Form FR Y-12 FR Y-12 Consolidated Holding Company Report of Equity Investment

FR Y-12
OMB Number 7100-0300
Approval expires December 31, 2023
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
Area Code / Phone Number (BHEI 8902)

RSSD ID
C.I.

S.F.
E-mail Address (BHEI 4086)

Is confidential treatment requested for any
portion of this report submission? .................

0=No

BHEI

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 (BHEI KY38) ..........................................
2. a letter justifying this request has been provided
separately (BHEI KY38) ..............................................
Public reporting burden for this information collection is estimated to average 16.5 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.
12/2020

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)
(Column C)
Unrealized Holding All Other Unrealized
Gains (Losses) on
Holding Gains
Equity Securities (Losses) on Equity
Not Held for
Securities
Trading1
BHEI

Amount

BHEI

Amount

(Column D)
Carrying
Value

BHEI

Amount

(Column E)
Publicly
Quoted Value

BHEI

Amount

C088

LF30

LF37

C090

C093
C097

LF31
LF32

LF38
LF39

C095
C099

2.
3.

C101

LF33

LF40

C103

4.

Memoranda

C091

1.

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)
(Column C)
Unrealized Holding All Other Unrealized
Gains (Losses) on
Holding Gains
Equity Securities (Losses) on Equity
Not Held for
Securities
Trading1
BHEI

LE62

Amount

BHEI

LF41

Amount

M.1.
(Column D)
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

Amount

Only for holding companies filing FR Y-9C
5. Pre-tax impact of management fee income (from item M4 above) ......................................................... J443

M.5.

1. Column B is to be completed by all holding companies. See the instructions for further detail on accounting for investments in
equity securities.

12/2020

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
1. Depository institutions:
a. SBICs .....................................................
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 ...................................................
3. Total portfolio (sum of items 1.a through 2.e)........

BHEI

Amount

(Column B)
(Column C)
(Column D)
Unrealized Holding All Other Unrealized
Carrying
Gains (Losses) on
Holding Gains
Value
Equity Securities (Losses) on Equity
Not Held for
Securities
Trading1
BHEI
Amount
BHEI
Amount
BHEI
Amount

C117
C121
C126

LE63
LE64
LE65

LF45
LF46
LF47

C118
C122
C127

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

C136
C722

LE66
LE67

LF48
LF49

C137
C724

C131
C726
C145

LE68
LE69
LE70

LF50
LF51
LF52

C132
C728
C146

C150

LE71

LF53

C151

2.a.
2.b.
2.c.
2.d.
2.e.
3.

Memoranda
1. Domestic investments ..................................... C155
2. Foreign investments ....................................... C157

LE72
LE73

LF54
LF55

C156
C158

M.1.
M.2.

1. Column B is to be completed by all holding companies. See the instructions for further detail on accounting for investments in
equity securities.

12/2020

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