Form FR Y-11 FR Y-11 Financial Statements of U.S. Nonbank Subsidiaries of U.S

FR Y-11
OMB Number 7100-0244
Approval expires March 31, 2022
Page 1 of 9

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 (RSSD 9017)

Title of Officer (BHCS C491)

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

Signature of Officer (BHCS H321)

City (RSSD 9130)

State (RSSD 9200)

Zip Code (RSSD 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 (BHCS 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 (BHCS 8902)

6909
Area Code / FAX Number (BHCS 9116)

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.

E-mail Address of Contact (BHCS 4086)

0=No BHCS
Is confidential treatment requested for any
portion of this report submission? ................. 1=Yes C447
In accordance with the General Instructions for this report
(check only one),
1. a letter justifying this request is being provided along
with the report (BHCS KY38) .........................................

2. a letter justifying this request has been provided
separately (BHCS KY38) .............................................

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.

06/2021

FR Y-11
Page 2 of 9

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

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

FR Y-11
Page 3 of 9

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) .................................................................
4. Provision for loan and lease losses1 ............................................................................
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. a. Income (loss) before change in net unrealized holding gains (losses) on equity securities
not held for trading, applicable income taxes, and discontinued operations (item 3, 5.c,
and 6 minus items 4 and 7.c) ..................................................................................
b. Change in net unrealized holding gains (losses) on equity securities not held for trading 2 ....
c. Income (loss) before applicable income taxes and discontinued operations
(sum of items 8.a and 8.b)......................................................................................
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.c, 10, and 11 minus item 9) ...........................................

BHCS

Amount

A028
A029
4107
A030
A031
4073
4074
JJ33

4070
4080
A220
B490
B491
B492
B493
B494
C887
B497
4619
4079
4091
A034
C376
4093

HT69
HT70
4301
4302
FT28
3147
4340

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

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

8.a.
8.b.
8.c.
9.
10.
11.
12.

1. Entities that have adopted ASU 2016-13 should report item 4 the provision for credit losses for all financial assets that fall
within the scope of the standard.
2. Item 8.b is to be completed by all institutions because all institutions are now required to have adopted ASU 2016-01, which
includes provisions governing the accounting for investments in equity securities. See the instructions for this item and the
FR Y-9C Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities.

12/2020

FR Y-11
Page 4 of 9

Schedule IS—Continued
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

Amount

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

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

M.2.

Schedule IS-A—Changes in Equity Capital
Dollar Amounts in Thousands BHCS
1. Equity capital most recently reported for the end of previous calendar year
(i.e., after adjustments from amended Income Statements) ............................................... 3217

Amount

1.

BHCT

2. Net income (loss) (must equal Income Statement, item 12) ............................................... 4340

2.

BHCS

3. Sale, conversion, acquisition, or retirement of common stock and perpetual preferred stock ....
4. LESS: Cash dividends declared ..................................................................................
5. Other comprehensive income 1 ....................................................................................
6. Other adjustments to equity capital ..............................................................................
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)............................................................................

A035
4598
B511
3581

3.
4.
5.
6.

BHCT

3210

7.

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

Schedule IS-B—Changes in Allowance for Credit Losses1
(Column A)
Loan and
Leases

1.

2.
3.
4.
5.
6.

Dollar Amounts in Thousands
Balance most recently reported at end of previous calendar year (i.e., after adjustments
from amended Income Statements) .............
Recoveries ............................................
LESS: Charge-offs ..................................
Provision for credit losses3 ........................
Adjustments ...........................................
Balance at end of current period (sum of
items 1, 2, 4, and 5 minus item 3)
(must equal Schedule BS, item 3.b) ............

(Column B)
Held-to-Maturity
Debt Securities2
BHCS
Amount

(Column C)
Available-for-Sale
Debt Securities2
BHCS
Amount

3124

JH88

JH94

4605
C079

JH89
JH92

JH95
JH98

4230
4815

JH90
JH91

JH96
JH97

1.
2.
3.
4.
5.

JH93

JH99

6.

BHCS

Amount

BHCT

3123

1. Entities that have not adopted ASU 2016-13 should report changes in allowance for loan and lease losses.
2. Columns B and C are to be completed only by entities that have adopted ASU 2016-13.
3. For entities that have adopted ASU 2016-13, the sum of item 4, column A through C plus Schedule IS-B, memorandum item 1,
must equal Schedule IS item 4. For those entities that have not adopted ASU 2016-13, the reported amount in item 4, column A
must equal Schedule IS, item 4.

03/2019

FR Y-11
Page 5 of 9

Schedule IS-B—Continued
Memoranda
Dollar Amounts in Thousands
Memoranda items 1 and 2 should be reported by institutions that have adopted ASU 2016-13.
1. Provisions for credit losses on other financial assets carried at amortized cost
(not included in item 4) ...................................................................................................
2. Allowance for credit losses on other assets measured at amortized cost
(not included in memorandum item 1 above) .......................................................................

BHCS

Amount

JJ02

M.1.

JJ03

M.2.

Schedule BS—Balance Sheet
Dollar Amounts in Thousands
Assets
1. Cash and balances due from depository institutions .............................................................
2. Securities:
a. Held-to-maturity securities1 ..........................................................................................
b. Available-for-sale debt securities ...................................................................................
c. Equity securities with readily determinable fair values not held for trading2 .............................
3. Loans and lease financing receivables (including federal funds sold):
a. Loans and lease financing receivables, held for investment and held for sale
(from Schedule BS-A, item 6) .......................................................................................
b. LESS: Allowance for loan and lease losses3 ....................................................................
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)....................................................
4. Trading assets..............................................................................................................
5. Premises and fixed assets (including capitalized leases) .......................................................
6. Other real estate owned .................................................................................................
7. All other assets1 ............................................................................................................
8. Claims on nonrelated organizations (sum of items 1, 2, 3.c through 7)......................................
9. Balances due from related institutions, gross ......................................................................
10. Total assets (sum of items 8 and 9) (must equal item 19) ......................................................
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 income4 ....................................................................
e. General and limited partnership shares and interests ........................................................
f. Other equity capital components5 ..................................................................................
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

0010

1.

JJ34
JA22

2.a.
2.b.
2.c.

2122
3123

3.a.
3.b.

2125
3545

C377
C378
2170

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

3548

11.

C379

12.

1729
2750
A012

13.
14.
15.
16.
17.

1773

2145
2150
1724

C380
2948
3230
3240
3247
B530
F033
A130
3210
3300

1. Entities that have adopted ASU 2016-13 should report in items 2.a and 7, amounts net of any applicable allowance for credit loss.
2. Item 2.c is to be completed by all institutions because all institutions are now required to have adopted ASU 2016-01, which
includes provisions governing the accounting for investments in equity securities. See the instructions for this item and the FR
Y-9C Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities.
3. Entities that have adopted ASU 2016-13 should report in item 3.b the allowance for credit losses on loans and leases.
4. 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.
5. Includes treasury stock and unearned Employee Stock Ownership Plan shares.

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

12/2020

FR Y-11
Page 6 of 9

Schedule BS—Continued
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.
1. Financial assets and liabilities measured at fair value under a fair value option
a. Total assets ..............................................................................................................
b. Total liabilities ...........................................................................................................

BHCS

Amount

F819

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

F820

Schedule BS-A—Loans and Lease Financing Receivables1
(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
3622
3623
1975
A017

1.
2.
3.
4.
5.

BHCT

2122

6.

BHCS

1406
1407
1403
J979

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

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

03/2019

FR Y-11
Page 7 of 9

Schedule BS-A—Continued
Memoranda
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.

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...................

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

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

A024
3197

7.a.
7.b.
7.c.
7.d.
8.

1725
1726
1793

9.a.
9.b.
9.c.

03/2019

FR Y-11
Page 8 of 9

Schedule BS-M—Continued
Memoranda—Continued
Dollar Amounts in Thousands
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

2309
3298

10.
11.

A025
A026
A027

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

1781
1782

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

1794
3283
A016

03/2019

FR Y-11
Page 9 of 9

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

FR Y-11S
OMB Number 7100-0244
Approval expires March 31, 2022
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

Person to whom questions about these reports should be directed:

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.

Name / Title (TEXT 8901)

Area Code / Phone Number (TEXT 8902)

Area Code / FAX Number (TEXT 9116)

E-mail Address of Contact (TEXT 4086)

0=No BHCS
Is confidential treatment requested for any
portion of this report submission? ................. 1=Yes C447
In accordance with the General Instructions for this report
(check only one),
1. a letter justifying this request is being provided along
with the report (BHCS KY38) .........................................

2. a letter justifying this request has been provided
separately (BHCS KY38) .............................................

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.

06/2018

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

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

FR Y-11S
Page 3 of 3

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