FRY-8
OMB Number 7100-0297
_
Approval e~plres Oecember 31. :o~ 5tJt)
Page 1012
(/>T _
Board of Governors of the Federal Reserve System
Annual Report of Holding Companies-FR Y-6 /uJiJUucP
I
Report at the close of business as of the end of fiscal year
This Report Is required by law: Section 5(c)(1)(A) of the Bank
Holding Company Act (12 U.S.C. § 1844 (c)(1)(A)): Section8(a)
of the International Banking Act (12 U.S.C. § 3106(a»; Sections
11(a)(1), 25 and 25A of the Federal Reserve Act (12 U.S.C.
§§ 248(a)(1), 602, and 611a); Section 211.13(c) of Regul~tlon K
(12 C.F.R. § 211.13(c»; and Section 225.5(b) of RegUlation Y (12
C.F.R. § 225.5(b» and section 10(c)(2)(H) of the Home Owners'
Loan Act. Return to the appropriate Federal Reserve Bank the
original and the number of copIes specified.
NOTE: The Annual Report of Holding Companies must ~e signed
by one director of the top-tier holding company. This individual
should also be a senior official of the top-tier holding company. In
the event that the top-tier holding company does not have an
Individual who is a senior official and is also a director, the chair­
man of the board must sign the report.
I, Leroy Watts
This report form Is to be filed by all top-tier bank holding compa­
nies and top-tier savings and loan holding companies organized
under U.S. law. and by any foreign banking organization that
does not meet the requirements of and is not treated as a qualify­
ing foreign banking organIzatIon under Section 211.23 of
Regulation K (12 C.F.R. § 211.23). (See page one of the general
Instructions for more detail of who must file.) The Federal
Reserve may not conduct or sponsor, and an organization (or a
person) is not required to respond to, an Infomlation collection
unless Itdlsplays a currently valid OMB control number.
Date of Report (top-tier holding company's fiscal year-end):
December 31,2012
Month I Oay I Y~ar
Repo(ter's Name, Street, and Mailing Address
Liberty Financial Services
Name of the Holding Company Director and Official Legal nue of Holding Company
EVP/CFO 6600 Plaza Dr., Suite 504
Title of the Holding Company Director and Official (Mailing Addre8s of the Holding Company) Slre!!t I P.O. Box
attest that the Annual Report of Holding Companies (including
the supporting attachments) for this report date has been pre­
pared In conformance with the Instructions issued by the Federal
Reserve System and are true and correct to the best' of my
knowledge and belief.
With respect to information regarding individuals contained in this
report, the Reporter certifies that it has the authority (0 provid~ this
information to the Federal Reserve. The Reporter also oertlfies
thai it has the authorily, on behalf of each Individual, to consent or
object to public release of Informalion regarding that individual.
The Federal Reserve may assume, In the absence of a request for
oonfidential treatment submitted In accordanoe with th~ Board's
"Rules Regarding Availability of Information," 12 G.F.R. Part 261,
that the Reporter mK1 individual consent to public release of all
details i'!)De repo c cemlng that i dividuBI.
-~7
/1,
--'.
.,/
New Orleans
LA
City
State
70127
--ZI-p~Cod-e----
Physlcsllocation (If different from malllng·addren)
Person to whom questlons.about this report should be directed:
Travis McDonald
AVP - Finance
Name
504-240-5295
Area Code I Phone Number I Extension
504-240-2720
Area Code' FPoX NUmber
[email protected]
E-mail AddresS
>
c;:....:....-·slgnature of Ho ng Company Director
and Oiflclal
Address (URL) lor the Holding Company's web page
04/24/2q;
Date of Signature
For holding oompanies l1Q1. registered with the SECIndicate status of Annual Report to Shareholders:
o Is Included with the FR y·a report
o will be sent under separate cover
Does thI'J reporter request confidential treatment for any portIon of this submlssfon? o
Yes Plea8~ Identify the report Items 10 which this request applies: o Is not prepared
o and
In accordance with the Instructions on pages GEN-2
3, a letter Justifying the request is being provided.
o IsThebeing
Information for which confldentlal treatment Is sought
SUbmitted separately labeled "Confidential."
For Federal Reserve Bank Use Only
R$SDID
C.I.
11.3 OS'f~
I8l No
Public repor1Jng burden for this Informallon collecllon Is estimated to vary from 1.3 to 101 hours per r.epons•• with an average 01'5.26 houfll per reoponle. Including lime to gathar and
malnlaln data In the requlro><! form end to revlew Inatrucllons anq comple!o Ihe Information collecllon. Send common Is regarding this burden esUmale or any olher aspect of Ihls Collection of
Inform.Hon, Including suggestions for reducing Ihls burden to: Secretary. Board 01 GovernO/1l oHhe Federal Reserve System. 20th and C Streets, N.W.. \/\IIshiogton. DC 20551. and 10 Ihe
Office of Management and Budget. Pope/work Reduction Project (71 ()()'0297). \/\IIlhlngton. DC 20503.
121201~
0001130548
Liberty Financial Services, Inc.
6600 Plaza Dr., Suite 504
New Orleans, LA 70127
Responses to Y6
Report Item 1a - NI A. The company is privately held and does not file a 10K
Report item 1b - NI A. The company does not prepare an Annual Report to Shareholders.
Report Item 3(2) - None
Liberty Financial Services, Inc. Organizational Chart As of December 31, 2012 'Liberty Financial Services. Inc.
New Orleans, LA
100%
100%
.. Libe rty Comrwnity
Capital Investment
Corporation
Fo~
ProfttCDC
LA-
99.99%
~TX-KS-MO
1
91.65%
40%J
.01%1
Liberty
CodWllity
Ventures I.,
\.
01%1
Liberty
.01%1
Liberty
Conmllnlly
Venture.m.
.01%
.01%·1
L.L.c.
LLC.
L.L.c.
L.LC.
Liberty
Conmuaity
Venture. V,
L.l...C.
NewOriealll,LA
New Orieaas, LA
NewOrlealll,LA
New Orie• . , LA
New Orleans, LA
Capital 0rK! owns
99.99%
Capital One owns
Capital OrK!owns
99.99%
USBllti( owns
9'J,.99%
Cap,"l One owm
Cormmnity
Ventures II.
99.99"16
Liberty
Conammity
VenllU'e'IV.
99.99%
01%1
Liberty
J
.01% 1
Liberty
eo..........,
100%
'Liberty Bank and Trust Company
LA-MS-TX-KS-MO-MI
*LFS Capital Trust n
NcwOrieam,LA
¥
I
100%1
100%
I
··Minority AUiaace
·Liberty IM.ranee,
.....
·Liberty Venhll'e!l
Capital,L.L.c.
J)etroit,MI
New Onellas, LA
NewOrk.M,LA
.01%/
.01%/
.....
.01% 1
100%
eLF'S Capital Trust m
New Orlellll5, LA
I
"Vanclare
Corpol"lltioD.
Detroit. MI
01%1
99%
010/1
Liberty
Liberty
Liberty
Liberty
Liberty
Co.......uty
Commwdty
Ve.hlreslX,
Connudly
Ventures X.
Conmmaity
Conwnmlty
Venture!! XII.
Commwdty
Ventures VI.
LLC.
LLC.
Venture. VIII.
L.L.C.
LLC.
LLC.
LLC.
L.L.c.
New Orle.as, LA
New Oneaas, LA
NewOrle. . . LA
New Orle.ns, LA
NewOrle.... LA
LA-MS-TX-KS-MO
LA-MS-TX-KS-MO
Morgan Stanley ow~
9999%
Suntrust owns
99.99"/0
Whitney owns
I
Venturcsvn,
9999"16
FNBC owns
99.99%
Veahll'e. Xl,
JP Morglln Chase
owns 99.99"/0
..
.01%/
·Liberty
Collllllllllity
Venture.
xm..
LLC.
LA-MS-TX-KS-MO
It
JP Mlr~n Chase
\. owns 99.99%
Liberty
Comrmmity
Ventufts XIV,
.01%L
Liberty
eo........."
Venture. XV,
LLC.
LLC.
LA-~TX-~M()'"
LA-MS-TX-KS-MO­
Ml
Ml
US Bank owns
9999"/0
JP M>rSlln Chase
\. owns 9999"A.
.01%
Liberty
Conmunlty
Venhlres XVI,
.010/·1
Liberty
Con...-ity
Venture.xvn.
L.L.c.
.010/·1
Liberty
CotmUDity
VeatureS XVIII.
LLC.
L.L.C.
LA-MS-TX-KS-MO­
LA-MS-TX-KS-MO­
LA-MS-TX-KS-MO-
Ml
Ml
Ml
JP M>rgan Chase
US Bank owns
JP Morglln Chase
owns 99.99%
99.99"/0
owns 99.99%
1%
- Liberty Financial Services, Inc. owns 88.49% of Liberty Bank and Trust Company
- Liberty Financial Services, Inc. owns 99.99% of Liberty Community Ventures VI, L.L.c.
- Liberty Financial Services, Inc. owns .01% of Liberty Community Ventures XII, XIV-XVIII L.L.c.
- Liberty Financial Services. Inc. owns 100% of Liberty Community Capital Investment Corporation
- Liberty Bank owns 100% of Liberty Insurance, Inc.
- Liberty Bank owns 15% of Minority Alliance Capital, L.L.C.
- Liberty Bank owns 100% of Vandare Corporation
- Liberty Bank owns 100% of Liberty Ventures Inc.
- Liberty Bank owns .01 % of Liberty Community Ventures I-XI L.L.C.s
- Liberty Bank owns 99% of Liberty Community Ventures XIII L.L.c.s
- Liberty Ventures Inc_ owns 1% of Liberty Community Ventures XIII L.L.C.s
• Entities chartered in Louisiana
•• Entities chartered in Michigan
5/21/2013
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Y6 - Report Item 3 Liberty Financial Services, Inc. Stockholders Who Control 5% or More December 31, 2012 Stockholder
Liberty Bank & Trust ESOP
Citizenship
Shares of
Common Stock
Percentage
Ownership
USA
42,993
25.80%
USA
24,084
14.45%
USA
18,285
10.97%
USA
15,664
9.40%
USA
9,000
5.40%
New Orleans, LA
Dr. Norman C. Francis
New Orleans, LA
Alden McDonald, Jr.
New Orleans, LA
Dorion Family Trust
Los Angelos, CA
Michael O'Keefe
New Orleans, LA
Y6 - REPORT ITEM 4 DIRECTORS AND OFFICERS 12-31-12 Name and Address
Principal
Occupation
Position With
Liberty Financial
Services
Position With
Liberty Bank
Positions Held With
Other Companies
% Ownership
of Liberty
Financial
Services, Inc.
% Ownership
of Liberty Bank
Other Companies With
25% or More Ownership
Liberty Bank & Trust
New Orleans, LA
Employee Benefit
Plan
N/A
N/A
N/A
25.80%
1.68%
N/A
Alden J. McDonald, Jr.
New Orleans, LA
President of
Banking
Institution
President/CEO
Director
President/CEO
Director
Chart L.L.c. - Owner
10.97%
None
Damermac, Inc. - 33.3%
Chart L.L.C. - 25%
Grand Theatre - 20%
Norman C. Francis
New Orleans, LA
Carolyn C. Dorion
Los Angelos, CA
**Trustee of Dorion
Family Trust
George Dimitri
New Orleans, LA
University
Administrator
Director &
Chairman
Chairman
Xavier University ­
President
14.45%
1.43%
None
Property Manager
Director
Director
None
9.40%
0.09%
None
Ophthalmologist
Director
Director
Dimitri Eye Clinic ­
Owner
3.75%
None
Dimitri Eye Center - 100%
Sybil H. Morial
Baton Rouge, LA
Retired University
Administrator
Director
Director
Retired
0.54%
None
None
0.91%
0.44%
Bums Management Group ­
100%
Quick Courier Services -26%
New South Parking - 40%
Grand Theatre - 20%
Global Parking - 40%
Owner, Courier
Company
Director
Director
Bums Management
Group & Quick
Courier Services
President/CEO
Cecil Blache
Baton Rouge, LA
Attorney
Director
Director
None
0.30%
None
None
James Smith
New Orleans, LA
Retired/Consultant
Director
Director
None
0.90%
None
None
Ronald V. Bums, Sr.
New Orleans, LA