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pdfFR Y-12
OMB Number 7100-0300
Approval expires March 31, 2022
Page 1 of 4
Board of Governors of the Federal Reserve System
Consolidated Holding Company Report of
Equity Investments in Nonfinancial Companies—FR Y-12
Report at the close of business as of the last calendar day of the reporting period.
This report is required by law: Section 5(c) of the BHC Act
(12 U.S.C. § 1844(c)), section 10 of HOLA (12 U.S.C § 1467a(b)),
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 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.
The Consolidated Holding Company Report of Equity Investments
in Nonfinancial Companies is to be prepared in accordance with
NOTE: The Consolidated Holding Company Report of Equity Investments in Nonfinancial Companies must be signed and attested by
an Executive Officer of the reporting holding company.
Date of Report:
Month / Day / Year (BHEI 9999)
I, the undersigned Executive Officer of the named holding company, attest that the Consolidated Holding Company Report of
Equity Investments in Nonfinancial Companies for this report
date has been prepared in conformance with the instructions
issued by the Federal Reserve System and is true and correct to
the best of my knowledge and belief.
Printed Name of Executive Officer at Holding Company (BHEI C490)
Legal Name of Holding Company (RSSD 9017)
Title of Executive Officer of Holding Company (BHEI C491)
(Mailing Address of Holding Company) Street / P.O. Box (RSSD 9110)
Signature of Executive Officer of Holding Company (BHEI H321)
City (RSSD 9130)
State (RSSD 9200) Zip Code (RSSD 9220)
Date of Signature (MM/DD/YYYY) (BHEI J196)
Person to whom questions about this report should be directed:
Name / Title (BHEI 8901)
For Federal Reserve Bank Use Only
RSSD ID
C.I.
Area Code / Phone Number (BHEI 8902)
S.F.
E-mail Address (BHEI 4086)
Public reporting burden for this information collection is estimated to average16.5 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 (7100-0300), Washington, DC 20503.
03/2019
For Federal Reserve Bank Use Only
Legal Name of Holding Company
FR Y-12
Page 2 of 4
RSSD ID
C.I.
As-of Date
Schedule A: Type of Investments
(If no activity or if the following section does not apply, please enter zero "0".)
(Column A)
Acquisition Cost
1.
2.
3.
4.
Dollar Amounts in Thousands
Direct investments in public entities ......................
Direct investments in nonpublic entities .................
All indirect investments ......................................
Total portfolio (sum of items 1, 2, and 3) ................
BHEI
Amount
(Column B)
Net Unrealized
Holding Gains
Not Recognized
as Income
BHEI
Amount
(Column C)
Carrying
Value
BHEI
C088
C089
C090
C093
C094
C095
C097
C101
C098
C102
C099
C103
Memoranda
Amount
(Column D)
Publicly
Quoted Value
BHEI
Amount
C091
1.
2.
3.
4.
Number of Companies
BHEI 1-10 11-25 26-100 100+
1. Total portfolio............................................................................................................ C100
(Column A)
Acquisition
Cost
Dollar Amounts in Thousands BHEI
Financial holding companies only
2. Investments held under Merchant Banking (GLBA) authority .............. C104
Amount
(Column B)
Net Unrealized
Holding Gains
Not Recognized
as Income
BHEI
C105
Amount
M.1.
(Column C)
Carrying
Value
BHEI
Amount
C106
M.2.
Income Amount
Dollar Amounts in Thousands BHEI
Amount
Only for holding companies filing FR Y-9C
3. Pre-tax impact on net income from items 1, 2, and 3 above ............................................................... B498
M.3.
Off-Balance-Sheet
Amount
Dollar Amounts in Thousands BHEI
For all holding companies
4. Investments managed for others ................................................................................................... C716
Amount
M.4.
Income Amount
Dollar Amounts in Thousands BHEI
Only for holding companies filing FR Y-9C
5. Pre-tax impact of management fee income (from item M4 above) ......................................................... J443
Amount
M.5.
03/2019
FR Y-12
Page 3 of 4
Legal Name of Holding Company
As-of Date
Schedule B: Type of Security
(Column A)
Acquisition
Cost
1.
2.
3.
4.
Dollar Amounts in Thousands
Common stock ..............................................................................................
Convertible debt and convertible preferred stock ..................................................
Other equity instruments..................................................................................
Total portfolio (sum of items 1, 2, and 3)..............................................................
BHEI
C107
Amount
C109
C111
C113
(Column B)
Carrying
Value
BHEI
C108
Amount
1.
2.
3.
4.
C110
C112
C114
Off-Balance-Sheet
Amount
Dollar Amounts in Thousands BHEI
Memoranda
1. Unused equity commitments .................................................................................................... C115
Amount
M.1.
Warrants
2. Does the holding company hold any warrants or similar instruments received in connection with equity
investment activity? (Enter "1" for yes; enter "0" for no.) .................................................................
BHEI
1=Yes C717
0=No
M.2.
Schedule C: Type of Entity within the Banking Organization
(Column A)
Acquisition
Cost
Dollar Amounts in Thousands BHEI
1. Depository institutions:
a. SBICs ............................................................................. C117
Amount
(Column B)
Net Unrealized
Holding Gains Not
Recognized as
Income
BHEI
Amount
(Column C)
Carrying
Value
BHEI
Amount
C121
C126
C718
C719
C720
C118
C122
C127
1.a.
1.b.
1.c.
C136
C722
C721
C723
C137
C724
C131
C726
C145
C725
C727
C729
C132
C728
C146
3. Total portfolio (sum of items 1.a through 2.e)................................ C150
C730
C151
2.a.
2.b.
2.c.
2.d.
2.e.
3.
Memoranda
1. Domestic investments .............................................................
2. Foreign investments ...............................................................
C749
C750
C156
C158
b. Edge and agreement corporations.........................................
c. All other ...........................................................................
2. Parent holding and other nonbank subsidiaries:
a. SBICs .............................................................................
b. Edge and agreement corporations.........................................
c. Broker/Dealers ..................................................................
d. Private equity subsidiaries ...................................................
e. All other ...........................................................................
C155
C157
M.1.
M.2.
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FR Y-12
Page 4 of 4
Legal Name of Holding Company
As-of Date
Schedule D: Nonfinancial Investment Transactions During Reporting Period
Direct Public Investments
(Column A)
Acquisition
Cost
Dollar Amounts in Thousands
Type of Transaction
1. Purchases .....................................................................
2. Less: return of capital.......................................................
3. Net valuation changes......................................................
4. Other ............................................................................
5. Total transactions (sum of items 1 through 4) ........................
BHEI
Amount
(Column B)
Carrying
Value
BHEI
Amount
Direct Nonpublic Investments
(Column C)
Acquisition
Cost
BHEI
Amount
(Column D)
Carrying
Value
BHEI
Amount
Indirect (Fund) Investments
(Column E)
Acquisition
Cost
BHEI
Amount
(Column F)
Carrying
Value
BHEI
C731
C732
J434
J435
C733
C734
C735
J436
J439
J437
J438
J440
C737
C741
C736
C739
C742
C743
C738
C740
C744
C745
C746
J441
J442
C747
C748
Amount
1.
2.
3.
4.
5.
03/2019
File Type | application/pdf |
Subject | Consolidated Holding Company Report of Equity Investments in Nonfinancial Companies—FR Y-12 |
Author | Federal Reserve Board |
File Modified | 2020-12-28 |
File Created | 2019-03-27 |