Financial Statements of U.S. Nonbank Subsidiaries of U.S. Holding Companies (quarterly)

DRAFT

FR Y-11
OMB Number 7100-0244
Approval expires March 31, 2021
Page 1 of 8

SEE GENERAL INSTRUCTIONS FOR FILING FREQUENCY REQUIREMENTS.

Board of Governors of the Federal Reserve System

Financial Statements of U.S. Nonbank Subsidiaries
of U.S. Holding Companies—FR Y-11
This Report is required by law: Section 5(c) of the Bank Holding
Company Act (12 U.S.C. § 1844(c)), section 10 of Home Owners'
Loan Act (HOLA) (12 U.S.C. § 1467a(b)), section 618 of the
Dodd-Frank Act (12 U.S.C. § 1850a(c)(1)), section 165 of the
Dodd-Frank Act (12 U.S.C. § 5365), and section 252.153(b)(2) of
Regulation YY (12 CFR 252.153(b)(2)).

The Financial Statements of U.S. Nonbank Subsidiaries of U.S.
Holding Companies are to be prepared in accordance with the
instructions provided by the Federal Reserve System. 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.

NOTE: The Financial Statements of U.S. Nonbank Subsidiaries
of U.S. Holding Companies must be signed by an authorized officer of the holding company.

Date of Report:
Month / Day / Year (BHCS 9999)

I, the undersigned officer of the holding company attest that the
FR Y-11 reports listed on the following page(s) 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 Officer (BHCS C490)

Legal Name of the Top-Tier Holding Company (TEXT 9010)

Title of Officer (BHCS C491)

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

Signature of Officer (BHCS H321)

City (TEXT 9130)

State (TEXT 9200)

Zip Code (TEXT 9220)

Date of Signature (MM/DD/YYYY) (BHCS J196)

BHCS

Person to whom questions about these reports should be directed:

Number of reports attested to under this signature...... J444
Name / Title (TEXT 8901)

To be completed for the December report only.
Indicate whether the subsidiary(ies) meets the
annual or quarterly filing criteria for December
(Enter "1" for annual; enter "2" for quarterly)...........

BHCS

Area Code / Phone Number (TEXT 8902)

6909

Return to the appropriate Federal Reserve District Bank the completed original and the number of copies specified by that District
Bank.

Area Code / FAX Number (TEXT 9116)
E-mail Address of Contact (TEXT 4086)

For Federal Reserve Bank Use Only
HC RSSD ID
SUB RSSD ID
C.I.

Reporting institutions must maintain in their files a manually signed and attested printout of the data submitted.
Public reporting burden for this information collection is estimated to vary from 3.2 to 8.5 hours per response, with an average of 6.8 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, 20th and C Streets, NW, Washington, DC 20551,
and to the Office of Management and Budget, Paperwork Reduction Project (7100-0244), Washington, DC 20503.
03/2018

DRAFT

FR Y-11
Page 2 of 8

Detailed Listing of Subsidiaries
Holding companies must provide the information requested below for each nonbank subsidiary included in this submission. This page
must be attached to page 1 and placed in the holding company's file and should not be submitted to the Reserve Bank.

Name(s) of Nonbank Subsidiary

Mailing Address

Subsidiary RSSD ID

1.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

2.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

3.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

4.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

5.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

6.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

7.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

8.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

9.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

10.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

Note: If there are more than 10 submissions, attach additional pages.
03/2013

DRAFT

For Federal Reserve Bank Use Only
HC RSSD ID
SUB RSSD ID

FR Y-11
Page 3 of 8

C.I.

Legal Name of Nonbank Subsidiary (TEXT 9012)

(Mailing Address of Nonbank Subsidiary) Street / PO Box (TEXT 9013)

If the name of the nonbank subsidiary has changed since the previous FR Y-11 was
filed with the Federal Reserve, indicate the former name of the company. (TEXT 9023)

City (TEXT 9024)

State (TEXT 9026)

Zip Code (TEXT 9027)

Schedule IS—Income Statement (calendar year-to-date)
Dollar Amounts in Thousands
1. Interest income:
a. Interest and fee income from nonrelated organizations .................................................
b. Interest and fee income from related organizations ......................................................
c. Total interest income (sum of items 1.a and 1.b) ..........................................................
2. Interest expense:
a. Interest expense pertaining to nonrelated organizations ................................................
b. Interest expense pertaining to related organizations .....................................................
c. Total interest expense (sum of items 2.a and 2.b).........................................................
3. Net interest income (item 1.c minus item 2.c) .................................................................
1
4. Provision for loan and lease losses (must equal Schedule IS-B, item 4)...............................
5. Noninterest income:
a. From nonrelated organizations:
(1) Income from fiduciary activities ..........................................................................
(2) Service charges on deposit accounts ..................................................................
(3) Trading revenue .............................................................................................
(4) Investment banking, advisory, brokerage, and underwriting fees and commissions .........
(5) Venture capital revenue ...................................................................................
(6) Net servicing fees ...........................................................................................
(7) Net securitization income .................................................................................
(8) Insurance commissions and fees .......................................................................
(9) Fees and commissions from annuity sales ...........................................................
(10) Other noninterest income ................................................................................
b. From related organizations .....................................................................................
c. Total noninterest income (sum of items 5.a.(1) through 5.a.(10) and 5.b)...........................
6. Realized gains (losses) on securities not held in trading accounts ......................................
7. Noninterest expense:
a. Pertaining to nonrelated organizations.......................................................................
b. Pertaining to related organizations............................................................................
c. Total noninterest expense (sum of items 7.a and 7.b)....................................................
8. Income (loss) before applicable income taxes and discontinued operations
(sum of items 3, 5.c, and 6, minus items 4 and 7.c)..........................................................
9. Applicable income taxes (benefits) (estimated) ...............................................................
10. Discontinued operations, net of applicable income taxes ..................................................
11. Equity in undistributed income (loss) of subsidiary(ies) .....................................................
12. Net income (loss) (sum of items 8, 10, and 11 minus item 9) .............................................

BHCS

Amount

A028

1.a.
1.b.
1.c.

A029
4107
A030
A031
4073
4074

2.a.
2.b.
2.c.
3.
4.

4230

4070
4080

5.a.(1)
5.a.(2)
5.a.(3)
5.a.(4)
5.a.(5)
5.a.(6)
5.a.(7)
5.a.(8)
5.a.(9)
5.a.(10)
5.b.
5.c.
6.

A220
B490
B491
B492
B493
B494
C887
B497
4619
4079
4091
A034

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

C376
4093
3631
4302

8.
9.
10.
11.
12.

FT28
3147
4340

Memoranda
Dollar Amounts in Thousands
Memorandum item 1 is to be completed by nonbank subsidiaries that are required to complete
Schedule BS-A, Memoranda items 1.b and 1.c.

BHCS

1. Noncash income from negative amortization on closed-end loans secured by 1– 4 family
residential properties (included in Schedule IS, item 1.a).................................................... F228

Amount

M.1.

Memorandum item 2 is to be completed by nonbank subsidiaries that have elected to account for
financial instruments or servicing assets and liabilities at fair value under a fair value option.
2. Net change in fair values of financial instruments accounted for under a fair value
option (included in items 5.a.(3), 5.a.(6), 5.a.(10), and 5.b above) ........................................ J980
Footnote 1-Institutions that have adopted ASU 2016-13 should report in Item 4 the
provision for credit losses for all financial assets.

M.2.

03/2019
03/2018

Two new columns
DRAFT
Column B

FR Y-11
Page 4 of 8

Held-to-maturity debt securities (footnote 2)
Schedule IS-A—Changes in Equity Capital Column C
Available-for-sale debt securities (footnote 2)
Dollar Amounts in Thousands
1. Equity capital most recently reported for the end of previous calendar year
(i.e., after adjustments from amended Income Statements) ......................................................

BHCS

Amount

1.

3217
BHCT

2. Net income (loss) (must equal Income Statement, item 12) ......................................................

2.

4340
BHCS

3.
4.
5.
6.

3. Sale, conversion, acquisition, or retirement of common stock and perpetual preferred stock................. A035
4. LESS: Cash dividends declared ......................................................................................... 4598
5. Other comprehensive income1 ........................................................................................... B511
6. Other adjustments to equity capital ..................................................................................... 3581
BHCT
7. Total equity capital at end of current period (sum of items 1, 2, 3, 5, and 6 minus item 4)
(must equal Schedule BS, item 18.g)................................................................................... 3210

7.

1. Includes changes in net unrealized holding gains (losses) on available-for-sale
securities, changes in accumulated net gains (losses) on cash
for Credit Losses
flow hedges, cumulative foreign currency translation adjustments, and changes in minimum pension liability adjustments.

(footnote 1)

Schedule IS-B—Changes in Allowance for Loan and Lease Losses

Column A
Loans and Leases

Dollar Amounts in Thousands BHCS
1. Balance most recently reported at end of previous calendar year
(i.e., after adjustments from amended Income Statements) ...................................................... 3124
2. Recoveries .................................................................................................................... 4605
3. LESS: Charge-offs........................................................................................................... C079

credit

Amount

1.
2.
3.

BHCT

3
4230
4. Provision for loan and lease
losses (must equal Schedule IS, item 4).........................................
losses

4.

BHCS

5. Adjustments ...................................................................................................................
6. Balance at end of current period (sum of items 1, 2, 4 and 5, minus item 3)
(must equal Schedule BS, item 3.b) ....................................................................................

5.

4815
BHCT

3123

6.

(Insert as memorandum items for IS-B)

xxxx

M.1

Memorandum items 1 and 2 should be reported by institutions that have adopted ASU 2016-13
BS—Balance
Sheet
1. Schedule
Provisions for credit
losses on other financial
assets carried at amortized cost (not included in item 4 above)
2. Allowance for credit losses on other assets measured at amortized cost (not included in item 6 above).

xxxx

M.2

Dollar Amounts in Thousands

BHCS

Assets
1. Cash and balances due from depository institutions ............................................................... 0010
2. Securities:
4
1754
a. Held-to-maturity securities .............................................................................................
b. Available-for-sale securities............................................................................................ 1773
3. Loans and lease financing receivables (including federal funds sold):
a. Loans and lease financing receivables, held for investment and held for sale
2122
(from Schedule BS-A, item 6) .........................................................................................
5
b. LESS: Allowance for loan and lease losses (from Schedule IS-B, item 6)................................. 3123
c. Loans and lease financing receivables, held for investment and held for sale, net of the
allowance for loan and lease losses (item 3.a minus 3.b)...................................................... 2125
4. Trading assets ................................................................................................................ 3545
5. Premises and fixed assets (including capitalized leases) ......................................................... 2145
6. Other real estate owned ................................................................................................... 2150
1724
4
7. All other assets ...............................................................................................................
8. Claims on nonrelated organizations (sum of items 1, 2, 3.c through 7)........................................ C377
9. Balances due from related institutions, gross ........................................................................ C378
Footnote 1-Institutions that have not adopted ASU 2016-13 should report the changes in allowance for loan and lease losses.
10. Total assets (sum of items 8 and 9) (must equal item 19)......................................................... 2170

Footnote 2- Columns B and C are to be completed only by institutions that have adopted ASU 2016-13.
Footnote 3-For institutions that have adopted ASU 2016-13, the sum of item 4, column A through column C plus Schedule IS-B,
memorandum item 1, must equal Schedule IS, item 4. For those institutions that have not adopted ASU 2016-13 should report the
provision for loans and lease losses.
Footnote 4- Institutions that have adopted ASU 2016-13 should report in item 2.a and item 7 amounts net of any applicable allowance for
credit loss.
Footnote 5-Institutions that have adopted ASU 2016-13 should report in item 3.b the allowance for credit losses on loans and leases.

Amount

1.
2.a.
2.b.

3.a.
3.b.
3.c.
4.
5.
6.
7.
8.
9.
10.

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DRAFT

FR Y-11
Page 5 of 8

Schedule BS—Continued
Dollar Amounts in Thousands
Liabilities and Equity Capital
11. Trading liabilities............................................................................................................
12. Other borrowed money with a remaining maturity of one year or less
(including commercial paper issued and federal funds purchased)...........................................
13. Other borrowed money with a remaining maturity of more than one year
(including subordinated debt and limited-life preferred stock and related surplus) .......................
14. Other liabilities ..............................................................................................................
15. Liabilities to nonrelated organizations (sum of items 11 through 14) .........................................
16. Balances due to related institutions, gross ..........................................................................
17. Total liabilities (sum of items 15 and 16) .............................................................................
18. Equity capital:
a. Stock.......................................................................................................................
b. Surplus (exclude all surplus related to preferred stock) ......................................................
c. Retained earnings ......................................................................................................
d. Accumulated other comprehensive income1 .....................................................................
e. General and limited partnership shares and interests ........................................................
f. Other equity capital components2 ..................................................................................
g. Total equity capital (sum of items 18.a through 18.f) (must equal Schedule IS-A, item 7) ...........
19. Total liabilities and equity capital (sum of items 17 and 18.g) (must equal item 10) ......................

BHCS

Amount

3548

11.

C379

12.

1729
2750
A012

13.
14.
15.
16.
17.

C380
2948
3230
3240
3247

18.a.
18.b.
18.c.
18.d.
18.e.
18. f.
18.g.
19.

B530
F033
A130
3210
3300

1. 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.
2. Includes treasury stock and unearned Employee Stock Ownership Plan shares.
For Federal Reserve Bank Use Only

C.I.

Dollar Amounts in Thousands
Derivatives and Off-Balance-Sheet Items
20. Unused commitments on securities underwriting..................................................................
21. Unused commitments on loans and all other unused commitments..........................................
22. Standby letters of credit and foreign office guarantees ..........................................................
23. Commercial and similar letters of credit..............................................................................
24. Commitments to purchase foreign currencies and U.S. dollar exchanges (spot, forward, and futures) ..
25. All other futures and forward contracts (excluding contracts involving foreign exchange) ..............
26. Option contracts:
a. Written option contracts...............................................................................................
b. Purchased option contracts ..........................................................................................
27. Notional value of interest rate swaps .................................................................................
28. Notional value of exchange swaps (e.g., cross currency swaps)..............................................
29. Notional value of other swaps ..........................................................................................
30. All other off-balance-sheet liabilities...................................................................................

BHCS

Amount

3817
A013

20.
21.
22.
23.
24.
25.

A014
3411
3415
A015
A098
A099

26.a.
26.b.
27.
28.
29.
30.

3450
3826
3829
A100

Memoranda
Dollar Amounts in Thousands
Memoranda items 1.a and 1.b are to be completed by nonbank subsidiaries that have elected to account
for financial instruments or servicing assets and liabilities at fair value under a fair value option.

BHCS

1. Financial assets and liabilities measured at fair value under a fair value option
a. Total assets .............................................................................................................. F819
b. Total liabilities............................................................................................................ F820

Amount

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

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DRAFT
Schedule BS-A—Loans and Lease Financing Receivables

FR Y-11
Page 6 of 8

1.

(exclude balances with related institutions)
Dollar Amounts in Thousands
1. Loans secured by real estate ............................................................................................
2. Loans to depository institutions .........................................................................................
3. Commercial and industrial loans ........................................................................................
4. Loans to individuals for personal, household, and other personal expenditures ...........................
5. All other loans and lease financing receivables .....................................................................
6. Total loans and lease financing receivables (sum of items 1 through 5 above)
(must equal Schedule BS, item 3.a)...................................................................................
7. Past due and nonaccrual loans and leases:
a. Loans and leases past due 30 through 89 days .................................................................
b. Loans and leases past due 90 days or more .....................................................................
c. Nonaccrual loans and leases .........................................................................................
d. Loans restructured in troubled debt restructurings (included in items 7.a through 7.c above).......

BHCS

Amount

1410

1.
2.
3.
4.
5.

3622
3623
1975
A017
BHCT

2122

6.

BHCS

1406
1407

7.a.
7.b.
7.c.
7.d.

1403
J979

1. Institutions that have adopted ASU 2016-13 should not deduct the allowance for credit losses on loans and
Memoranda
leases
from amounts reported on this schedule.

Dollar Amounts in Thousands
1. Closed-end loans with negative amortization features secured by 1– 4 family residential properties:

BHCS

Amount

Memorandum item 1.a is to be completed by all nonbank subsidiaries.
a. Total carrying amount of closed-end loans with negative amortization features secured by 1– 4
family residential properties (included in Schedule BS-A, item 1) .......................................... F230

M.1.a.

Memoranda items 1.b and 1.c are to be completed by nonbank subsidiaries that had closed-end
loans with negative amortization features secured by 1– 4 family residential properties (included in
Schedule BS-A, item 1) as of the previous December 31 report date, in excess of 5 percent of total
loans and leases, net of unearned income (as reported in Schedule BS-A, item 6).
b. Total maximum remaining amount of negative amortization contractually permitted on
closed-end loans secured by 1– 4 family residential properties ............................................. F231
c. Total amount of negative amortization on closed-end loans secured by 1– 4 family residential
properties included in the carrying amount reported in Memorandum item 1.a above ................ F232

M.1.b.
M.1.c.

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DRAFT

FR Y-11
Page 7 of 8

Schedule BS-M—Memoranda
Dollar Amounts in Thousands
1. Loans to non-U.S. addressees ....................................................................................
2. Loan and other assets servicing portfolio:
Number
a. Number of loans and other assets in servicing portfolio
(report the actual number) .............................................................. A019
b. Dollar amount of loans and other assets in servicing portfolio.........................................
3. Loans and other assets that have been securitized and sold without recourse with servicing
retained (year to date) ...............................................................................................
4. Investments in other companies ..................................................................................
5. Intangible assets:
a. Goodwill..............................................................................................................
b. Mortgage servicing assets ......................................................................................
c. All other identifiable intangible assets ........................................................................
6. Assets held in trading accounts (excluding trading balances with related organizations):
a. Securities of U.S. government and its agencies ...........................................................
b. Securities of all foreign governments and official institutions...........................................
c. Equity securities ...................................................................................................
d. Corporate bonds, notes, and debentures ...................................................................
e. Revaluation gains on interest rate, foreign exchange rate, and other commodity and equity
contracts .............................................................................................................
f. Loans .................................................................................................................
(1) Loans that are past due 90 days or more:
(a) Fair value ...................................................................................................
(b) Unpaid principal balance ...............................................................................
g. Other (including commercial paper) ..........................................................................
7. Other assets:
a. Accrued interest receivable .....................................................................................
b. Prepaid expenses .................................................................................................
c. Net deferred tax assets ..........................................................................................
d. Accounts receivable ..............................................................................................
8. Earning assets.........................................................................................................
9. Balances due from related institutions, gross:
a. Balances due from holding company (parent companies only), gross...............................
b. Balances due from subsidiary banks of the holding company, gross ................................
c. Balances due from other nonbank subsidiaries of the holding company, gross ...................
10. Commercial paper issued ..........................................................................................
11. Borrowings that reprice within one year .........................................................................
12. Other liabilities:
a. Expenses accrued and unpaid .................................................................................
b. Net deferred tax liabilities .......................................................................................
c. Accounts payable ..................................................................................................
13. Balances due to related institutions, gross:
a. Balances due to holding company (parent companies only), gross ..................................
b. Balances due to subsidiary banks of the holding company, gross ....................................
c. Balances due to other nonbank subsidiaries of the holding company, gross ......................
14. Perpetual preferred stock and related surplus ................................................................
15. Assets sold with recourse...........................................................................................

BHCS

Amount

1722

1.

A020

2.a.
2.b.

A021
2130

3.
4.

3163
3164

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

3165
5468
5469
5470
5477
A210
G208
F639
F640
5478
B556
A022
A023
A024
3197
1725
1726
1793

6.a.
6.b.
6.c.
6.d.
6.e.
6. f.
6.f.(1)(a)
6.f.(1)(b)
6.g.
7.a.
7.b.
7.c.
7.d.
8.

2309
3298

9.a.
9.b.
9.c.
10.
11.

A025
A026
A027

12.a.
12.b.
12.c.

1781
1782

13.a.
13.b.
13.c.
14.
15.

1794
3283
A016

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DRAFT

FR Y-11
Page 8 of 8

Notes to the Financial Statements
Enter in the lines provided below any additional information on specific line items on the financial statements that the holding
company wishes to explain that are material in amount and cannot be disclosed separately in the existing line items.
Each additional piece of information disclosed should include the appropriate reference to the financial statement 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 holding company nonbank subsidiary reports $1 million in "All other assets." Of this amount, $500,000 is related to accounts
receivable. Enter on the line item below the following information:
TEXT

0000

BHCS

Amount

Accounts receivable of $500,000 are included in line item 7,
"All other assets," on the balance sheet.
500

0000

Notes to the Financial Statements
TEXT

Dollar Amounts in Thousands

BHCS

Amount

1. B057
B057

1.

B058

2.

B059

3.

B060

4.

B061

5.

B062

6.

B063

7.

B064

8.

B065

9.

B066

10.

2. B058

3. B059

4. B060

5. B061

6. B062

7. B063

8. B064

9. B065

10. B066

03/2013

DRAFT

FR Y-11S
OMB Number 7100-0244
Approval expires March 31, 2021
Page 1 of 3

Board of Governors of the Federal Reserve System

Abbreviated Financial Statements of U.S. Nonbank
Subsidiaries of U.S. Holding Companies—FR Y-11S
Report at the close of business as of the last calendar day in December
This Report is required by law: Section 5(c) of the Bank Holding
Company Act (12 U.S.C. § 1844(c)), section 10 of Home Owners'
Loan Act (HOLA) (12 U.S.C. § 1467a(b)), section 618 of the
Dodd-Frank Act (12 U.S.C. § 1850a(c)(1)), section 165 of the
Dodd-Frank Act (12 U.S.C. § 5365), and section 252.153(b)(2) of
Regulation YY (12 CFR 252.153(b)(2)).

The Abbreviated Financial Statements of U.S. Nonbank Subsidiaries
of U.S. Holding Companies are to be prepared in accordance with
the instructions provided by the Federal Reserve System. 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.

NOTE: The Abbreviated Financial Statements of U.S. Nonbank
Subsidiaries of U.S. Holding Companies must be signed by an
authorized officer of the holding company.

Date of Report:
Month / Day / Year (BHCS 9999)

I, the undersigned officer of the holding company attest that the
FR Y-11S reports listed on the following page(s) 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 Officer (BHCS C490)

Legal Name of the Top-Tier Holding Company (TEXT 9010)

Title of Officer (BHCS C491)

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

Signature of Officer (BHCS H321)

City (TEXT 9130)

State (TEXT 9200)

Zip Code (TEXT 9220)

Date of Signature (MM/DD/YYYY) (BHCS J196)

BHCS

Number of reports attested to under this signature...... J444
Return to the appropriate Federal Reserve District Bank the
completed original and the number of copies specified by that
District Bank.
For Federal Reserve Bank Use Only
HC RSSD ID
SUB RSSD ID
C.I.

Person to whom questions about these reports should be directed:

Name / Title (TEXT 8901)
Area Code / Phone Number (TEXT 8902)
Area Code / FAX Number (TEXT 9116)
E-mail Address of Contact (TEXT 4086)

Reporting institutions must maintain in their files a manually signed and attested printout of the data submitted.
Public reporting burden for this information collection is estimated to be 1 hour 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, 20th and C Streets, NW, Washington, DC 20551, and to the Office of Management and Budget, Paperwork Reduction
Project (7100-0244), Washington, DC 20503.
03/2018

DRAFT

FR Y-11S
Page 2 of 3

Detailed Listing of Subsidiaries
Holding companies must provide the information requested below for each nonbank subsidiary included in this submission. This page
must be attached to page 1 and placed in the holding company's file and should not be submitted to the Reserve Bank.

Name(s) of Nonbank Subsidiary

Mailing Address

Subsidiary RSSD ID

1.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

2.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

3.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

4.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

5.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

6.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

7.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

8.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

9.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

10.
Legal Name of Nonbank Subsidiary

Street / PO Box

City

RSSD ID

State

Zip Code

Note: If there are more than 10 submissions, attach additional pages.
03/2013

DRAFT

For Federal Reserve Bank Use Only
HC RSSD ID

FR Y-11S
Page 3 of 3

SUB RSSD ID
C.I.

Abbreviated Financial Statements
Legal Name of Nonbank Subsidiary (TEXT 9012)

(Mailing Address of Nonbank Subsidiary) Street / PO Box (TEXT 9013)

If the name of the nonbank subsidiary has changed since the previous FR Y-11S
was filed with the Federal Reserve, indicate the former name of the company.
(TEXT 9023)

City (TEXT 9024)

1.
2.
3.
4.

State (TEXT 9026) Zip Code (TEXT 9027)

Dollar Amounts in Thousands
Net income .......................................................................................................................
Total assets .......................................................................................................................
Equity capital .....................................................................................................................
Total off-balance-sheet items ................................................................................................

Amount

BHCS

4340
2170

1.
2.
3.
4.

3210
2013

5. Has the nonbank subsidiary elected to account for certain assets and liabilities under a fair value option with
changes in fair value recognized in earnings? (Enter "1" for Yes; enter "0" for No)....................................

0=No

BHCS

1=Yes F822

5.

03/2013