Regulatory Capital Instruments Annual Schedule

Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of over $50 Billion

DFAST14A REGCAP INSTRUMENTS.xlsx

Regulatory Capital Template

OMB: 1557-0319

Document [xlsx]
Download: xlsx | pdf

Overview

Cover
Proj. Actions&Balances

Sheet 1: Cover
DFAST-14A Regulatory Capital Instruments Annual Schedule







Institution Name:











RSSD ID:











OCC CHARTER ID:











Date of Data Submission:











As of Date:




Sheet 2: Proj. Actions&Balances
DFAST-14A Regulatory Capital Instruments Annual Schedule:























Date of data submission:
























Projected Capital Actions and Balances
























Actual Data, as of date:




























Notional amount ($mil)

Amount recognized in regulatory capital ($mil)




Actual Projected
Actual Projected


Revised regulatory capital treatment
As of date PQ 1 PQ 2 PQ 3 PQ 4 PQ 5 PQ 6 PQ 7 PQ 8 PQ 9
As of date PQ 1 PQ 2 PQ 3 PQ 4 PQ 5 PQ 6 PQ 7 PQ 8 PQ 9 Comments



























Quarterly Redemption/Repurchase Activity























1 Common Stock (CS) Common Equity Tier 1






















2 Common Stock (CS) - Employee Stock Compensation Tier 1






















3 CS Warrants Common Equity Tier 1






















4 CS USG Investment Common Equity Tier 1






















5 Capital Instrument Issued by Subsidiary Common Equity Tier 1






















6 Other Common Equity Tier 1 Instruments Common Equity Tier 1






















7 Non-Cumulative Perpetual Preferred (NCPP) Additional Tier 1






















8 NCPP Convertible Additional Tier 1






















9 Mandatory Convertible Preferred (MCP) Additional Tier 1






















10 MCP USG Preferred Additional Tier 1






















11 Capital Instrument Issued by Subsidiary Additional Tier 1






















12 Other Additional Tier 1 Instruments Additional Tier 1






















13 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 1






















14 CPP TARP Preferred Non-qualifying Instrument in Tier 1






















15 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 1






















16 MCP USG Preferred Non-qualifying Instrument in Tier 1






















17 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 1






















18 USG Preferred TRUPS Non-qualifying Instrument in Tier 1






















19 Other Non-qualifying Instruments in Tier 1 Non-qualifying Instrument in Tier 1






















20 Subordinated Debt Tier 2






















21 Capital Instrument Issued by Subsidiary Tier 2






















22 Other Tier 2 Instruments Tier 2






















23 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 2






















24 CPP TARP Preferred Non-qualifying Instrument in Tier 2






















25 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 2






















26 MCP USG Preferred Non-qualifying Instrument in Tier 2






















27 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 2






















28 USG Preferred TRUPS Non-qualifying Instrument in Tier 2






















29 Other Non-qualifying Instruments in Tier 2 Non-qualifying Instrument in Tier 2











































































Quarterly Issuance Activity























30 Common Stock (CS) Common Equity Tier 1






















31 Common Stock (CS) - Employee Stock Compensation Tier 1






















32 CS Warrants Common Equity Tier 1






















33 CS USG Investment Common Equity Tier 1






















34 Capital Instrument Issued by Subsidiary Common Equity Tier 1






















35 Other Common Equity Tier 1 Instruments Common Equity Tier 1






















36 Non-Cumulative Perpetual Preferred (NCPP) Additional Tier 1






















37 NCPP Convertible Additional Tier 1






















38 Mandatory Convertible Preferred (MCP) Additional Tier 1






















39 MCP USG Preferred Additional Tier 1






















40 Capital Instrument Issued by Subsidiary Additional Tier 1






















41 Other Additional Tier 1 Instruments Additional Tier 1






















42 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 1






















43 CPP TARP Preferred Non-qualifying Instrument in Tier 1






















44 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 1






















45 MCP USG Preferred Non-qualifying Instrument in Tier 1






















46 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 1






















47 USG Preferred TRUPS Non-qualifying Instrument in Tier 1






















48 Other Non-qualifying Instruments in Tier 1 Non-qualifying Instrument in Tier 1






















49 Subordinated Debt Tier 2






















50 Capital Instrument Issued by Subsidiary Tier 2






















51 Other Tier 2 Instruments Tier 2






















52 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 2






















53 CPP TARP Preferred Non-qualifying Instrument in Tier 2






















54 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 2






















55 MCP USG Preferred Non-qualifying Instrument in Tier 2






















56 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 2






















57 USG Preferred TRUPS Non-qualifying Instrument in Tier 2






















58 Other Non-qualifying Instruments in Tier 2 Non-qualifying Instrument in Tier 2

















































Quarterly Activity - Other than issuances or repurchases























59 Common Stock (CS) Common Equity Tier 1






















60 Common Stock (CS) - employee stock compensation Tier 1






















61 CS Warrants Common Equity Tier 1






















62 CS USG Investment Common Equity Tier 1






















63 Capital Instrument Issued by Subsidiary Common Equity Tier 1






















64 Other Common Equity Tier 1 Instruments Common Equity Tier 1






















65 Non-Cumulative Perpetual Preferred (NCPP) Additional Tier 1






















66 NCPP Convertible Additional Tier 1






















67 Mandatory Convertible Preferred (MCP) Additional Tier 1






















68 MCP USG Preferred Additional Tier 1






















69 Capital Instrument Issued by Subsidiary Additional Tier 1






















70 Other Additional Tier 1 Instruments Additional Tier 1






















71 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 1






















72 CPP TARP Preferred Non-qualifying Instrument in Tier 1






















73 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 1






















74 MCP USG Preferred Non-qualifying Instrument in Tier 1






















75 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 1






















76 USG Preferred TRUPS Non-qualifying Instrument in Tier 1






















77 Other Non-qualifying Instruments in Tier 1 Non-qualifying Instrument in Tier 1






















78 Subordinated Debt Tier 2






















79 Capital Instrument Issued by Subsidiary Tier 2






















80 Other Tier 2 Instruments Tier 2






















81 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 2






















82 CPP TARP Preferred Non-qualifying Instrument in Tier 2






















83 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 2






















84 MCP USG Preferred Non-qualifying Instrument in Tier 2






















85 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 2






















86 USG Preferred TRUPS Non-qualifying Instrument in Tier 2






















87 Other Non-qualifying Instruments in Tier 2 Non-qualifying Instrument in Tier 2











































































Capital Balances























88 Common Stock (CS) Common Equity Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
89 CS Warrants Common Equity Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
90 CS USG Investment Common Equity Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
91 Capital Instrument Issued by Subsidiary Common Equity Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
92 Other Common Equity Tier 1 Instruments Common Equity Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
93 Non-Cumulative Perpetual Preferred (NCPP) Additional Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
94 NCPP Convertible Additional Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
95 Mandatory Convertible Preferred (MCP) Additional Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
96 MCP USG Preferred Additional Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
97 Capital Instrument Issued by Subsidiary Additional Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
98 Other Additional Tier 1 Instruments Additional Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
99 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
100 CPP TARP Preferred Non-qualifying Instrument in Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
101 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
102 MCP USG Preferred Non-qualifying Instrument in Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
103 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
104 USG Preferred TRUPS Non-qualifying Instrument in Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
105 Other Non-qualifying Instruments in Tier 1 Non-qualifying Instrument in Tier 1

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
106 Subordinated Debt Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
107 Capital Instrument Issued by Subsidiary Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
108 Other Tier 2 Instruments Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
109 Cumulative Perpetual Preferred (CPP) Non-qualifying Instrument in Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
110 CPP TARP Preferred Non-qualifying Instrument in Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
111 Mandatory Convertible Preferred (MCP) Non-qualifying Instrument in Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
112 MCP USG Preferred Non-qualifying Instrument in Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
113 Cumulative Dated Preferred (TRUPS) Non-qualifying Instrument in Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
114 USG Preferred TRUPS Non-qualifying Instrument in Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0
115 Other Non-qualifying Instruments in Tier 2 Non-qualifying Instrument in Tier 2

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0






























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0 1 1 1 1 1 1 1 1 1
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0 1 1 1 1 1 1 1 1 1




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0 1 1 1 1 1 1 1 1 1




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0 1 1 1 1 1 1 1 1 1




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0 1 1 1 1 1 1 1 1 1




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0 1 1 1 1 1 1 1 1 1




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0 1 1 1 1 1 1 1 1 1




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0 1 1 1 1 1 1 1 1 1




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0 1 1 1 1 1 1 1 1 1




0 1 1 1 1 1 1 1 1 1
0 1 1 1 1 1 1 1 1 1




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