Sec Form 20-F - Registration Statement/annual Report/transition Report/shell Company Report Page 40
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69institution; or
iii.
The Federal Reserve Board or Office of Thrift Supervision determines, after notice and opportunity for
hearing,that the registrant directly or indirectly exercises a controlling influence over the management or
policies of the depository institution;
C.
For purposes of instruction 2.B. of the General Instructions to Items 11(a), 11(b), 11(c), 11(d), and 11(e), a
depository institution means any of the following:
i.
An insured depository institution as defined in section 3(c)(2) of the Federal Deposit Insurance Act (12
U.S.C.A. Sec.1813 (c));
ii.
An institution organized under the laws of the United States, any State of the United States, the District of
Columbia,any territory of the United States, Puerto Rico, Guam, American Samoa, or the Virgin Islands, which
both accepts demand deposits or deposits that the depositor may withdraw by check or similar means for
payment to third parties or others and is engaged in the business of making commercial loans.
D.
For purposes of instruction 1. of the General Instructions to Items 11(a), 11(b), 11(c), 11(d), and 11(e),market
capitalization is the aggregate market value of common equity as set forth in General Instruction I.B.1. of Form S-3;
provided however, that common equity held by affiliates is included in the calculation of market capitalization; and
provided further that instead of using the 60 day period prior to filing referenced in General Instruction I.B.1. of
Form S-3, the measurement date is January 28, 1997.
Appendix to Item 11 - Tabular Disclosures
The tables set forth below are illustrative of the format that might be used when a registrant elects to present the information
required by paragraph (a)(1)(i)(A) of Item 11 regarding terms and information about derivative financial instruments, other financial
instruments, and derivative commodity instruments. These examples are for illustrative purposes only. Registrants are not required
to display the information in the specific format illustrated below. Alternative methods of display are permissible as long as the
disclosure requirements of the section are satisfied. Furthermore, these examples were designed primarily to illustrate possible
formats for presentation of the information required by the disclosure item and do not purport to illustrate the broad range of derivative
financial instruments, other financial instruments, and derivative commodity instruments utilized by registrants.
Interest Rate Sensitivity
The table below provides information about the Company’s derivative financial instruments and other financial instruments
that are sensitive to changes in interest rates, including interest rate swaps and debt obligations. For debt obligations, the table
presents principal cash flows and related weighted average interest rates by expected maturity dates. For interest rate swaps, the
table presents notional amounts and weighted average interest rates by expected (contractual) maturity dates. Notional amounts
are used to calculate the contractual payments to be exchanged under the contract. Weighted average variable rates are based on
implied forward rates in the yield curve at the reporting date. The information is presented in U.S. dollar equivalents, which is the
Company’s reporting currency. The instrument’s actual cash flows are denominated in both U.S. dollars ($US) and German
deutschmarks (DM), as indicated in parentheses.
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