DFAST-14A Regulatory Capital Instruments Annual Schedule

Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of $250 Billion or More

DFAST14A_REGCAPINSTRUMENTS_2023_DRAFT.xlsx

OMB: 1557-0319

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Overview

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

116	Cash Dividends Declared on Preferred Stock
117	Cash Dividends declared on Common Stock
118	Common Shares Outstanding (Millions)
119	Common Dividends Per Share ($)
120	Not Collected by the OCC		0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0
121	Not Collected by the OCC		0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0
122	Not Collected by the OCC		0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0
123	Not Collected by the OCC		0	0	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	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	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
			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	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
			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	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
			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	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
			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	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
			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	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
			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	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
			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	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
			0	1	1	1	1	1	1	1	1	1	0	1	1	1	1	1	1	1	1	1

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File Modified	0000-00-00
File Created	0000-00-00