FDIC DFAST 14A Reg Regulatory Capital Instruments Template

''Annual Stress Test Reporting Templates and Documentation for Covered Banks with Total Consolidated Assets of $10 Billion or More under Dodd-Frank''

FDIC DFAST-14A Regulatory Capital Instruments Template.xlsx

"Annual Stress Test Reporting Template and Documentation for Covered Banks with Total Consolidated Assets of $50 Billion or More under the Dodd-Frank Wall Street Reform and Consumer Protection Act.''

OMB: 3064-0189

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 3064-0189 can be found here:

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Overview

Regulatory Capital Cover Sheet
Proj. Actions&Balances
Capital position reconciliation

Sheet 1: Regulatory Capital Cover Sheet

DFAST-14A Regulatory Capital Instruments Schedule Cover Sheet

Institution Name:

	RSSD ID:

Submission Date (MM/DD/YYYY):

	CERT:

Sheet 2: Proj. Actions&Balances

DFAST-14A Regulatory Capital Instruments Schedule

Projected Capital Actions and Balances
			Notional amount ($mil)											Amount recognized in regulatory capital ($mil)

			Actual	Projected									Actual	Projected
Item		Basel I regulatory capital treatment	Q3 2012	Q4 2012	Q1 2013	Q2 2013	Q3 2013	Q4 2013	Q1 2014	Q2 2014	Q3 2014	Q4 2014	Q3 2012	Q4 2012	Q1 2013	Q2 2013	Q3 2013	Q4 2013	Q1 2014	Q2 2014	Q3 2014	Q4 2014	Comments

	Quarterly Redemption/Repurchase Activity
1	Common Stock (CS)	Tier 1
2	CS Warrants	Tier 1
3	CS USG Investment	Tier 1
4	Non-Cumulative Perpetual Preferred (NCPP)	Tier 1
5	NCPP Convertible	Tier 1
6	Cumulative Perpetual Preferred (CPP)	Tier 1
7	CPP TARP Preferred	Tier 1
8	Mandatory Convertible Preferred (MCP)	Tier 1
9	MCP USG Preferred	Tier 1
10	Cumulative Dated Preferred (TRUPS)	Tier 1
11	USG Preferred TRUPS	Tier 1
12	REIT Preferred	Tier 1
13	Other Tier 1 Instruments	Tier 1
14	Cumulative Perpetual Preferred (CPP)	Tier 2
15	Mandatory Convertible Preferred (MCP)	Tier 2
16	Cumulative Dated Preferred (TRUPS)	Tier 2
17	Subordinated Debt	Tier 2
18	Other Tier 2 Instruments	Tier 2


	Quarterly Issuance Activity
19	Common Stock (CS)	Tier 1
20	CS Warrants	Tier 1
21	CS USG Investment	Tier 1
22	Non-Cumulative Perpetual Preferred (NCPP)	Tier 1
23	NCPP Convertible	Tier 1
24	Cumulative Perpetual Preferred (CPP)	Tier 1
25	CPP TARP Preferred	Tier 1
26	Mandatory Convertible Preferred (MCP)	Tier 1
27	MCP USG Preferred	Tier 1
28	Cumulative Dated Preferred (TRUPS)	Tier 1
29	USG Preferred TRUPS	Tier 1
30	REIT Preferred	Tier 1
31	Other Tier 1 Instruments	Tier 1
32	Cumulative Perpetual Preferred (CPP)	Tier 2
33	Mandatory Convertible Preferred (MCP)	Tier 2
34	Cumulative Dated Preferred (TRUPS)	Tier 2
35	Subordinated Debt	Tier 2
36	Other Tier 2 Instruments	Tier 2


	Capital Balances
37	Common Stock (CS)	Tier 1
38	CS Warrants	Tier 1
39	CS USG Investment	Tier 1
40	Non-Cumulative Perpetual Preferred (NCPP)	Tier 1
41	NCPP Convertible	Tier 1
42	Cumulative Perpetual Preferred (CPP)	Tier 1
43	CPP TARP Preferred	Tier 1
44	Mandatory Convertible Preferred (MCP)	Tier 1
45	MCP USG Preferred	Tier 1
46	Cumulative Dated Preferred (TRUPS)	Tier 1
47	USG Preferred TRUPS	Tier 1
48	REIT Preferred	Tier 1
49	Other Tier 1 Instruments	Tier 1
50	Cumulative Perpetual Preferred (CPP)	Tier 2
51	Mandatory Convertible Preferred (MCP)	Tier 2
52	Cumulative Dated Preferred (TRUPS)	Tier 2
53	Subordinated Debt	Tier 2
54	Other Tier 2 Instruments	Tier 2

	Data completeness check: If "No", please complete all non shaded cells until all cells to the right read "Yes." Do not leave cells blank; enter "0" if not applicable.		No	No	No	No	No	No	No	No	No	No	No	No	No	No	No	No	No	No	No	No
			54	54	54	54	54	54	54	54	54	54	54	54	54	54	54	54	54	54	54	54

			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1



			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1



			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1	1

Sheet 3: Capital position reconciliation

DFAST-14A Regulatory Capital Instruments Schedule

Capital Position Reconciliation

			Actual in $Millions	Projections in $Millions
		Notes	Q3 2012	Q4 2012	Q1 2013	Q2 2013	Q3 2013	Q4 2013	Q1 2014	Q2 2014	Q3 2014	Q4 2014
	Reconciliation of Tier 1 capital position
1	Funded Tier 1 instruments*		-	-	-	-	-	-	-	-	-	-
2	Noncontrolling (minority) interest	RCFD 3000
3	Class A
4	Class B
5	Class C
6	Retained earnings	RCFD 3632
7	Accumulated other comprehensive income	RCFD B530
8	Regulatory adjustments
9	Restricted core capital in excess of the Tier 1 limit (if addition, report as a positive value; if deduction, report as a negative value)
10	Other additions/reductions
11	Net unrealized gains (losses) on available-for-sale securities (if a gain, report as a positive value; if a loss, report as a negative value)	RCFD 8434
12	Net unrealized loss on available-for-sale equity securities (report loss as a positive value)	RCFD A221
13	Accumulated net gains (losses) on cash flow hedges (if a gain, report as a positive value; if a loss, report as a negative value)	RCFD 4336
14	Disallowed goodwill and other disallowed intangible assets	RCFD B590
15	Cumulative change in fair value of all financial liabilities accounted for under a fair value option that is included in retained earnings and is attributable to changes in the bank holding company's own creditworthiness (if a net gain, report as a positive value; if a net loss, report as a negative value)	RCFD F264
16	Disallowed servicing assets and purchased credit card relationships	RCFD B591
17	Disallowed deferred tax assets	RCFD 5610
18	Other additions/deduction to tier 1 capital	RCFD B592
19	Tier 1 capital (includes funded instruments, noncontrolling interest, retained earnings and AOCI LESS regulatory adjustments)
20	For validation purposes, enter the value of Tier 1 capital per Schedule RC-R	RCFD 8274
	Validation check: does Line 19=Line 20?		No

	Reconciliation of Tier 2 capital position
21	Funded Tier 2 instruments*		-	-	-	-	-	-	-	-	-	-
22	Noncontrolling (minority) interest
23	Class B
24	Class C
25	Regulatory adjustments
26	Restricted core capital in excess of the Tier 2 limit (if addition, report as a positive value; if deduction, report as a negative value)
27	Allowance for loan and lease losses includible in Tier 2 capital	RCFD 5310
28	Unrealized gains on available-for-sale equity securities includable in Tier 2 capital	RCFD 2221
29	Other Tier 2 capital components	RCFD B594
30	Tier 2 capital (includes funded instruments, noncontrolling interest, and regulatory adjustments)
31	For validation purposes, enter the value of Tier 2 capital per Schedule RC-R	RCFD 8275
	Validation check: does Line 30=Line 31?		No

	Reconciliation of Total risk-based capital position
32	Tier 3 capital allocated for market risk	RCFD 1395
33	Deductions for total risk-based capital	RCFD B595
34	Total risk-based capital
35	For validation purposes, enter the value of Total risk-based capital per Schedule RC-R	RCFD 3792
	Validation check: does Line 34=Line 35?		No

	Data completeness check: If "No", please complete all non shaded cells until all cells to the right read "Yes." Do not leave cells blank; enter "0" if not applicable.		No	No	No	No	No	No	No	No	No	No

	* Funded Tier 1 and Tier 2 instruments should equal the sum of the instruments as reported on the "Projected Capital Balances" worksheet.


			30	27	27	27	27	27	27	27	27	27

			-	-	-	-	-	-	-	-	-	-
			1	1	1	1	1	1	1	1	1	1



			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1



			-	-	-	-	-	-	-	-	-	-
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1



			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1	1	1	1	1	1	1	1	1	1
			1

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