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pdfOTS Form 1313
Rev. March 2009 (proposed)
Thrift Financial Report
Proposed March 2009
Office of Thrift Supervision
1700 G Street, N.W.
Washington, DC 20552
OMB No. 1550-0023
OFFICE OF THRIFT SUPERVISION
THRIFT FINANCIAL REPORT
PAPERWORK REDUCTION ACT STATEMENT
The Office of Thrift Supervision will use this information to supervise the
savings associations and to develop regulatory policy.
Collection of the information is mandatory [12 CFR Part 563.180].
The estimated average burden associated with this collection of information
per response is 35.4 hours for quarterly schedules and 2.6 hours for
schedules only required annually (total of 144.2 hours annually). If a valid
OMB Control Number does not appear on this form, you are not required to
complete this form. Send comments regarding this burden estimate or any
other aspect of this collection of information, including suggestions for
reducing this burden to Information Collection Comments, Chief Counsel’s
Office, Office of Thrift Supervision, 1700 G Street, NW, Washington, DC
20552, and to the Office of Management and Budget, Paperwork Reduction
Project (1550-0023), Washington, DC 20503. All comments should
reference OMB Control Number 1550-0023.
OTS Form 1313
Rev. March 2009 (proposed)
Office of Thrift Supervision
2009 Thrift Financial Report
Officers’ and Directors’
Certification
Association ________________________
Docket Number _____________________
For the Thrift Financial Report as of ________________________, 2009
The Thrift Financial Report is required by OTS regulation 12 CFR 563.180 to be filed by all savings
associations as defined in 12 CFR 561.43. OTS regulation 12 CFR 563.180(b) requires that no false or
misleading statements or omission shall knowingly be made in financial reports filed with OTS. This
certification is required under 12 U.S.C. 1817(a) (3).
The Statements of Condition and Operations (including all supporting schedules) must be signed by an
authorized officer of the reporting savings association. The Statements of Condition and Operations are
to be prepared in accordance with Office of Thrift Supervision instructions
This certification form must be retained in the file of the reporting savings association and be available
for inspection by OTS.
I, _________________________________, of the
We, the undersigned directors, attest to the
correctness of this Statement of Condition (including
the supporting schedules) and declare that it has been
examined by us and to the best of our knowledge and
belief has been prepared in conformance with the
instructions issued by the Office of Thrift Supervision
and is true and correct.
(Name and Title of Officer Authorized to Sign Report)
named savings association do hereby declare that
these Statements of Condition and Operations
(including the supporting schedules) have been
prepared in conformance with the instructions
issued by the Office of Thrift Supervision and are
true to the best of my knowledge and belief.
_________________________________________
Director
________________________________________
_________________________________________
Signature of Officer Authorized to Sign Report
Director
________________________________________
_________________________________________
Date of Signature
Director
OTS Form 1313
-1-
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule NS – Optional Narrative Statement
OPTIONAL NARRATIVE STATEMENT
The management of the reporting savings association may, if it wishes, submit a brief narrative statement on the
amounts reported in the TFR or other pertinent information about your association that affects this report, such as
mergers and other structural changes. This optional statement will be made available to the public, along with
other public portions of the TFR. If you choose to submit a narrative statement, you should ensure that it does not
contain the names or other identification of individual customers, references to confidential (nonpublic) data items
of the TFR, or any other information that you are not willing to have made public or that would compromise the
privacy of your customers.
This statement should not exceed 750 characters, including punctuation and spacing. Any information in excess
of 750 characters will be truncated.
All information in this narrative statement must be accurate and not misleading. You should print a copy of this
statement and keep it with the TFR for your records. If subsequent to the original submission, you choose to
delete a narrative statement previously submitted, you may check “No” to the question below (NS100) and submit
an amended report in accordance with the TFR instructions. Your original statement will be deleted from all future
public releases of data. However, you should refer to the General Instructions in the TFR Instruction Manual to
assure that your amendment is filed timely.
The optional narrative statement will appear in OTS records and in releases to the public exactly as
submitted (or amended) by you. The statement will not be edited or screened in any way by OTS for
accuracy or relevance. Disclosure of the statement shall not signify that OTS has verified or confirmed
the accuracy of the information contained therein.
Have you included a narrative statement? ............................................................
NS100
Narrative Statement Made by Savings Association Management
NS110
OTS Form 1313
-2-
YES
NO
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Schedule SC – Consolidated Statement of Condition
Report Date __________________ , 2009
(Report in Thousands of Dollars)
ASSETS
Lines
Cash, Deposits, and Investment Securities:
Total ............................
Cash and Non-Interest-Earning Deposits .................................................................
Interest-Earning Deposits in FHLBs..........................................................................
Other Interest-Earning Deposits................................................................................
Federal Funds Sold and Securities Purchased Under Agreements to Resell...........
U.S. Government, Agency, and Sponsored Enterprise Securities............................
Equity Securities Subject to FASB Statement No. 115 .............................................
State and Municipal Obligations................................................................................
Securities Backed by Nonmortgage Loans ...............................................................
Other Investment Securities......................................................................................
Accrued Interest Receivable .....................................................................................
SC11
SC110
SC112
SC118
SC125
SC130
SC140
SC180
SC182
SC185
SC191
Mortgage-Backed Securities:
Total ............................
Pass-Through:
Insured or Guaranteed by an Agency or Sponsored Enterprise of the U.S. ...........
Other Pass-Through ................................................................................................
Other Mortgage-Backed Securities (Excluding Bonds):
Issued or Guaranteed by FNMA, FHLMC, or GNMA...............................................
Collateralized by Mortgage-Backed Securities Issued or Guaranteed by
FNMA, FHLMC, or GNMA......................................................................................
Other........................................................................................................................
Accrued Interest Receivable .....................................................................................
General Valuation Allowances .................................................................................
SC22
Mortgage Loans:
Total ............................
Construction Loans on:
1-4 Dwelling Units....................................................................................................
Multifamily (5 or More) Dwelling Units .....................................................................
Nonresidential Property ...........................................................................................
Permanent Mortgages on:
1-4 Dwelling Units:
Revolving, Open-End Loans ..................................................................................
All Other:
Secured by First Liens ..........................................................................................
Secured by Junior Liens .......................................................................................
Multifamily (5 or More) Dwelling Units .....................................................................
Nonresidential Property (Except Land)....................................................................
Land.........................................................................................................................
Thou
SC217
SC219
SC222
SC228
SC229
SC26
SC230
SC235
SC240
SC251
SC254
SC255
SC256
SC260
SC265
SC272
SC275
Allowance for Loan and Lease Losses .....................................................................
SC283
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Mil
SC210
SC215
Accrued Interest Receivable .....................................................................................
Advances for Taxes and Insurance...........................................................................
OTS Form 1313
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Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SC – Consolidated Statement of Condition
(Report in Thousands of Dollars)
Lines
Total ............................
SC31
Commercial Loans:
Total ............................
Secured ...................................................................................................................
Unsecured ...............................................................................................................
Lease Receivables ..................................................................................................
SC32
SC300
SC303
SC306
Consumer Loans:
Total ............................
Loans on Deposits ...................................................................................................
Home Improvement Loans (Not secured by real estate) .........................................
Education Loans ......................................................................................................
Auto Loans...............................................................................................................
Mobile Home Loans.................................................................................................
Credit Cards.............................................................................................................
Other, Including Lease Receivables ........................................................................
SC35
SC310
SC316
SC320
SC323
SC326
SC328
SC330
Accrued Interest Receivable .....................................................................................
SC348
Allowance for Loan and Lease Losses .....................................................................
SC357
Repossessed Assets:
Total ............................
Real Estate:
Construction ............................................................................................................
1-4 Dwelling Units....................................................................................................
Multifamily (5 or More) Dwelling Units .....................................................................
Nonresidential (Except Land) ..................................................................................
Land.........................................................................................................................
U.S. Government-Guaranteed or -Insured Real Estate Owned
Other Repossessed Assets.......................................................................................
General Valuation Allowances .................................................................................
SC40
SC405
SC415
SC425
SC426
SC428
SC429
SC430
SC441
Real Estate Held for Investment..............................................................................
SC45
Equity Investments Not Subject to FASB Statement No. 115:
Total ....
Federal Home Loan Bank Stock ...............................................................................
Other .........................................................................................................................
SC51
SC510
SC540
Office Premises and Equipment .............................................................................
SC55
Nonmortgage Loans:
OTS Form 1313
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Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SC – Consolidated Statement of Condition
(Report in Thousands of Dollars)
Lines
Other Assets:
Total ............................
Bank-Owned Life Insurance:
Key Person Life Insurance.......................................................................................
Other........................................................................................................................
Intangible Assets:
Servicing Assets On:
Mortgage Loans .....................................................................................................
Nonmortgage Loans...............................................................................................
Goodwill and Other Intangible Assets......................................................................
Interest-Only Strip Receivables and Certain Other Instruments ...............................
Other Assets .............................................................................................................
Memo: Detail of Other Assets
Code
Amount
SC691
SC692
SC693
SC694
SC697
SC698
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SC59
SC615
SC625
SC642
SC644
SC660
SC665
SC689
General Valuation Allowances....................................................................................
SC699
Total Assets ..............................................................................................................
SC60
LIABILITIES
Deposits and Escrows:
Total ............................
Deposits ....................................................................................................................
Escrows.....................................................................................................................
Unamortized Yield Adjustments on Deposits and Escrows .....................................
SC71
SC710
SC712
SC715
Borrowings:
Total ............................
Advances from FHLBank ..........................................................................................
Federal Funds Purchased and Securities Sold Under Agreements to Repurchase
Subordinated Debentures (Including Mandatory Convertible Securities and
Limited-Life Preferred Stock) ...................................................................................
Mortgage Collateralized Securities Issued:
CMOs (including REMICs).......................................................................................
Other Borrowings ......................................................................................................
SC72
SC720
SC730
OTS Form 1313
-5-
SC736
SC740
SC760
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SC – Consolidated Statement of Condition
(Report in Thousands of Dollars)
Lines
Total ............................
SC75
Accrued Interest Payable – Deposits ........................................................................
Accrued Interest Payable - Other..............................................................................
Accrued Taxes ..........................................................................................................
Accounts Payable .....................................................................................................
Deferred Income Taxes.............................................................................................
Other Liabilities and Deferred Income.......................................................................
Memo: Detail of Other Liabilities
Code
Amount
SC791
SC792
SC794
SC795
SC797
SC798
SC763
SC766
SC776
SC780
SC790
SC796
Total Liabilities .........................................................................................................
SC70
Other Liabilities:
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EQUITY CAPITAL
Perpetual Preferred Stock:
Cumulative ................................................................................................................
Noncumulative ..........................................................................................................
SC812
SC814
Common Stock:
Par Value .................................................................................................................
Paid in Excess of Par...............................................................................................
SC820
SC830
Accumulated Other Comprehensive Income:
Total ............................
Unrealized Gains (Losses) on Available-for-Sale Securities.....................................
Gains (Losses) on Cash Flow Hedges .....................................................................
Other .........................................................................................................................
SC86
SC860
SC865
SC870
Retained Earnings ......................................................................................................
SC880
Other Components of Equity Capital......................................................................
SC891
Total Savings Association Equity Capital..............................................................
SC80
Noncontrolling Interests in Consolidated Subsidiaries ...............................................
SC800
Total Equity Capital ..................................................................................................
SC84
Total Liabilities and Equity Capital ........................................................................
SC90
OTS Form 1313
-6-
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SO – Consolidated Statement of Operations
(Report in Thousands of Dollars)
For the Quarter
Lines
Interest Income:
Total ............................
Deposits and Investment Securities..........................................................................
Mortgage-Backed Securities .....................................................................................
Mortgage Loans ........................................................................................................
Prepayment Fees, Late Fees, and Assumption Fees for Mortgage Loans.............
Nonmortgage Loans:
Commercial Loans and Leases ...............................................................................
Prepayment Fees, Late Fees, and Assumption Fees for Commercial Loans ......
Consumer Loans and Leases..................................................................................
Prepayment Fees, Late Fees, and Assumption Fees for Consumer Loans .........
SO18
SO181
SO185
Interest Expense:
Total.............................
Deposits ....................................................................................................................
Escrows.....................................................................................................................
Advances from FHLBank ..........................................................................................
Subordinated Debentures (Including Mandatory Convertible Securities) .................
Mortgage Collateralized Securities Issued................................................................
Other Borrowed Money .............................................................................................
Capitalized Interest ...................................................................................................
SO21
SO215
SO225
SO230
SO240
SO250
SO260
SO271
Net Interest Income (Expense) Before Provision for Losses on
Interest-Bearing Assets..........................................................................................
SO312
Net Provision for Losses on Interest-Bearing Assets .................................................
SO321
Net Interest Income (Expense) After Provision for Losses on
Interest-Bearing Assets..........................................................................................
SO332
OTS Form 1313
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SO160
SO162
SO171
SO172
Dividend Income on Equity Investments Not Subject to
FASB Statement No. 115:
Total ............................
Federal Home Loan Bank Stock ...............................................................................
Other .........................................................................................................................
Noninterest Income
Total.............................
Mortgage Loan Servicing Fees .................................................................................
Amortization of and Fair Value Adjustments to Loan Servicing Assets
And Loan Servicing Liabilities..................................................................................
Other Fees and Charges...........................................................................................
Net Income (Loss) from:
Sale of Assets Held for Sale and Available-for-Sale Securities...............................
Other-than-Temporary Impairment Charges on Debt and Equity Securities ...........
Operations and Sale of Repossessed Assets .........................................................
LOCOM Adjustments Made to Assets Held for Sale ...............................................
Sale of Securities Held-to-Maturity ..........................................................................
Sale of Loans Held for Investment...........................................................................
Bil
SO11
SO115
SO125
SO141
SO142
SO42
SO410
SO411
SO420
SO430
SO441
SO461
SO465
SO467
SO475
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SO – Consolidated Statement of Operations
(Report in Thousands of Dollars)
For the Quarter
Lines
Sale of Other Assets Held for Investment................................................................
Gains and Losses on Financial Assets and Liabilities Carried at Fair Value...........
Other Noninterest Income .........................................................................................
Memo: Detail of Other Noninterest Income
Code
SO489
SO495
SO497
Bil
Mil
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SO477
SO485
SO488
Amount
SO492
SO496
SO498
(Report in Thousands of Dollars)
For the Quarter
Lines
Noninterest Expense:
Total ............................
All Personnel Compensation and Expense...............................................................
Legal Expense ..........................................................................................................
Office Occupancy and Equipment Expense..............................................................
Marketing and Other Professional Services..............................................................
Loan Servicing Fees .................................................................................................
Goodwill and Other Intangibles Expense ..................................................................
Net Provision for Losses on Non-Interest-Bearing Assets ........................................
Other Noninterest Expense.......................................................................................
Memo: Detail of Other Noninterest Expense
Code
SO581
SO583
SO585
Mil
Thou
SO51
SO510
SO520
SO530
SO540
SO550
SO560
SO570
SO580
Amount
SO582
SO584
SO586
Income (Loss) Before Income Taxes:.....................................................................
SO60
Income Taxes:
Total.............................
Federal ......................................................................................................................
State, Local, and Other .............................................................................................
SO71
SO710
SO720
Income (Loss) Before Extraordinary Items and Effects of Accounting Changes
SO81
Extraordinary Items, Net of Tax Effect ...................................................................
SO811
Net Income (Loss) Attributable to Savings Association and Noncontrolling
Interests...................................................................................................................
Net Income (Loss) Attributable to Noncontrolling Interests .......................................
Net Income (Loss) Attributable to Savings Association ......................................
SO88
SO880
SO91
OTS Form 1313
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Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule VA – Consolidated Valuation Allowances and Related Data
Reconciliation
Lines
Beginning Balance .............................
Add or Deduct:
Net Provision for Loss ......................
Transfers ..........................................
Add:
Recoveries........................................
Adjustments......................................
Deduct:
Charge-offs.......................................
Ending Balance..................................
(Report in Thousands of Dollars for the Quarter)
Valuation Allowances
General
Specific
Total
Bil
Mil Thou
Lines Bil
Mil Thou
Lines Bil
Mil Thou
VA105
VA108
VA110
VA115
VA125
VA118
VA128
VA120
VA135
VA145
VA148
VA140
VA150
VA155
VA165
VA158
VA168
VA160
VA170
Charge-offs, Recoveries, and Specific Valuation Allowance Activity
General Valuation Allowances
Charge-offs
(VA 155)
Lines Bil
Mil Thou
Recoveries
(VA135)
Lines Bil
Mil Thou
Specific Valuation
Allowance Provisions
& Transfers from
General Allowances
(VA118 + VA128)
Lines Bil
Mil Thou
Adjusted Net
Charge-offs
Lines Bil
Mil Thou
Deposits and Investment
Mortgage-Backed Securities ... VA370
VA371
VA38
VA372
VA39
VA375
Total ....... VA46
VA47
VA48
VA49
1-4 Dwelling Units................... VA420
VA421
VA422
VA425
VA431
VA441
VA432
VA442
VA435
VA445
VA447
VA448
VA449
VA457
VA467
VA458
VA468
VA459
VA469
VA471
VA472
VA475
VA481
VA491
VA482
VA492
VA485
VA495
Securities.................................
Mortgage Loans:
Construction:
Multifamily (5 or More)
Dwelling Units....................... VA430
Nonresidential Property.......... VA440
Permanent:
1-4 Dwelling Units:
Revolving, Open-End Loans VA446
All Other:
Secured by First Liens ....... VA456
Secured by Junior Liens..... VA466
Multifamily (5 or More)
Dwelling Units....................... VA470
Nonresidential Property
(Except Land) ....................... VA480
Land........................................ VA490
OTS Form 1313
-9-
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule VA – Consolidated Valuation Allowances and Related Data
(Report in Thousands of Dollars for the Quarter)
General Valuation Allowances
Charge-offs
(VA 155)
Lines Bil
Nonmortgage Loans: Total ... VA56
Commercial Loans.................... VA520
Mil Thou
Recoveries
(VA135)
Lines Bil
VA57
VA521
Mil Thou
Specific Valuation
Allowance Provisions
& Transfers from
General Allowances
(VA118 + VA128)
Lines Bil
VA58
VA522
Mil Thou
Adjusted Net
Charge-offs
Lines Bil
VA59
VA525
Mil Thou
Consumer Loans:
Loans on Deposits.................. VA510
Home Improvement Loans ..... VA516
Education Loans..................... VA530
Auto Loans ............................. VA540
Mobile Home Loans................ VA550
Credit Cards ........................... VA556
Other....................................... VA560
VA511
VA517
VA531
VA541
VA551
VA557
VA561
Repossessed Assets: Total ... VA60
VA512
VA518
VA532
VA542
VA552
VA558
VA562
VA515
VA519
VA535
VA545
VA555
VA559
VA565
VA62
VA65
VA606
VA614
VA607
VA615
VA617
VA626
VA629
VA632
VA618
VA627
VA631
VA633
VA72
VA75
VA822
VA932
VA825
VA935
Real Estate:
Construction ........................... VA605
1-4 Dwelling Units................... VA613
Multifamily (5 or More)
Dwelling Units....................... VA616
Nonresidential (Except Land) . VA625
Land........................................ VA628
Other Repossessed Assets ...... VA630
Real Estate Held for
Investment...............................
Equity Investments Not Subject
to FASB Statement No. 115 ...
Other Assets ............................. VA930
OTS Form 1313
VA931
- 10 -
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule VA – Consolidated Valuation Allowances and Related Data
OTHER ITEMS
(Report in Thousands of Dollars)
Troubled Debt Restructured:
Amount this Quarter ..................................................................................................
Amount Included in Schedule SC in Compliance with Modified Terms ....................
Mortgage Loans Foreclosed During the Quarter:
Total.............................
Construction ..............................................................................................................
Permanent Loans Secured By:
1-4 Dwelling Units....................................................................................................
Multifamily (5 or More) Dwelling Units .....................................................................
Nonresidential (Except Land) ..................................................................................
Land.........................................................................................................................
Classification of Assets:
End of Quarter Balances:
Special Mention .......................................................................................................
Substandard ............................................................................................................
Doubtful ...................................................................................................................
Loss .........................................................................................................................
Purchased Impaired Loans Held for Investment Accounted for in
Accordance with AICPA SOP 03-3 (Exclude Loans Held for Sale):
Outstanding Balance (Contractual)..........................................................................
Recorded Investment (Carrying Amount Before Deducting Any Loan
Loss Allowances)..................................................................................................
Allowance Amount Included in Allowance for Loan and Lease
Losses (SC283, SC357) .......................................................................................
OTS Form 1313
- 11 -
Lines
Bil
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VA940
VA942
VA95
VA951
VA952
VA953
VA954
VA955
VA960
VA965
VA970
VA975
VA980
VA981
VA985
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule PD – Consolidated Past Due and Nonaccrual
PAST DUE AND STILL ACCRUING
30 – 89 DAYS
90 DAYS OR MORE
Mortgage Loans:
Construction...............................................
Permanent, Secured by:
1-4 Dwelling Units:
Revolving, Open-End Loans...................
All Other:
Secured by First Liens ..........................
Secured by Junior Liens .......................
Multifamily (5 or More) Dwelling Units ......
Nonresidential Property (Except Land).....
Land .........................................................
Nonmortgage Loans:
Commercial Loans .....................................
Consumer Loans:
Loans on Deposits....................................
Home Improvement Loans .......................
Education Loans.......................................
Auto Loans ...............................................
Mobile Home Loans .................................
Credit Cards .............................................
Other ........................................................
Total..............................................................
Memoranda:
Troubled Debt Restructured Included
in PD115-PD380..........................................
Loans and Leases Reported in PD115-PD380
That Are Held for Sale .................................
Loans and Leases Reported in PD115-PD380
That Are Wholly or Partially Guaranteed
By the U.S. Government, Agency, or
Sponsored Entity .......................................
Guaranteed Portion of Other Loans and
Leases Included in PD195-PD395
(Exclude Rebooked “GNMA Loans”) ...........
Rebooked “GNMA Loans” Repurchased
or Eligible for Repurchase Included in
PD195-PD395..............................................
OTS Form 1313
NONACCRUAL
(Report in Thousands of Dollars)
(Report in Thousands of Dollars)
(Report in Thousands of Dollars)
Lines
Lines
Lines
Bil
Mil Thou
Bil
Mil Thou
PD115
PD215
PD315
PD121
PD221
PD321
PD123
PD124
PD125
PD135
PD138
PD223
PD224
PD225
PD235
PD238
PD323
PD324
PD325
PD335
PD338
PD140
PD240
PD340
PD161
PD163
PD165
PD167
PD169
PD171
PD180
PD261
PD263
PD265
PD267
PD269
PD271
PD280
PD361
PD363
PD365
PD367
PD369
PD371
PD380
PD10
PD20
PD30
PD190
PD290
PD390
PD192
PD292
PD392
PD195
PD295
PD395
PD196
PD296
PD396
PD197
PD297
PD397
- 12 -
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Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Schedule LD – Loan Data
Report Date __________________ , 2009
HIGH LOAN-TO-VALUE LOANS SECURED BY 1-4 FAMILY RESIDENTIAL
PROPERTIES, WITHOUT PMI OR GOVERNMENT GUARANTEE
(Report in Thousands of Dollars)
Balances at Quarter-end:
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
Past Due and Nonaccrual Balances:
Past Due and Still Accruing:
30-89 Days:
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
90 Days or More:
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
Nonaccrual:
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
Lines
Thou
LD230
LD240
LD250
LD260
LD310
LD320
Purchases:
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
LD410
LD420
Originations:
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
LD430
LD440
Sales:
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
LD450
LD460
SUPPLEMENTAL LOAN DATA FOR ALL LOANS
1-4 Dwelling Units Construction-to-Permanent Loans................................................
Owner-Occupied Multifamily Permanent Loans .........................................................
Owner-Occupied Nonresidential Property (Except Land) Permanent Loans .............
LD510
LD520
LD530
1-4 Dwelling Units Option ARM Loans .......................................................................
1-4 Dwelling Units ARM Loans with Negative Amortization .......................................
Total Capitalized Negative Amortization.....................................................................
LD610
LD620
LD650
- 13 -
Mil
LD210
LD220
Charge-offs and Recoveries:
Net Charge-offs (including Specific Valuation Allowance Provisions & Transfers
From General to Specific Allowances):
90% up to 100% LTV .............................................................................................
100% and greater LTV ...........................................................................................
OTS Form 1313
Bil
LD110
LD120
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule CC – Consolidated Commitments and Contingencies
Commitments Outstanding:
Undisbursed Balance of Loans Closed (Loans-in-Process
Excluding Lines of Credit):
Mortgage Construction Loans ................................................................................
Other Mortgage Loans ...........................................................................................
Nonmortgage Loans...............................................................................................
CC105
CC115
CC125
To Originate Mortgages Secured by:
1-4 Dwelling Units....................................................................................................
Multifamily (5 or More) Dwelling Units .....................................................................
All Other Real Estate ...............................................................................................
To Originate Nonmortgage Loans.............................................................................
To Purchase Loans ...................................................................................................
To Sell Loans ............................................................................................................
To Purchase Mortgage-Backed Securities................................................................
To Sell Mortgage-Backed Securities.........................................................................
To Purchase Investment Securities ..........................................................................
To Sell Investment Securities....................................................................................
CC280
CC290
CC300
CC310
CC320
CC330
CC335
CC355
CC365
CC375
Lines and Letters of Credit:
Unused Lines of Credit:
Revolving, Open-End Loans on 1-4 Dwelling Units.................................................
Commercial Lines ....................................................................................................
Open-End Consumer Lines:
Credit Cards ...........................................................................................................
Other ......................................................................................................................
(Report in Thousands of Dollars)
Lines
Thou
CC423
CC425
CC430
CC435
Recourse Obligations and Direct Credit Substitutes:
Total Principal Amount of Assets Covered by Recourse Obligations or
Direct Credit Substitutes ..........................................................................................
CC455
Amount of Direct Credit Substitutes on Assets in CC455 .........................................
Amount of Recourse Obligations on Assets in CC455..............................................
CC465
CC468
Other Contingent Liabilities ....................................................................................
CC480
Contingent Assets....................................................................................................
CC490
- 14 -
Mil
CC412
CC420
Letters of Credit:
Commercial..............................................................................................................
Standby, Not Included on CC465 or CC468............................................................
OTS Form 1313
Bil
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule CF – Consolidated Cash Flow Information
Mortgage-Backed Securities:
Pass-Through:
Purchases................................................................................................................
Sales........................................................................................................................
Other Balance Changes ..........................................................................................
Other Mortgage-Backed Securities:
Purchases................................................................................................................
Sales........................................................................................................................
Other Balance Changes ..........................................................................................
Mortgage Loans:
Mortgage Loans Disbursed:
Construction Loans on:
1-4 Dwelling Units ..................................................................................................
Multifamily (5 or More) Dwelling Units....................................................................
Nonresidential ........................................................................................................
Permanent Loans on:
1-4 Dwelling Units ..................................................................................................
Home Equity and Junior Liens .............................................................................
Multifamily (5 or More) Dwelling Units....................................................................
Nonresidential (Except Land) .................................................................................
Land .......................................................................................................................
Loans and Participations Purchased, Secured By:
1-4 Dwelling Units....................................................................................................
Purchased from Entities Other than Federally-Insured Depository Institutions
or Their Subsidiaries.........................................................................................
Home Equity and Junior Liens..............................................................................
Multifamily (5 or More) Dwelling Units .....................................................................
Nonresidential..........................................................................................................
Loans and Participations Sold, Secured By:
1-4 Dwelling Units....................................................................................................
Home Equity and Junior Liens..............................................................................
Multifamily (5 or More) Dwelling Units .....................................................................
Nonresidential..........................................................................................................
Memo: Refinancing Loans .......................................................................................
Nonmortgage Loans:
Commercial:
Closed or Purchased ...............................................................................................
Sales........................................................................................................................
Consumer:
Closed or Purchased ...............................................................................................
Sales........................................................................................................................
Deposits:
Interest Credited to Deposits..................................................................................
OTS Form 1313
- 15 -
(Report in Thousands of Dollars)
For the Quarter
Lines
Bil
Mil
Thou
CF143
CF145
CF148
CF153
CF155
CF158
CF190
CF200
CF210
CF225
CF226
CF245
CF260
CF270
CF280
CF281
CF282
CF290
CF300
CF310
CF311
CF320
CF330
CF361
CF390
CF395
CF400
CF405
CF430
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule DI – Consolidated Deposit Information
Deposit Data:
Total Broker-Originated Deposits:
Fully Insured ............................................................................................................
Other........................................................................................................................
Deposits (Excluding Retirement Accounts) with Balances:
$100,000 or Less .....................................................................................................
Greater than $100,000.............................................................................................
Number of Deposit Accounts (Excluding Retirement Accounts) with Balances:
$100,000 or Less ............................................................................ Actual Number
Greater than $100,000.................................................................... Actual Number
Retirement Deposits with Balances:
$250,000 or Less .....................................................................................................
Greater Than $250,000 ...........................................................................................
Number of Retirement Deposit Accounts with Balances:
$250,000 or Less............................................................................. Actual Number
Greater Than $250,000 ................................................................... Actual Number
(Report in Thousands of Dollars)
Lines
Thou
DI150
DI160
DI170
DI175
DI180
DI185
DI200
DI210
DI220
Non-Interest-Bearing Demand Deposits.....................................................................
DI610
- 16 -
Mil
DI120
DI130
IRA/Keogh Accounts .................................................................................................
Uninsured Deposits...................................................................................................
Preferred Deposits ....................................................................................................
Components of Deposits and Escrows:
Transaction Accounts (Including Demand Deposits)...............................................
Money Market Deposit Accounts .............................................................................
Passbook Accounts (Including Nondemand Escrows) ............................................
Time Deposits..........................................................................................................
Time Deposits of $100,000 or Greater (Excluding Brokered Time Deposits
Participated Out by the Broker in Shares of Less Than $100,000 and
Brokered Certificates of Deposit Issued in $1,000 Amounts Under a Master
Certificate of Deposit) ........................................................................................
IRA/Keogh Accounts of $100,000 or Greater Included in Time Deposits.............
OTS Form 1313
Bil
DI100
DI110
DI310
DI320
DI330
DI340
DI350
DI360
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule DI – Consolidated Deposit Information
(Report in Thousands of Dollars)
Lines
Bil
Mil
Thou
Deposit Data for Deposit Insurance Premium Assessments:
Quarter-End Deposit Totals:
Total Deposit Liabilities Before Exclusions (Gross) as Defined in Section 3(l) of the
FDI Act and FDIC Regulations ................................................................................
Total Allowable Exclusions (Including Foreign Deposits) ...........................................
Total Foreign Deposits (Included in Total Allowable Exclusions) ...............................
Average Daily Deposit Totals:
Total Daily Average of Deposit Liabilities Before Exclusions (Gross) as Defined in
Section 3(l) of the FDI Act and FDIC Regulations ...................................................
Total Daily Average of Allowable Exclusions (Including Foreign Deposits)................
Total Daily Average of Foreign Deposits (Included in Total Daily Average of
Allowable Exclusions)..............................................................................................
DI510
DI520
DI530
DI540
DI550
DI560
Deposit Data for Thrifts Participating in the Transaction Account Guarantee
Program Component of the FDIC's Temporary Liquidity Guarantee Program:
Amount of Noninterest-bearing Transaction Accounts of More than $250,000
(Including Balances Swept from Noninterest-bearing Transaction Accounts to
Noninterest-bearing Savings Accounts) ..................................................................
Number of Noninterest-bearing Transaction Accounts of More than $250,000 .........
OTS Form 1313
- 17 -
DI570
DI575
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SI – Consolidated Supplemental Information
(Report in Thousands of Dollars)
Miscellaneous:
Number of Full-time Equivalent Employees ..............................................................
Financial Assets Held for Trading Purposes .............................................................
Financial Assets Carried at Fair Value through Earnings .........................................
Financial Liabilities Carried at Fair Value through Earnings .....................................
Available-for-Sale Securities .....................................................................................
Assets Held for Sale..................................................................................................
Loans Serviced for Others ........................................................................................
Lines
Bil
Mil
Thou
SI370
SI375
SI376
SI377
SI385
SI387
SI390
Residual Interests:
Residual Interests in the Form of Interest-Only Strips ..............................................
Other Residual Interests ...........................................................................................
SI402
SI404
Qualified Thrift Lender Test:
Actual Thrift Investment Percentage at Month-end:
First Month of Quarter..............................................................................................
Second Month of Quarter ........................................................................................
Third Month of Quarter ............................................................................................
SI581
SI582
SI583
__ __ __ . __ __%
__ __ __ . __ __%
__ __ __ . __ __%
IRS Domestic Building and Loan Test:
Percent of Assets Test ..............................................................................................
Do you meet the DBLA business operations test?....................................................
SI585
SI586
__ __ __ . __ __%
Aggregate Investment in Service Corporations ....................................................
SI588
YES
NO
Extensions of credit by the reporting association (and its controlled subsidiaries) to its executive
officers, principal shareholders, directors, and their related interests as of the report date:
Aggregate amount of all extensions of credit ............................................................ SI590
Number of executive officers, principal shareholders, and directors to whom the
amount of all extensions of credit (including extensions of credit to related
interests) equals or exceeds the lesser of $500,000 or 5 percent of unimpaired
capital and unimpaired surplus (CCR30 + CCR35 + CCR530 + CCR105)...............
Summary of Changes in Savings Association Equity Capital:
Savings Association Equity Capital, Beginning Balance from Prior Qtr (SC80)........
Net Income (Loss) Attributable to Savings Association (SO91) ................................
Dividends Declared:
Preferred Stock........................................................................................................
Common Stock ........................................................................................................
Stock Issued ...............................................................................................................
Stock Retired ..............................................................................................................
OTS Form 1313
- 18 -
SI595
SI600
SI610
SI620
SI630
SI640
SI650
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SI – Consolidated Supplemental Information
(Report in Thousands of Dollars)
Lines
Capital Contributions (Where No Stock is Issued) ....................................................
New Basis Accounting Adjustments..........................................................................
Other Comprehensive Income ..................................................................................
Prior Period Adjustments ..........................................................................................
Other Adjustments ....................................................................................................
Savings Association Equity Capital, Ending Balance (SC80) (600 + 610 – 620
– 630 + 640 – 650 + 655 + 660 + 662 + 668 + 671) ................................................
Transactions With Affiliates:
Activity During the Quarter of Covered Transactions with Affiliates
Subject to Quantitative Limits ..................................................................................
Activity During the Quarter of Other Covered Transactions with Affiliates
Not Subject to Quantitative Limits............................................................................
Thou
SI750
SI760
SI805
SI815
SI860
Average Balance Sheet Data (Based on Month-End Data):
Total Assets ..............................................................................................................
Deposits and Investments Excluding Non-Interest-Earning Items ............................
Mortgage Loans and Mortgage-Backed Securities ...................................................
Nonmortgage Loans..................................................................................................
Deposits and Escrows...............................................................................................
Total Borrowings .......................................................................................................
SI870
SI875
SI880
SI885
SI890
SI895
- 19 -
Mil
SI680
Mutual Fund and Annuity Sales:
Do you sell private-label or third-party mutual funds and annuities? ........................
Total Assets you Manage of Proprietary Mutual Funds and Annuities .....................
Fee Income from the Sale and Servicing of Mutual Funds and Annuities ................
OTS Form 1313
Bil
SI655
SI660
SI662
SI668
SI671
YES
NO
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SQ – Consolidated Supplemental Questions
All questions except 310 should be completed for the reporting savings
association only.
Lines
Check the
Appropriate Box
mm
Your fiscal year-end....................................................................................................
SQ270
____
Code representing nature of work to be performed by independent public
accountants for the current fiscal year ......................................................................
SQ280
____
Did you change your independent public accountant during the quarter? .................
SQ300
YES
NO
Did you and your consolidated subsidiaries have any outstanding futures or options
positions at quarter-end? ..........................................................................................
SQ310
YES
NO
Do you have a Subchapter S election in effect for federal income tax purposes
for the current tax year? ............................................................................................
SQ320
YES
NO
Have you been consolidated with your parent in another TFR? If so, enter the OTS
docket number of your parent savings association. ..................................................
SQ410
Have you been consolidated with your parent in a Commercial Bank Call Report?
If so, enter the FDIC certificate number of your parent commercial bank. ................
SQ420
Web Site Information:
If you have a web page on the Internet, indicate your main Internet home page
address (for transactional or nontransactional web sites).
(78 characters maximum)
SQ530
Do you provide transactional Internet banking to your customers,
as defined in 12 CFR 555.300(b)?...........................................................................
SQ540
YES
NO
OTS Form 1313
- 20 -
____
Code
____
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule SB – Consolidated Small Business Loans
The following data is to be completed annually at June 30 to comply with
Section 122 of the FDIC Improvement Act:
Do you have any small business loans to report in this schedule?...........................
Loans to Small Businesses and Small Farms:
Do you have any loans secured primarily by farms reported
on SC260 or any loans to finance agricultural production or other loans to
farmers reported on SC300, 303, and 306? ............................................................
If 100 is yes, complete lines 300 through 650 (Do not complete 110 thru 210).
If no, complete the following item,110.
Are all or substantially all of your commercial loans (Schedule SC
lines 260, 300, 303, and 306) loans with original amounts of $100,000 or less? ....
If 110 is yes, complete the following lines, 200 and 210, only. If no, complete
Lines 300 through 450, only.
ANNUALLY
Lines
SB010
YES
NO
SB100
YES
NO
SB110
YES
NO
Number of loans reported on lines:
SC260 ....................................................................................................................... SB200
SC300, 303, and 306 ................................................................................................ SB210
Number and amount outstanding of permanent mortgage
loans secured by nonfarm, nonresidential properties
reported on SC260:
With original amounts of:
$100,000 or less..................................................................
Greater than $100,000 thru $250,000 .................................
Greater than $250,000 thru $1 million.................................
Number and amount outstanding of nonmortgage,
nonagricultural commercial loans reported on SC300, 303,
and 306:
With original amounts of:
$100,000 or less..................................................................
Greater than $100,000 thru $250,000 .................................
Greater than $250,000 thru $1 million.................................
Number and amount outstanding of loans secured primarily
by farms reported on SC260:
With original amounts of:
$100,000 or less..................................................................
Greater than $100,000 thru $250,000 .................................
Greater than $250,000 thru $500,000 .................................
Number and amount outstanding of nonmortgage,
commercial loans to finance agricultural production and
other nonmortgage commercial loans to farmers reported
on SC300, 303, and 306:
With original amounts of:
$100,000 or less..................................................................
Greater than $100,000 thru $250,000 .................................
Greater than $250,000 thru $500,000 .................................
OTS Form 1313
Outstanding
Balance
Number of Loans
Actual Number
(Report in Thousands of Dollars)
Bil
Mil
Thou
SB300
SB320
SB340
SB310
SB330
SB350
SB400
SB420
SB440
SB410
SB430
SB450
SB500
SB520
SB540
SB510
SB530
SB550
SB600
SB620
SB640
SB610
SB630
SB650
- 21 -
Actual Number
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule FS – Fiduciary and Related Services
Lines
Does your institution have fiduciary powers? ............................................................. FS110
YES
NO
If the answer to item 1 is ”NO,” do not complete Schedule FS
Does your institution exercise the fiduciary powers it has been granted? .................. FS120
YES
NO
Does your institution have any fiduciary or related activity (in the form of assets or
accounts) to report in this schedule? ........................................................................ FS130
YES
NO
If the answer to FS130 is ”NO,” do not complete the rest of Schedule FS.
If the answer to FS130 is “YES,” complete the applicable items of Schedule FS as follows:
• If your total fiduciary assets (FS20 + FS21) are greater than $250 million or for the preceding calendar year,
your gross fiduciary and related services income was greater than 10 percent of total revenue (net interest
income plus noninterest income), you must complete:
1. FS210 through FS30 each quarter;
2. FS391 through FS35 annually, with the December report; and
3. All memoranda items, FS410 through FS72, annually with the December report.
• If your total fiduciary assets (FS20 + FS21) are greater than $100 million but less than or equal to $250 million
and, for the preceding calendar year, your gross fiduciary and related services income was not greater than 10
percent of total revenue (net interest income plus noninterest income), you must complete:
1. FS210 through FS291 each quarter; and
2. FS310 through FS35 and all memorandum items, FS410 through FS72 annually with the
December report.
• If your total fiduciary assets (FS20 + FS21) are $100 million or less and, for the preceding calendar year, your
gross fiduciary and related services income was not greater than 10 percent of total revenue (net interest
income plus noninterest income), you must complete:
1. FS210 through FS291 each quarter; and
2. Memorandum items, FS410 through FS65, annually with the December report.
(Report in Actual Numbers)
(Report in Thousands of Dollars)
Managed Assets
Nonmanaged Assets
FIDUCIARY AND RELATED ASSETS Lines Bil
Mil Thou Lines Bil
Mil Thou
Personal Trust and Agency Accounts.. FS210
FS211
Retirement-related Trust and Agency Accounts:
Employee Benefit –
Defined Contribution........................ FS220
FS221
Employee Benefit –
Defined Benefit ................................ FS230
FS231
Other Retirement Accounts............... FS240
FS241
Corporate Trust and Agency Accounts
FS250
FS251
Investment Management Agency
Accounts ............................................. FS260
Other Fiduciary Accounts..................... FS270
FS271
Total Fiduciary Accounts ..................
FS20
FS21
Custody and Safekeeping Accounts ....
FS280
Assets Included Above that are
Excluded for Purposes of the OTS
Assessment Complexity Component.. FS290
FS291
OTS Form 1313
- 22 -
Number of
Managed
Accounts
Number of
Nonmanaged
Accounts
Lines
FS212
Lines
FS213
FS222
FS223
FS232
FS242
FS252
FS233
FS243
FS253
FS262
FS272
FS22
FS273
FS23
FS281
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule FS – Fiduciary and Related Services
FIDUCIARY AND RELATED SERVICES INCOME (CALENDAR YEAR-TO-DATE)
(Report Calendar Year-to-Date in
Thousands of Dollars)
Lines
Personal Trust and Agency Accounts ........................................................................
Retirement-related Trust and Agency Accounts:
Employee Benefit – Defined Contribution .................................................................
Employee Benefit – Defined Benefit .........................................................................
Other Retirement Accounts.......................................................................................
Corporate Trust and Agency Accounts ......................................................................
Investment Management Agency Accounts ...............................................................
Other Fiduciary Accounts ...........................................................................................
Custody and Safekeeping Accounts...........................................................................
Other Fiduciary and Related Services Income ...........................................................
Total Gross Fiduciary and Related Services Income (310 thru 390) ...................
Less: Expenses ..........................................................................................................
Less: Net Losses from Fiduciary and Related Services .............................................
Plus: Intracompany Income Credits for Fiduciary and Related Services....................
Net Fiduciary and Related Services Income (30 – 391 – 392 + 393) ....................
Bil
Mil
Thou
Bil
Mil
Thou
FS310
FS320
FS330
FS340
FS350
FS360
FS370
FS380
FS390
FS30
FS391
FS392
FS393
FS35
Memoranda
Managed Assets Held in Personal Trust and Agency Accounts:
Non-Interest-Bearing Deposits..................................................................................
Interest-Bearing Deposits .........................................................................................
U.S. Treasury and U.S. Government Agency Obligations ........................................
State, County, and Municipal Obligations .................................................................
Money Market Mutual Funds ....................................................................................
Other Short-term Obligations ....................................................................................
Other Notes and Bonds ............................................................................................
Common and Preferred Stocks.................................................................................
Real Estate Mortgages .............................................................................................
Real Estate ...............................................................................................................
Miscellaneous Assets ...............................................................................................
Total Managed Assets Held in Personal Trust and Agency Accounts
(410 thru 460) (Must equal FS210) .......................................................................
Lines
FS410
FS415
FS420
FS425
FS430
FS435
FS440
FS445
FS450
FS455
FS460
FS40
(Report in Thousands of Dollars)
Principal Amount
Outstanding
Number of Issues
Lines
Corporate Trust and Agency Accounts:
Corporate and Municipal Trusteeships ..............................
Transfer Agent, Registrar, Paying Agent, and Other
Corporate Agency.............................................................
OTS Form 1313
- 23 -
FS510
Number
Lines
Bil
Mil
Thou
FS515
FS520
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule FS – Fiduciary and Related Services
Memoranda – Continued
(Actual Number)
(Report in Thousands of Dollars)
Number of Funds
Market Value of
Fund Assets
Number
Lines
Collective Investment Funds and Common Trust Funds:
Domestic Equity ....................................................................
International/Global Equity ....................................................
Stock/Bond Blend .................................................................
Taxable Bond........................................................................
Municipal Bond .....................................................................
Short-Term Investments/Money Market................................
Specialty/Other .....................................................................
Total Collective Investment Funds....................................
FS610
FS620
FS630
FS640
FS650
FS660
FS670
FS60
Lines
Bil
Mil
Thou
FS615
FS625
FS635
FS645
FS655
FS665
FS675
FS65
(Report Calendar Year-to-Date in Thousands of Dollars)
Gross Losses
Managed Accounts
Fiduciary Settlements, Surcharges, and Other
Losses (Calendar Year-to-Date):
Personal Trust and Agency Accounts ..................
Retirement-Related Trust and Agency Accounts..
Investment Management Agency Accounts .........
Other Fiduciary Accounts and Related Services ..
Total Fiduciary Settlements, Surcharges, and
Other Losses (70 + 71 – 72 = 392)....................
OTS Form 1313
Lines
Mil
Thou
Recoveries
Nonmanaged Accounts
Lines
Mil
Thou
Lines
FS710
FS720
FS730
FS740
FS711
FS721
FS731
FS741
FS712
FS722
FS732
FS742
FS70
FS71
FS72
- 24 -
Mil
Thou
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule HC – Thrift Holding Company
Holding Company Number ......................................................................................... HC100
H
Fiscal Year End .......................................................................................................... HC110
____
mm
____
Stock Exchange Ticker Symbol.................................................................................. HC125
SEC File Number ........................................................................................ HC130
Website Address (78 characters maximum)........ HC140
Parent Only
(Report in Thousands of Dollars)
Lines
Total Assets........................................................... HC210
Total Liabilities....................................................... HC220
Noncontrolling Interests in
Consolidated Subsidiaries ...................................
Total Equity ........................................................... HC240
Bil
Mil
Thou
Consolidated
(Report in Thousands of Dollars)
Lines
Thou
HC620
HC630
HC635
HC640
Included in Total Assets:
Receivable from Subsidiaries:
Thrift ...................................................................
Other Subsidiaries ..............................................
Investment in Subsidiaries:
Thrift ...................................................................
Other Subsidiaries ..............................................
Intangible Assets:
Mortgage Servicing Assets .................................
Nonmortgage Servicing Assets and Other .........
Deferred Policy Acquisition Costs ........................
HC650
HC655
HC660
OTS Form 1313
Mil
HC600
HC610
Net Income (Loss) Attributable to
Holding Company and Noncontrolling Interests ..
Net Income (Loss) Attributable to Holding Co. ...... HC250
Included in Total Liabilities (Excluding Deposits):
Payable to Subsidiaries:
Thrift Subsidiaries:
Transactional.....................................................
Debt...................................................................
Other Subsidiaries:
Transactional.....................................................
Debt...................................................................
Trust Preferred Instruments ..................................
Other Debt Maturing In 12 Months or Less ...........
Other Debt Maturing In More Than 12 Months......
Bil
HC310
HC320
HC330
HC340
HC350
HC360
HC370
HC410
HC420
HC430
HC440
HC445
HC450
HC460
- 25 -
HC670
HC680
HC690
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule HC – Thrift Holding Company
Parent Only
(Report in Thousands of Dollars)
Lines
Reflected in Net Income for the Quarter:
Dividends:
From Thrift Subsidiaries .....................................
From Other Subsidiaries.....................................
Interest Expense:
Trust Preferred Instruments................................
All Other Debt .....................................................
Bil
Mil
Thou
Consolidated
(Report in Thousands of Dollars)
Lines
Bil
Mil
Thou
HC525
HC535
HC545
HC555
HC710
HC720
Net Cash Flow From Operations for the Quarter... HC565
HC730
Supplemental Questions:
Have any significant subsidiaries of the holding company been formed, sold, or
dissolved during the quarter?.................................................................................... HC810
YES
NO
HC815
YES
NO
HC820
HC825
HC830
HC835
HC840
YES
YES
YES
YES
YES
NO
NO
NO
NO
NO
Has the holding company appointed any new senior executive officers or directors
during the quarter?.................................................................................................... HC845
YES
NO
Has the holding company or any of its subsidiaries entered into a new pledge, or
changed the terms and conditions of any existing pledge, of capital stock of any
subsidiary savings association that secures short-term or long-term debt or
other borrowings of the holding company? ............................................................... HC850
YES
NO
Has the holding company or any of its subsidiaries implemented changes to any
class of securities that would negatively impact investors? ...................................... HC855
YES
NO
Has there been any default in the payment of principal, interest, a sinking or
purchase fund installment, or any other default of the holding company or any
of its subsidiaries during the quarter? ....................................................................... HC860
YES
NO
Has there been a change in the holding company’s independent auditors during
the quarter?............................................................................................................... HC865
YES
NO
Is the holding company or any of its subsidiaries:
A broker or dealer registered under the Securities Exchange Act of 1934?............
An investment adviser regulated by the Securities Exchange Commission
or any State?..........................................................................................................
An investment company registered under the Investment Company Act of 1940? .
An insurance company subject to supervision by a State insurance regulator?......
Subject to regulation by the Commodity Futures Trading Commission?.................
Regulated by a foreign financial services regulator? ...............................................
OTS Form 1313
- 26 -
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule HC – Thrift Holding Company
Supplemental Questions – continued:
Has there been a change in the holding company’s fiscal year end during the
quarter?..................................................................................................................... HC870
YES
NO
Does the holding company or any of its GAAP-consolidated subsidiaries (other
than the reporting thrift) control other U.S. depository institutions? .......................... HC875
YES
NO
If located in the U.S. or its territories, provide the FDIC certificate number:
OTS Form 1313
- 27 -
HC876
HC877
HC878
HC879
HC880
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule CSS – Subordinate Organization Schedule
Complete this schedule annually, as of December 31, for all required subordinate organizations owned directly or
indirectly by the savings association. Repeat the data fields for each entity.
Lines
Entity Tax ID# ............................................................................................................. CSS010
Entity Name ................................
CSS020
Street Address............................
CSS025
City ............................................................................................................................. CSS030
State ........................................................................................................................... CSS040
Zip Code..................................................................................................................... CSS045
OTS Docket Number or Tax ID# of Immediate Parent ............................................... CSS050
Name of Immediate Parent.........
CSS060
% Ownership by Immediate Parent ............................................................................ CSS070
%
Type of Entity (See codes in Instruction Manual) ....................................................... CSS080
Type of Business (See codes in Instruction Manual) ................................................. CSS100
CSS101
CSS102
CSS103
Identification Number of Subsidiary Depository Institution ......................................... CSS110
Other Business Type (Narrative limited to 20 characters)...... CSS115
(Report in Thousands of Dollars)
Lines
Bil
Mil
Thou
Total Assets................................................................................................................ CSS120
Total Liabilities............................................................................................................ CSS130
Total Capital ............................................................................................................... CSS140
Net Income (Loss) for the Calendar Year................................................................... CSS150
Gross Commitments and Contingent Liabilities.......................................................... CSS160
Transactional Internet Banking Web Site, as Defined in 12 CFR 555.300(b)
(if none, leave blank)................. CSS200
(78 characters maximum)
Is this entity a GAAP-consolidated subsidiary of the parent savings association?..... CSS210
OTS Form 1313
- 28 -
YES
NO
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule CCR – Consolidated Capital Requirement
TIER 1 (CORE) CAPITAL REQUIREMENT:
(Report in Thousands of Dollars)
Lines
Bil
Mil
Thou
Tier 1 (Core) Capital
Total Equity Capital (SC84) ......................................................................................
Deduct:
Investments in, Advances to, and Noncontrolling Interests in
Nonincludable Subsidiaries .................................................................................
Goodwill and Certain Other Intangible Assets .........................................................
Disallowed Servicing Assets, Disallowed Deferred Tax Assets, Disallowed
Residual Interests, and Other Disallowed Assets ..................................................
Other........................................................................................................................
Add:
Accumulated Losses (Gains) on Certain Available-for-Sale Securities and Cash
Flow Hedges, Net of Taxes ....................................................................................
Intangible Assets .....................................................................................................
Other........................................................................................................................
Tier 1 (Core) Capital (100 – 105 – 115 – 133 – 134 + 180 + 185 + 195) ................
Adjusted Total Assets
Total Assets (SC60) ..................................................................................................
Deduct:
Assets of “Nonincludable” Subsidiaries ...................................................................
Goodwill and Certain Other Intangible Assets .........................................................
Disallowed Servicing Assets, Disallowed Deferred Tax Assets, Disallowed
Residual Interests, and Other Disallowed Assets ..................................................
Other........................................................................................................................
Add:
Accumulated Losses (Gains) on Certain Available-for-Sale Securities and
Cash Flow Hedges.................................................................................................
Intangible Assets .....................................................................................................
Other........................................................................................................................
Adjusted Total Assets (205 – 260 – 265 – 270 – 275 + 280 + 285 + 290).............
CCR100
CCR105
CCR115
CCR133
CCR134
CCR180
CCR185
CCR195
CCR20
CCR205
CCR260
CCR265
CCR270
CCR275
CCR280
CCR285
CCR290
CCR25
Tier 1 (Core) Capital Requirement (25 x 4%) ........................................................ CCR27
OTS Form 1313
- 29 -
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule CCR – Consolidated Capital Requirement
(Report in Thousands of Dollars)
Lines
Bil
Mil
Thou
TOTAL RISK-BASED CAPITAL REQUIREMENT:
Tier 1 (Core) Capital (20) ........................................................................................
Tier 2 (Supplementary) Capital:
Unrealized Gains on Available-for-Sale Equity Securities .......................................
Qualifying Subordinated Debt and Redeemable Preferred Stock ...........................
Other Equity Instruments .........................................................................................
Allowances for Loan and Lease Losses ..................................................................
Other........................................................................................................................
Tier 2 (Supplementary) Capital (302 + 310 + 340 + 350 + 355) ............................
CCR30
CCR302
CCR310
CCR340
CCR350
CCR355
CCR33
Allowable Tier 2 (Supplementary) Capital ............................................................ CCR35
Equity Investments and Other Assets Required to be Deducted .............................. CCR370
Deduction for Low-Level Recourse and Residual Interests ...................................... CCR375
Total Risk-based Capital (30 + 35 – 370 – 375)..................................................... CCR39
Risk-Weight Categories
0% Risk-Weight:
Cash ........................................................................................................................
Securities Backed by Full Faith and Credit of U.S. Government .............................
Notes and Obligations of FDIC, Including Covered Assets .....................................
Other........................................................................................................................
Total (400 + 405 + 409 + 415) .................................................................................
0% Risk-Weight Total (420 x 0%) ...........................................................................
CCR400
CCR405
CCR409
CCR415
CCR420
CCR40
20% Risk-Weight:
Mortgage and Asset-Backed Securities Eligible for 20% Risk Weight ....................
Claims on FHLBs.....................................................................................................
General Obligations of State and Local Governments ............................................
Claims on Domestic Depository Institutions ............................................................
Other........................................................................................................................
Total (430 + 435 + 440 + 445 + 450).......................................................................
20% Risk-Weight Total (455 x 20%) .......................................................................
CCR430
CCR435
CCR440
CCR445
CCR450
CCR455
CCR45
50% Risk-Weight:
Qualifying Single-Family Residential Mortgage Loans ............................................
Qualifying Multifamily Residential Mortgage Loans .................................................
Mortgage and Asset-Backed Securities Eligible for 50% Risk Weight ....................
State and Local Revenue Bonds .............................................................................
Other........................................................................................................................
Total (460 + 465 + 470 + 475 + 480).......................................................................
50% Risk-Weight Total (485 x 50%) .......................................................................
CCR460
CCR465
CCR470
CCR475
CCR480
CCR485
CCR50
OTS Form 1313
- 30 -
Proposed March 2009
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association ________________________
Docket Number _____________________
Report Date __________________ , 2009
Schedule CCR – Consolidated Capital Requirement
TOTAL RISK-BASED CAPITAL REQUIREMENT: – continued
100% Risk-Weight:
Securities Risk Weighted at 100% (or More) Under the Ratings-Based Approach .
All Other Assets.......................................................................................................
Total (501 + 506) .....................................................................................................
100% Risk-Weight Total (510 x 100%) ...................................................................
(Report in Thousands of Dollars)
Lines
Bil
Mil
Thou
CCR501
CCR506
CCR510
CCR55
Amount of Low-Level Recourse and Residual Interests Before Risk-Weighting ..... CCR605
Risk-Weighted Assets for Low-Level Recourse and Residual Interests
(605 x 12.50) ........................................................................................................... CCR62
Assets to Risk-Weight (420 + 455 + 485 + 510 + 605) ..........................................
Subtotal Risk-Weighted Assets (40 + 45 + 50 + 55 + 62) .....................................
Excess Allowances for Loan and Lease Losses......................................................
Total Risk-Weighted Assets (75 – 530) .................................................................
Total Risk-Based Capital Requirement (78 x 8%) ...............................................
CCR64
CCR75
CCR530
CCR78
CCR80
CAPITAL AND PROMPT CORRECTIVE ACTION RATIOS:
Tier 1 (Core) Capital Ratio....................................................................................... CCR810
(Tier 1 (Core) Capital ÷ Adjusted Total Assets)
__
_ . __ __ %
Total Risk-Based Capital Ratio................................................................................ CCR820
(Total Risk-Based Capital ÷ Risk-Weighted Assets)
__
_ . __ __ %
Tier 1 Risk-Based Capital Ratio .............................................................................. CCR830
((Tier 1 (Core) Capital – Deduction for Low-level Recourse and Residual
Interests) ÷ Risk-Weighted Assets)
__
_ . __ __ %
Tangible Equity Ratio .............................................................................................. CCR840
((Tangible Capital + Cumulative Perpetual Preferred Stock) ÷ Tangible Assets)
__
_ . __ __ %
OTS Form 1313
- 31 -
Proposed March 2009
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
ASSETS
FIXED-RATE, SINGLE-FAMILY, FIRST MORTGAGE
LOANS & MORTGAGE-BACKED SECURITIES
30-Year Mortgages and MBS:
Mortgage Loans ............................................................................................
WARM ..............................................................................................................
WAC...................................................................................................................
$ of Which Are FHA or VA Guaranteed ......................................
Coupon
Less Than 5%
CMR001
5.00 to 5.99%
CMR002
$
CMR006
months
CMR011
•
%
6.00 to 6.99%
CMR003
$
CMR007
months
CMR012
•
%
7.00 to 7.99%
CMR004
$
CMR008
months
CMR013
•
%
8.00% & Above
CMR005
$
CMR009
months
CMR014
•
%
$
CMR010
months
CMR015
•
CMR016
$
CMR017
$
CMR018
$
CMR019
$
CMR020
$
Securities Backed By Conventional Mortgages ........................
WARM ..............................................................................................................
Wtd Avg Pass-Thru Rate......................................................................
CMR026
$
CMR027
$
CMR028
$
CMR029
$
CMR030
$
Securities Backed by FHA or VA Mortgages ..............................
WARM ..............................................................................................................
Wtd Avg Pass-Thru Rate......................................................................
CMR046
15- Year Mortgages and MBS:
Mortgage Loans ............................................................................................
WAC...................................................................................................................
CMR031
months
CMR036
•
months
CMR056
•
CMR076
WARM (of Loans & Securities) ............................................................
CMR086
Balloon Mortgages and MBS:
Mortgage Loans ............................................................................................
WAC...................................................................................................................
CMR096
•
•
months
WARM (of Loans & Securities) ............................................................
CMR116
CMR111
•
%
•
%
months
CMR117
%
•
%
months
•
%
•
%
months
CMR118
-32
%
•
%
months
•
%
•
%
months
•
•
•
%
months
•
%
•
%
months
months
•
%
•
%
•
%
$
CMR075
$
CMR085
CMR090
months
$
CMR105
CMR110
$
•
%
•
%
$
CMR115
CMR120
CMR125
%
$
CMR060
CMR100
$
•
CMR055
CMR080
$
CMR104
CMR119
%
months
CMR040
CMR070
CMR089
CMR114
%
$
CMR084
CMR035
CMR050
months
CMR074
CMR109
$
%
$
CMR059
CMR099
$
•
CMR054
CMR079
$
months
CMR039
CMR069
•
CMR103
CMR113
%
$
CMR088
Total Fixed-Rate, Single-Family, First Mortgage Loans and Mortgage-Backed Securities
OTS Form 1313 Rev. March 2009
•
CMR083
CMR034
CMR049
months
CMR073
CMR108
$
%
$
CMR058
CMR098
$
•
CMR053
CMR078
$
months
CMR038
CMR068
•
CMR102
CMR112
%
$
CMR087
CMR107
$
•
CMR082
CMR033
CMR048
months
CMR072
CMR097
$
CMR101
CMR106
%
%
$
CMR057
CMR077
$
CMR081
Mortgage Securities ....................................................................................
Wtd Avg Pass-Thru Rate......................................................................
%
•
CMR052
CMR067
$
CMR071
Mortgage Securities ....................................................................................
Wtd Avg Pass-Thru Rate......................................................................
%
months
CMR037
CMR047
$
CMR051
CMR066
%
CMR032
%
months
$
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
ASSETS---Continued
Current Market Index ARMs
by Coupon Reset Frequency
ADJUSTABLE-RATE, SINGLE-FAMILY, FIRST MORTGAGE
LOANS & MORTGAGE-BACKED SECURITIES
Teaser ARMs
Balances Currently Subject to Introductory Rates ......................
WAC ............................................................................................................
Non-Teaser ARMs
Balances of All Non-Teaser ARMs.................................................
Wtd Avg Margin ......................................................................................
WAC ............................................................................................................
WARM ........................................................................................................
Wtd Avg Time Until Next Payment Reset ...................................
6 Mo or Less
CMR141
CMR156
7 Mo to 2 Yrs
CMR142
$
CMR146
•
%
CMR166
•
CMR171
CMR176
bp
CMR162
%
CMR167
months
CMR172
months
CMR177
2 + Yrs to 5 Yrs
CMR143
$
CMR147
CMR157
$
CMR161
Lagging Market Index ARMs
by Coupon Reset Frequency
•
%
•
bp
CMR163
%
CMR168
months
CMR173
months
CMR178
CMR144
$
CMR148
CMR158
$
1 Month
•
%
•
CMR145
$
CMR149
CMR159
$
bp
CMR164
%
CMR169
2 Mo to 5 Yrs
•
%
CMR160
$
•
bp
CMR165
%
CMR170
6 Mo or Less
Balances W/Coupon Within 200 bp of Lifetime Cap ..................
Wtd Avg Distance from Lifetime Cap ............................................
Balances W/Coupon 201-400 bp from Lifetime Cap .................
Wtd Avg Distance from Lifetime Cap ............................................
Balances W/Coupon Over 400 bp from Lifetime Cap ...............
Wtd Avg Distance from Lifetime Cap .............................................
Balances Without Lifetime Cap...........................................................
ARM Cap & Floor Detail
Balances Subject to Periodic Rate Caps ........................................
Wtd Avg Periodic Rate Cap (in basis points) .............................
Balances Subject to Periodic Rate Floors ......................................
MBS Included in ARM Balances........................................................
OTS Form 1313 Rev. March 2009
CMR186
bp
bp
CMR216
bp
CMR211
$
CMR221
$
CMR226
CMR202
CMR207
$
bp
bp
CMR175
months
months
months
CMR180
months
CMR217
bp
CMR212
$
CMR222
$
CMR227
bp
CMR185
1 Month
CMR189
bp
$
bp
CMR218
bp
CMR213
$
CMR223
$
CMR228
bp
CMR190
bp
bp
$
CMR219
$
CMR224
$
CMR229
bp
bp
$
CMR205
CMR210
bp
CMR214
$
CMR195
CMR200
$
CMR204
CMR209
$
2 Mo to 5 Yrs
$
CMR194
CMR199
$
CMR203
CMR208
$
bp
months
$
CMR193
CMR198
$
bp
$
CMR220
bp
CMR215
$
CMR225
$
CMR230
bp
CMR231
$
CMR232
$
CMR233
$
CMR234
$
CMR235
$
CMR241
$
CMR242
$
CMR243
$
CMR244
$
CMR245
$
-33-
%
Lagging Market Index ARMs
by Coupon Reset Frequency
CMR188
bp
•
$
CMR179
2 + Yrs to 5 Yrs
$
CMR192
CMR197
$
CMR201
CMR206
CMR187
$
CMR191
CMR196
7 Mo to 2 Yrs
%
CMR174
Current Market Index ARMs
by Coupon Reset Frequency
ARM Balances by Distance to Lifetime Cap
•
months
Total Adjustable-Rate, Single-Family, First Mortgage Loans & Mortgage-Backed Securities ......................................................................................
MEMO ITEMS FOR ALL ARMS (Reported at CMR185):
$
CMR150
INSTRUCTIONS
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Schedule CMR — Consolidated Maturity/Rate
ASSETS---Continued
MULTIFAMILY & NONRESIDENTIAL
MORTGAGE LOANS & SECURITIES
Adjustable-Rate:
Balances .........................................................................
WARM ..............................................................................
Remaining Term to Full Amortization ...........
Rate Index Code........................................................
Margin ..............................................................................
Reset Frequency .......................................................
MEMO: ARMs within 300 bp of Life Cap
Balances ......................................................................
WA Distance to Lifetime Cap (bp) ...............
Fixed-Rate:
Balances .........................................................................
WARM ..............................................................................
Remaining Term to Full Amortization ...........
WAC ..................................................................................
Balloons
CMR261
Fully Amortizing
CMR262
$
CMR263
months
CMR265
months
CMR267
CMR271
bp
CMR270
months
CMR272
CMR274
$
CMR275
CMR281
months
bp
months
CMR285
bp
months
$
CMR276
CMR282
$
CMR283
bp
$
CMR284
months
months
CMR287
CMR291
•
%
CMR288
•
%
Fixed Rate
CMR292
$
months
CMR294
CMR297
bp
CMR298
CMR299
months
CMR293
$
months
CMR295
•
OTS Form 1313 Rev. March 2009
Fixed Rate
CMR312
$
months
Fixed Rate
CMR326
$
CMR327
months
CMR328
CMR329
bp
CMR330
CMR331
months
$
months
•
%
CMR333
CMR314
bp
months
CMR319
months
CMR318
•
-34-
Adjustable Rate
CMR335
Fixed Rate
CMR336
$
months
CMR338
CMR341
bp
CMR342
CMR343
months
CMR337
$
months
CMR339
MORTGAGE-DERIVATIVE
High Risk
SECURITIES--BOOK VALUE
Collateralized Mortgage Obligations:
Floating Rate ........................................... CMR351 $
Fixed Rate:
Remaining WAL<=5 Years .......... CMR353 $
Remaining WAL 5-10 Years ....... CMR355 $
Remaining WAL Over 10 Years CMR357 $
Superfloaters ........................................... CMR359 $
Inverse Floaters & Super POs ...... CMR361 $
Other ............................................................. CMR363 $
•
%
Low Risk
CMR352
$
CMR354
$
CMR356
$
CMR364
$
CMR365
$
CMR366
$
CMR367
$
CMR368
$
$
CMR370
$
Stripped Mortgage-Backed Securities:
$
CMR315
CMR317
CONSUMER LOANS
Balances .....................................................
WARM ..........................................................
Rate Index Code ...................................
Margin in Col 1; WAC in Col 2 ......
Reset Frequency ...................................
CMO Residuals:
Fixed Rate .................................................
Floating Rate ...........................................
Adjustable Rate
CMR313
Adjustable Rate
CMR325
%
SECOND MORTGAGE LOANS & SECURITIES
CMR311
COMMERCIAL LOANS
Balances .....................................................
WARM ..........................................................
Margin in Col 1; WAC in Col 2 ......
Reset Frequency ...................................
Rate Index Code ...................................
CMR268
CMR269
CMR273
$
CMR264
Adjustable Rate
Balances .........................................................................
WARM ..............................................................................
Rate Index Code........................................................
Margin in Col 1; WAC in Col 2 ..........................
Reset Frequency .......................................................
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
ASSETS---CONTINUED
CONSTRUCTION & LAND LOANS
Balances .........................................................................
WARM ..............................................................................
Rate Index Code........................................................
Margin in Col 1; WAC in Col 2 ..........................
Reset Frequency .......................................................
1.
2.
%
Interest-Only MBS .............................
WAC ...........................................................
Principal-Only MBS ..........................
WAC ...........................................................
Total Mortgage-Derivative
Securities--Book Value ...............
CMR369
CMR371
CMR373
•
•
$
CMR372
CMR374
$
CMR375
CMR377
%
%
CMR376
CMR378
•
%
•
%
$
$
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
ASSETS - Continued
MORTGAGE LOANS SERVICED FOR OTHERS
Fixed-Rate Mortgage Loan Servicing
Balances Serviced ...................................................................
WARM ...........................................................................................
Wtd Avg Servicing Fee .......................................................
Total # of Fixed-Rate Loans Serviced That Are:
Conventional Loans..............................................................
FHA/VA Loans .........................................................................
Subserviced by Others .......................................................
Coupon of Fixed-Rate Mortgages Serviced for Others
Less Than 5%
CMR401
CMR406
5.00 to 5.99%
CMR402
$
months
CMR407
CMR411
bp
CMR412
CMR421
loans
CMR422
loans
CMR423
loans
CMR403
$
7.00 to 7.99%
CMR404
$
months
CMR408
months
CMR409
bp
CMR413
bp
CMR414
8.00% & Above
CMR405
$
$
months CMR410
months
CMR415
bp
bp
Index on Serviced Loan
Adjustable-Rate Mortgage Loan Servicing
Current Market
Balances Serviced ...................................................................
WARM ...........................................................................................
Wtd Avg Servicing Fee .......................................................
6.00 to 6.99%
CMR431
Lagging Market
CMR432
$
CMR433
months CMR434
CMR435
CMR436
bp
$
months
bp
Total # of Adjustable-Rate Loans Serviced ....................
Of Which, Number Subserviced By Others ....................
Total Balances of Mortgage Loans Serviced for Others ..................................................................................................................................................
CMR450
Balances
CASH, DEPOSITS, & SECURITIES
CMR441
loans
CMR442
loans
$
WAC
WARM
Cash, Non-Interest-Earning Demand Deposits, Overnight Fed Funds, Overnight Repos ...............................
CMR461
$
Equity Securities (including Mutual Funds) Subject to SFAS No.115 ...........................................................................
CMR464
$
Zero-Coupon Securities ..............................................................................................................................................................................
CMR470
$
CMR471
•
%
CMR472
months
Government and Agency Securities ...................................................................................................................................................
CMR473
$
CMR474
•
%
CMR475
months
Term Fed Funds, Term Repos, and Interest-Earning Deposits ........................................................................................
CMR476
$
CMR477
•
%
CMR478
months
Other (Munis, Mortgage-Backed Bonds, Corporate Securities, Commercial Paper, Etc.)...............................
CMR479
$
CMR480
•
%
CMR481
months
CMR490
$
Total Cash, Deposits, & Securities (includes on-balance-sheet items that are
in supplemental reporting and are not included above)
OTS Form 1313 Rev. March 2009
-35-
...................................
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
Schedule CMR — Consolidated Maturity/Rate
ASSETS - Continued
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
ASSETS-Continued
ITEMS RELATED TO MORTGAGE LOANS & SECURITIES
Nonperforming Loans ......................................................................
Accrued Interest Receivable .........................................................
Advances for Taxes and Insurance ...........................................
Less: Unamortized Yield Adjustments ......................................
Valuation Allowances ...........................................................
Unrealized Gains (Losses) ............................................................
1.
2.
MEMORANDA ITEMS
CMR501
$
CMR502
$
CMR503
$
CMR504
$
CMR507
$
CMR508
$
Mortgage “Warehouse” Loans Reported as Mortgage
Loans at SC26 .........................................................................................................
Loans Secured by Real Estate Reported as Nonmortgage Loans
at SC31 .........................................................................................................................
Market Value of Equity Securities & Mutual Funds Rpt’d at CMR464:
Equity Securities & Non-Mortgage-Related Mutual Funds ...................
Mortgage-Related Mutual Funds .....................................................................
ITEMS RELATED TO NONMORTGAGE LOANS & SECURITIES
Nonperforming Loans ...................................................................... CMR511 $
Accrued Interest Receivable ......................................................... CMR512 $
Less: Unamortized Yield Adjustments ...................................... CMR513 $
Valuation Allowances ........................................................... CMR516 $
Unrealized Gains (Losses) ............................................................ CMR517 $
REAL ESTATE HELD FOR INVESTMENT..............................
CMR520
$
Mortgage Loans Serviced by Others:
Fixed-Rate Mortgage Loans Serviced ...........................................................
Wtd Avg Servicing Fee......................................................................................
Adjustable-Rate Mortgage Loans Serviced .................................................
Wtd Avg Servicing Fee......................................................................................
REPOSSESSED ASSETS ...............................................................
CMR525
$
Credit Card Balances Expected to Pay Off in Grace Period ...................
CMR530
$
CMR535
$
EQUITY INVESTMENTS NOT SUBJECT TO
FASB STATEMENT NO. 115 .....................................................
OFFICE PREMISES AND EQUIPMENT ...................................
ITEMS RELATED TO CERTAIN INVESTMENT SECURITIES
Unrealized Gains (Losses) ............................................................ CMR538
Less: Unamortized Yield Adjustments ...................................... CMR539
Valuation Allowances ........................................................... CMR540
$
$
$
OTHER ASSETS
Servicing Assets, Interest-Only Strip Receivables,
and Certain Other Instruments ..................................................
Miscellaneous I ...................................................................................
Miscellaneous II .................................................................................
CMR541
$
CMR543
$
CMR544
$
TOTAL ASSETS ..........................................
CMR550
$
OTS Form 1313 Rev. March 2009
-36-
CMR578
$
CMR580
$
CMR582
$
CMR584
$
CMR586
$
CMR587
CMR588
bp
$
CMR589
CMR590
bp
$
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
LIABILITIES
FIXED-RATE, FIXED-MATURITY DEPOSITS
Early Withdrawals
During Quarter
Original Maturity in Months
Balances by Remaining Maturity:
12 or Less
Balances Maturing in 3 Months or Less...................................
WAC ............................................................................................................
WARM ........................................................................................................
CMR601
Balances Maturing in 4 to 12 Months ........................................
WAC ............................................................................................................
WARM ........................................................................................................
CMR615
13 to 36
CMR602
$
CMR605
•
CMR608
months
•
CMR622
•
CMR609
CMR616
$
CMR619
months
Balances Maturing in 13 to 36 Months ...................................................................................
WAC...........................................................................................................................................................
WARM ......................................................................................................................................................
•
%
months
•
CMR636
%
•
CMR610
$
•
CMR624
CME637
Balances Maturing in 37 or More Months .............................................................................................................................
WAC ..........................................................................................................................................................................................................
WARM ......................................................................................................................................................................................................
CMR641
$
•
Balances in Brokered Deposits .....................................................
CMR650
$
CMR653
$
CMR651
$
$
•
Balances in New Accounts...............................................................
OTS Form 1313 Rev. March 2009
CMR656
CMR659
months
CMR654
$
CMR657
CMR644
CMR660
$
-37-
$
CMR652
$
CMR655
$
CMR658
CMR661
..................................................
CMR633
$
..................................................
CMR642
$
months
37 or More
months
$
%
Deposits with Early-withdrawal Penalties Stated
in Terms of Months of Forgone Interest:
Balances Subject to Penalty ........................................................
Penalty in Months of Forgone Interest...................................
(expressed to two decimal places; e.g., x.xx)
CMR618
months
CMR643
13 to 36
..................................................
%
Original Maturity in Months
12 of Less
$
%
Total Fixed-rate, Fixed-maturity Deposits:...........................................................................................................................................................................
Memo: Fixed-rate, Fixed-maturity Deposit
Detail:
CMR604
months
CMR635
months
..................................................
%
months
CMR621
CMR632
$
CMR634
$
CMR607
CMR617
$
CMR623
CMR631
%
months
CMR620
%
CMR603
$
CMR606
%
37 or More
months
$
CMR645
$
INSTRUCTIONS
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
LIABILITIES-Continued
FIXED-RATE, FIXED-MATURITY:
FHLB ADVANCES, OTHER BORROWINGS,
REDEEMABLE PREFERRED STOCK,
& SUBORDINATED DEBT
Balances by Coupon Class:
Under 3.00% .........................................................
3.00 to 3.99% .......................................................
4.00 to 4.99% .......................................................
5.00 to 5.99% .......................................................
6.00 to 6.99% .......................................................
7.00 to 7.99% .......................................................
8.00 to 8.99% .......................................................
9.00% and Above ..............................................
WARM .........................................................................
Remaining Maturity
0 to 3 Months
CMR675
4 to 36 Months
Over 36 Months
$
CMR676
$
CMR677
$
................................
CMR679
$
CMR680
$
CMR681
$
................................
CMR683
$
CMR684
$
CMR685
$
................................
CMR687
$
CMR688
$
CMR689
$
................................
CMR691
$
CMR692
$
CMR693
$
................................
CMR695
$
CMR696
$
CMR697
$
................................
CMR699
$
CMR700
$
CMR701
$
................................
CMR703
$
CMR704
$
CMR705
$
................................
CMR711
months CMR712
months CMR713
months
Total Fixed-Rate, Fixed-Maturity Borrowings ...........................................................................................
Memo: Book Value of Redeemable Preferred Stock ...............................
OTS Form 1313 Rev. March 2009
WAC
CMR755
$
-38-
CMR715
$
CMR678
•
%
CMR682
•
%
CMR686
•
%
CMR690
•
%
CMR694
•
%
CMR698
•
%
CMR702
•
%
CMR706
•
%
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
INSTRUCTIONS
Office of Thrift Supervision
2009 Thrift Financial Report
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
LIABILITIES (Con’t.), MINORITY INTEREST, & CAPITAL
NON-MATURITY DEPOSITS
Transaction Accounts ...............................................................................................................................
Money Market Deposit Accounts (MMDAs) ................................................................................
Passbook Accounts ....................................................................................................................................
Noninterest-Bearing Nonmaturity Deposits.................................................................................
ESCROW ACCOUNTS
Escrows for Mortgages Held in Portfolio.......................................................................................
Escrows for Mortgages Serviced for Others...............................................................................
Other Escrows ...............................................................................................................................................
Total Balances
Balances in New
Accounts
WAC
CMR762
$
CMR763
•
% ........................................................
CMR764
$
CMR765
$
CMR766
•
% ........................................................
CMR767
$
CMR768
$
CMR769
•
% ........................................................
CMR770
$
CMR771
$
...................................................................................................
CMR773
$
Total Balances
WAC
CMR775
$
CMR776
•
%
CMR777
$
CMR778
•
%
CMR779
$
CMR780
•
%
TOTAL NONMATURITY DEPOSITS & ESCROW ACCOUNTS ................
CMR781
$
UNAMORTIZED YIELD ADJUSTMENTS ON DEPOSITS .................................................
CMR782
$
UNAMORTIZED YIELD ADJUSTMENTS ON BORROWINGS ......................................
CMR784
$
CMR785
$
CMR786
$
CMR787
$
CMR790
$
OTHER LIABILITIES
Collateralized Mortgage Securities Issued ..................................................................................
Miscellaneous I .............................................................................................................................................
Miscellaneous II ............................................................................................................................................
TOTAL LIABILITIES (includes on-balance-sheet items that are
in supplemental reporting and are not included above)
...................
CMR793 $
NONCONTROLLING INTERESTS IN CONSOLIDATED SUBSIDIARIES ...........................................
EQUITY CAPITAL .........................................................................................................................................
CMR796
$
TOTAL LIABILITIES AND EQUITY CAPITAL .................... ..................................
CMR800
$
OTS Form 1313 Rev. March 2009
-39-
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
See Instructions for Details on Specific Items
Financial Derivatives and Off-Balance-Sheet Positions
[1]
[2]
Contract Code
Notional Amount
[3]
[4]
Maturity or Fees
[5]
Price/Rate #1
Price/Rate #2
Position 1..........................................................................................
Position 2..........................................................................................
Position 3..........................................................................................
Position 4..........................................................................................
CMR801
CMR802
$
CMR803
$
CMR804
•
CMR805
•
CMR806
CMR807
$
CMR808
$
CMR809
•
CMR810
•
CMR811
CMR812
$
CMR813
$
CMR814
•
CMR815
•
CMR816
CMR817
$
CMR818
$
CMR819
•
CMR820
•
Position 5..........................................................................................
Position 6..........................................................................................
Position 7..........................................................................................
Position 8..........................................................................................
CMR821
CMR822
$
CMR823
$
CMR824
•
CMR825
•
CMR826
CMR827
$
CMR828
$
CMR829
•
CMR830
•
CMR831
CMR832
$
CMR833
$
CMR834
•
CMR835
•
CMR836
CMR837
$
CMR838
$
CMR839
•
CMR840
•
Position 9..........................................................................................
Position 10 .......................................................................................
Position 11 .......................................................................................
Position 12 .......................................................................................
CMR841
CMR842
$
CMR843
$
CMR844
•
CMR845
•
CMR846
CMR847
$
CMR848
$
CMR849
•
CMR850
•
CMR851
CMR852
$
CMR853
$
CMR854
•
CMR855
•
CMR856
CMR857
$
CMR858
$
CMR859
•
CMR860
•
Position 13 .......................................................................................
Position 14 .......................................................................................
Position 15 .......................................................................................
Position 16 .......................................................................................
CMR861
CMR862
$
CMR863
$
CMR864
•
CMR865
•
CMR866
CMR867
$
CMR868
$
CMR869
•
CMR870
•
CMR871
CMR872
$
CMR873
$
CMR874
•
CMR875
•
CMR876
CMR877
$
CMR878
$
CMR879
•
CMR880
•
NOTE: Enter “price” or “rate” in columns 4 & 5 to
two decimal places (e.g., “price” = 102.25
or “rate” = 6.12%)
MEMO:
Reconciliation of Off-Balance-Sheet Contract Positions Reported
Reported Above at CMR801-CMR880 ..................................................................................................................................
Reported Using Supplemental Reporting .............................................................................................................................
Self-Valued & Reported Using Supplemental Reporting of Market Value Estimates ..............................
OTS Form 1313 Rev. March 2009
-40-
# of Positions
CMR901
CMR902
CMR903
INSTRUCTIONS
For informational purposes only:
not for data entry
Office of Thrift Supervision
2009 Thrift Financial Report
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
SUPPLEMENTAL REPORTING FOR ASSETS AND LIABILITIES
Entry
Number
(OAL010)
Asset/
Liability
Code
(OAL020)
OTS Form 1313 Rev. March 2009
Rate
Index
Code
(OAL030)
Balance
$000
(OAL040)
Margin/
WAC in bp
(OAL050)
Rate Reset
Frequency
(OAL060)
Months to
Full Amort/
Next Reset
(OAL070)
Remaining
Maturity
(OAL080)
Distance
to Lifetime
Cap
(OAL090)
Distance
to Lifetime
Floor
(OAL100)
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
$
bp
mo
mo
mo
bp
bp
-41-
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
Schedule CMR — Consolidated Maturity/Rate
1.
2.
3.
4.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
Report Maturities in Whole Months
See Instructions for Details on Specific Items
SUPPLEMENTAL REPORTING OF MARKET VALUE ESTIMATES
Entry
Number
(RMV010)
Asset/
Liability
Code
(RMV020)
OTS Form 1313 Rev. March 2009
Estimated Market Value After Specified Rate Shock
Balance
$000
(RMV030)
– 300 bp
(RMV040)
– 200 bp
(RMV050)
– 100 bp
(RMV060)
-42-
No Change
(RMV070)
+ 100 bp
(RMV080)
+ 200 bp
(RMV090)
+ 300 bp
(RMV100)
INSTRUCTIONS
For informational purposes only:
not for data entry
Association __________________________
Docket Number _______________________
Report Date _____________________ , 2009
Office of Thrift Supervision
2009 Thrift Financial Report
1.
2.
Schedule CMR — Consolidated Maturity/Rate
3.
Report Dollar Balances in Thousands ($000)
Report Percentages to Two (2) Decimal Places
(e.g., x.xx%)
See Instructions for Details on Specific Items
SUPPLEMENTAL REPORTING FOR FINANCIAL DERIVATIVES
AND OFF-BALANCE-SHEET POSITIONS
[1]
Entry Number
(OBS010)
[2]
Contract Code
(OBS020)
Notional Amount
(OBS030)
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
OTS Form 1313 Rev. March 2009
-43-
[3]
[4]
Maturity or Fees
(OBS040)
Price/Rate #1
(OBS050)
[5]
Price/Rate #2
(OBS060)
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
| File Type | application/pdf |
| File Title | (Report in Thousands of Dollars) |
| Author | Rick Shacklette |
| File Modified | 2009-02-04 |
| File Created | 2009-02-04 |