1

























10A Cumulative Dated Preferred (TRUPS) Tier 1

























11A USG Preferred TRUPS Tier 1

























12A REIT Preferred Tier 1

























13A Other Tier 1 Instruments Tier 1

























14A Cumulative Perpetual Preferred (CPP) Tier 2

























15A Mandatory Convertible Preferred (MCP) Tier 2

























16A Cumulative Dated Preferred (TRUPS) Tier 2
























Maturity of subordinated debt
17A Subordinated Debt Tier 2

























18A Other Tier 2 Instruments Tier 2




















































































Capital Balances


NOTE: The cells below in green would become formulas as opposed to entry lines






















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
Page Reference in the Capital Plan
Comments






























Quarterly Redemption/Repurchase Activity (All repurchase figures must be entered as negative values)

























55 Common Stock (CS) Common Equity Tier 1

























55B Common Stock (CS) - Employee Stock Compensation 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

























83B Common Stock (CS) - Employee Stock Compensation Tier 1
























Equity infusion from parent
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























































Quarterly Activity - Other than issuances or repurchases


























55A Common Stock (CS) Common Equity Tier 1

























56A CS Warrants Common Equity Tier 1

























57A CS USG Investment Common Equity Tier 1

























58A Capital Instrument Issued by Subsidiary Common Equity Tier 1

























59A Other Common Equity Tier 1 Instruments Common Equity Tier 1

























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

























61A NCPP Convertible Additional Tier 1

























62A Mandatory Convertible Preferred (MCP) Additional Tier 1

























63A MCP USG Preferred Additional Tier 1

























64A Capital Instrument Issued by Subsidiary Additional Tier 1

























65A Other Additional Tier 1 Instruments Additional Tier 1

























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

























67A CPP TARP Preferred Non-qualifying Instrument in Tier 1

























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

























69A MCP USG Preferred Non-qualifying Instrument in Tier 1

























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

























71A USG Preferred TRUPS Non-qualifying Instrument in Tier 1

























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

























73A Subordinated Debt Tier 2

























74A Capital Instrument Issued by Subsidiary Tier 2

























75A Other Tier 2 Instruments Tier 2

























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

























77A CPP TARP Preferred Non-qualifying Instrument in Tier 2

























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

























79A MCP USG Preferred Non-qualifying Instrument in Tier 2

























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

























81A USG Preferred TRUPS Non-qualifying Instrument in Tier 2

























82A 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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