Form FR Y-12 FR Y-12 Consolidated Bank Holding Company Report of Equity Inves

Board of Governors of the Federal Reserve System

FR Y–12
OMB Number 7100–0300
Expires December 2009

Consolidated Bank Holding Company
Report of Equity Investments
in Nonfinancial Companies—FR Y–12
Report at the close of business as of the last calendar day of the reporting period.
This report is required by law: Section 5(c) of the Bank Holding
Company Act (12 U.S.C. 1844).
The Consolidated Bank Holding Company Report of Equity
Investments in Nonfinancial Companies is to be prepared in

accordance with the instructions provided by the Federal Reserve
System. The Federal Reserve may not conduct or sponsor and an
organization (or a person) is not required to respond to, a collection of
information unless it displays a currently valid OMB control number.

Legal Name of Bank Holding Company (TEXT 9010)

Mailing Address Street / P.O. Box (TEXT 9110)

Contact Name (TEXT 8901)

City (TEXT 9130), State (TEXT 9200)

Contact Phone Number (TEXT 8902)

As-of date (BHEI 9999)

Contact Fax Number (TEXT 9116)

Name and Title of Executive Officer of Bank Holding Company

Zip Code (TEXT 9220)

Contact E-Mail Address (TEXT 4086)

Signature of Executive Officer of the Bank Holding Company

For Federal Reserve Bank Use Only
RSSD Number
C.I.

S.F.

Public reporting burden for this information collection is estimated to average 16 hours
per response, including time to gather and maintain data in the required form and
to review instructions and complete the information collection. Comments regarding
this burden estimate or any other aspect of this information collection, including
suggestions for reducing the burden, may be sent to Secretary, Board of Governors of the
Federal Reserve System, Washington, DC 20551, and to the Office of Management and
Budget, Paperwork Reduction Project (7100–0300), Washington, DC 20503.

FR Y–12
Page 1

For Federal Reserve Bank Use Only
RSSD Number
C.I.
Legal Name of Bank Holding Company

As-of date

Schedule A: Type of Investments
(Column A)

(Column B)
Net Unrealized
Holding Gains
Not Recognized
as Income

Acquisition
Cost
BHEI

1. Direct investments in public entities ..
2. Direct investments in nonpublic
entities ...............................................
3. All indirect investments ......................
4. Total portfolio (sum of items 1, 2,
and 3) ................................................

Bil

Mil

BHEI

Bil

Mil

(Column C)

(Column D)

Carrying
Value

Publicly
Quoted Value

BHEI

Bil

Mil

BHEI
C091

Mil

C089

C090

C093
C097

C094
C098

C095
C099

2.
3.

C101

C102

C103

4.

Number of Companies
BHEI
Memoranda
1. Total Portfolio ..................................... C100

1–10

11–25 26–100 100+

M.1.

(Column A)

(Column B)
Net Unrealized
Holding Gains
Not Recognized
as Income

Acquisition
Cost
BHEI

Bil

Mil

BHEI

FHCs only
2. Investments held under Merchant
Banking (GLBA) authority .................. C104

C105

Income Amount
Only for BHCs filing FR Y–9C
BHEI
Bil
Mil
3. Pre-tax Impact on net income
from items 1, 2, and 3 above ............. B498

M.3.

Bil

Mil

(Column C)

Carrying
Value
BHEI

Bil

Mil

C106

M.2.

Off-Balance-Sheet
Amount
BHEI
For all BHCs
4. Investments managed for others ....... C716

Bil

Mil

M.4.

Schedule B: Type of Security
(Column A)
Acquisition
Cost
1.
2.
3.
4.

Bil

C088

Common stock ......................................................................
Convertible debt and convertible preferred stock .................
Other equity instruments ......................................................
Total portfolio (sum of items 1, 2, and 3) ..............................

BHEI
C107
C109
C111
C113

Bil

(Column B)
Carrying
Value
Mil

BHEI
C108
C110
C112
C114

Bil

Mil

1.
2.
3.
4.

1.

FR Y–12
Page 2

Legal Name of Bank Holding Company

As-of date

Schedule B: Type of Security (Continued)
Off-Balance-Sheet
Amount
Memoranda
1. Unused equity commitments ................................................

BHEI
C115

2. Does the BHC hold any Warrants or similar instruments
received in connection with equity investment activity?
(Enter "1" if yes, "0" if no). ....................................................

BHEI

Bil

Mil

M.1.

Warrants

C717

M.2.

Schedule C: Type of Entity within the Banking Organization
(Column B)
Net Unrealized
Holding Gains Not
Recognized as
Income

(Column A)
Acquisition

BHEI

1. Depository institutions:
a. SBICs ...............................................................................
b. Edge and agreement corporations ..................................
c. All other ............................................................................
2. Parent holding and other nonbank subsidiaries:
a. SBICs ...............................................................................
b. Edge and agreement corporations ..................................
c. Broker/Dealers .................................................................
d. Private Equity subsidiaries ...............................................
e. All other ............................................................................
3. Total portfolio (sum of items 1.a through 2.e) .......................
Memoranda
1. Domestic investments ..........................................................
2. Foreign investments .............................................................

Bil

Mil

BHEI

Bil

Mil

(Column C)
Carrying
Value
BHEI

Bil

Mil

C117
C121
C126

C718
C719
C720

C118
C122
C127

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

C136
C722
C131
C726
C145
C150

C721
C723
C725
C727
C729
C730

C137
C724
C132
C728
C146
C151

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

C155
C157

C749
C750

C156
C158

M.1.
M.2.

Schedule D: Nonfinancial Investment Transactions During Reporting Period
Direct Investments
(Column B)
(Column A)
Carrying
Acquisition
Value
Cost
Type of Transaction
1. Purchases .........................................
2. Less: Return of Capital .....................
3. Net Valuation Changes .....................
4. Other .................................................
5. Total Transactions (sum of Items
1–4) ..................................................

BHEI

Bil

Mil

C731
C735

(

)

BHEI

C741

C732
C736
C739
C742

C745

C746

Indirect (Fund) Investments
(Column D)
(Column C)
Carrying
Acquisition
Value
Cost

Bil

Mil

BHEI

Bil

Mil

(

)

C733
C737

(

)

BHEI

C743

C734
C738
C740
C744

C747

C748

Bil

Mil

(

)

1.
2.
3.
4.
5.