GENERAL
Fauquier Bankshares, Inc. (the Company) was incorporated under the laws of the Commonwealth
of Virginia on January 13, 1984. The Company is a registered bank holding company and owns all of
the voting shares of The Fauquier Bank (the Bank). The Company engages in its business through
the Bank, a Virginia state-chartered bank that commenced operations in 1902. The Company has no
significant operations other than owning the stock of the Bank. The Company had issued and
outstanding 3,448,786 shares of common stock, par value $3.13 per share, held by approximately 432
holders of record on December 31, 2005. The Bank has eight full service branch offices located in
the Virginia communities of Warrenton, Catlett, The Plains, Sudley Road-Manassas, Old
Town-Manassas, New Baltimore, and Bealeton. The executive offices of the Company and the main
office of the Bank are located at 10 Courthouse Square, Warrenton, Virginia 20186. The Bank has
leased a property in Haymarket, Virginia, where it plans to build its ninth full-service branch
office scheduled to open during the first half of 2007.
THE FAUQUIER BANK
The Banks general market area principally
includes Fauquier County, western Prince William
County, and neighboring communities and is located approximately fifty (50) miles southwest of
Washington, D.C.
The Bank provides a range of consumer and commercial banking services to individuals, businesses
and industries. The deposits of the Bank are insured up to applicable limits by the Bank Insurance
Fund of the Federal Deposit Insurance Fund. The basic services offered by the Bank include: demand
interest bearing and non-interest bearing accounts, money market deposit accounts, NOW accounts,
time deposits, safe deposit services, credit cards, cash management, direct deposits, notary
services, night depository, travelers checks, cashiers checks, domestic collections, savings
bonds, bank drafts, automated teller services, drive-in tellers, internet banking, telephone
banking, and banking by mail. In addition, the Bank makes secured and unsecured commercial and real
estate loans, issues stand-by letters of credit and grants available credit for installment,
unsecured and secured personal loans, residential mortgages and home equity loans, as well as
automobile and other types of consumer financing. The Bank provides automated teller machine
(ATM) cards, as a part of the Star and Plus ATM networks, thereby permitting customers to utilize
the convenience of larger ATM networks.
The Bank operates a Wealth Management Services
(WMS) division that began with the granting of
trust powers to the Bank in 1919. The WMS division provides personalized services that include
investment management, trust, estate settlement, retirement, insurance, and brokerage services.
During 2005, assets managed by WMS increased by $25.0 million to $272.4 million, or 10.1%, when
compared with 2004, with revenue increasing from $1.27 million to $1.33 million or 4.8 %, over the
same time period.
The Bank, through its subsidiary Fauquier Bank Services, Inc., has equity ownership interests in
Bankers Insurance, LLC, a Virginia independent insurance company; Bankers Investments Group, LLC, a
full service broker/dealer; and Bankers Title Shenandoah, LLC, a title insurance company. Bankers
Insurance consists of a consortium of 60 Virginia community bank owners; Bankers Investments Group
is owned by 32 Virginia community banks; and Bankers Title Shenandoah is owned by 10 Virginia
community banks.
The revenues of the Bank are primarily derived from interest on, and fees received in connection
with, real estate and other loans, and from interest and dividends from investment and
mortgage-backed securities, and short-term investments. The principal sources of funds for the
Banks lending activities are its deposits, repayment of loans, the sale and maturity of investment
securities, and borrowings from the Federal Home Loan Bank (FHLB) of Atlanta. Additional revenues
are derived from fees for deposit-related and WMS-related services. The Banks principal expenses
are the interest paid on deposits and operating and general administrative expenses.
As is the case with banking institutions generally, the Banks operations are materially and
significantly influenced by general economic conditions and by related monetary and fiscal policies
of financial institution regulatory agencies, including the Board of Governors of the Federal
Reserve System (Federal Reserve). As a Virginia-chartered bank and a member of the Federal
Reserve, the Bank is supervised and examined by the Federal Reserve and the Virginia State
Corporation Commission (SCC). Interest rates on competing investments and general market rates of
interest
influence deposit flows and costs of funds. Lending activities are affected by the demand for
financing of real estate and other types of loans, which in turn is affected by the interest rates
at which such financing may be offered and other factors affecting local demand and availability of
funds. The Bank faces strong competition in the attraction of deposits (its primary source of
lendable funds) and in the origination of loans. See Competition below.
As of December 31, 2005, the Company had total consolidated assets of $481.2 million, total loans
net of allowance for loan losses of $381.0 million, total consolidated deposits of $391.7 million,
and total consolidated shareholders equity of $35.6 million.
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LENDING ACTIVITIES
The Bank offers a range of lending services, including real estate, consumer and commercial
loans, to individuals as well as small-to-medium sized businesses and other organizations that are
located in or conduct a substantial portion of their business in the Banks market area. The Banks
total loans, net of allowance, at December 31, 2005 were $381.0 million, or 79.2% of total assets.
The interest rates charged on loans vary with the degree of risk, maturity, and amount of the loan,
and are further subject to competitive pressures, money market rates, availability of funds, and
government regulations. The Bank has no foreign loans or loans for highly leveraged transactions.
The Banks primary market area consists of Fauquier and Prince William Counties, Virginia and the
surrounding communities. There is no assurance that this area will experience economic growth.
Adverse conditions in any one or more of the industries operating in Fauquier or Prince William
Counties, or a slow-down in general economic conditions could have an adverse effect on the Company
and the Bank.
The Banks loans are concentrated in three major areas: real estate loans, consumer loans, and
commercial loans. Approximately 9.2% and 10.0% of the Banks loan portfolio at December 31, 2005
consisted of commercial and consumer loans, respectively. The majority of the Banks loans are made
on a secured basis. As of December 31, 2005, approximately 78.4% of the loan portfolio consisted of
loans secured by mortgages on real estate. Income from loans increased 15.7% to $23.19 million for
2005 compared with $20.03 million for 2004. No material part of the Banks business is dependent
upon a single or a few customers, and the loss of any single customer would not have a materially
adverse effect upon the Banks business.
LOANS SECURED BY REAL ESTATE
ONE TO FOUR (1-4) FAMILY RESIDENTIAL LOANS. The Banks 1-4 family residential mortgage loan
portfolio consists of conventional loans, primarily with fixed interest rates with 15 or 30 year
terms, and balloon loans with fixed interest rates, and 3, 5, 7, or 10-year maturities but
utilizing amortization schedules of 30 years or less. As of December 31, 2005, the Banks
conventional 1-4 family residential loans amounted to $154.0 million, or 39.9% of the total loan
portfolio. Substantially all of the Banks single-family residential mortgage loans are secured by
properties located in the Banks service area. The Bank requires private mortgage insurance (PMI)
if the principal amount of the loan exceeds 80% of the value of the property held as collateral.
CONSTRUCTION LOANS. The majority of the Banks construction loans are made to individuals to
construct a primary residence. Such loans have a maximum term of nine months, a fixed rate of
interest, and loan-to-value ratios of 80% or less of the appraised value upon completion. The Bank
requires that permanent financing, with the Bank or some other lender, be in place prior to closing
any construction loan. Construction loans are generally considered to involve a higher degree of
credit risk than single-family residential mortgage loans. The risk of loss on a construction loan
is dependent largely upon the accuracy of the initial estimate of the propertys value at
completion. The Bank also provides construction loans and lines of credit to developers. Such loans
generally have maximum loan-to-value ratios of 80% of the appraised value upon completion. The
loans are made with a fixed rate of interest. The majority of construction loans are made to
selected local developers for the building of single-family dwellings on either a pre-sold or
speculative basis. The Bank limits the number of unsold units under construction at one time. Loan
proceeds are disbursed in stages after inspections of the project indicate that such disbursements
are for costs already incurred and that have added to the value of the project. Construction loans
include loans to developers to acquire the necessary land, develop the site and construct the
residential units. As of December 31, 2005, the Banks construction loans totaled $27.3 million, or
7.1% of the total loan portfolio.
COMMERCIAL REAL ESTATE LOANS. Loans secured by commercial real estate comprised $120.4 million, or
31.2% of total loans at December 31, 2005, and consist principally of commercial loans for which
real estate constitutes a source of collateral. These loans are secured primarily by owner-occupied
properties. Commercial real estate loans generally involve a greater degree of risk than
single-family residential mortgage loans because repayment of commercial real estate loans may be
more vulnerable to adverse conditions in the real estate market or the economy.
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CONSUMER LOANS
The Banks consumer loan portfolio consists primarily of loans to individuals for various
consumer purposes, but includes some business purpose loans that are payable on an installment
basis. The Bank offers a wide variety of consumer loans, including installment loans, credit card
loans, home equity loans, and other secured and unsecured credit facilities. Approximately 89.6% of
these loans, on a dollar-value basis, are for terms of six years or less, and are secured by liens
on motor vehicles of the borrowers. An additional 1.9% of consumer loans are secured by other
personal assets of the borrower, and the remaining 8.5% are made on an unsecured basis. Consumer
loans are made at fixed and variable rates, and are often based on up to a six-year amortization
schedule. The consumer loan portfolio was $38.7 million or 10.0% of total loans at December 31,
2005.
COMMERCIAL LOANS
The Banks commercial loans include loans to individuals and small-to-medium sized businesses
located primarily in Fauquier and Prince William Counties for working capital, equipment purchases,
and various other business purposes. Equipment or similar assets secure approximately 82.4% of the
Banks commercial loans, on a dollar-value basis, with an additional 9.0% secured by the borrowers
accounts receivable, and the remaining 8.6% of commercial loans made on an unsecured basis.
Commercial loans have variable or fixed rates of interest. Commercial lines of credit are typically
granted on a one-year basis. Other commercial loans with terms or amortization schedules longer
than one year will normally carry interest rates that vary with the prime lending rate and other
financial indices and will be payable in full in three to five years.
Loan originations are derived from a number of sources, including existing customers and borrowers,
walk-in customers, advertising, and direct solicitation by the Banks loan officers. Certain
credit risks are inherent in originating and keeping loans on the Banks balance sheet. These
include interest rate and prepayment risks, risks resulting from uncertainties in the future value
of collateral, risks resulting from changes in economic and industry conditions, and risks inherent
in dealing with individual borrowers. In particular, longer maturities increase the risk that
economic conditions will change and adversely affect our ability to collect. The Bank attempts to
minimize loan losses through various means. In particular, on larger credits, the Bank generally
relies on the cash flow of a debtor as the source of repayment and secondarily on the value of the
underlying collateral. In addition, the Bank attempts to utilize shorter loan terms in order to
reduce the risk of a decline in the value of such collateral. The commercial loan portfolio was
$35.5 million or 9.2% of total loans at December 31, 2005.
DEPOSIT ACTIVITIES
Deposits are the major source of the Banks funds for lending and other investment activities.
The Bank considers its regular savings, demand, NOW, premium NOW, and money market deposit accounts
to be core deposits. These accounts comprised approximately 74.5% of the Banks total deposits at
December 31, 2005. Approximately 25.5% of the Banks deposits at December 31, 2005 were
certificates of deposit. Generally, the Bank attempts to maintain the rates paid on its deposits at
a competitive level. Time deposits of $100,000 and over made up approximately 10.0% of the Banks
total deposits at December 31, 2005. During 2005, time deposits of $100,000 and over generally paid
interest at rates the same or higher than certificates of less than $100,000. The majority of the
Banks deposits are generated from Fauquier and Prince William Counties. The Bank has not accepted
brokered deposits to date, but will continue to evaluate many funding sources, including the use of
brokered deposits, as part of its asset/liability management process.
INVESTMENTS
The Bank invests a portion of its assets in U.S. Government-sponsored corporation and agency
obligations, state, county and municipal obligations, corporate obligations, mutual funds, FHLB
stock, and equity securities. The Banks investments are managed in relation to loan demand and
deposit growth, and are generally used to provide for the investment of excess funds at reduced
yields and risks relative to yields and risks of the loan portfolio, while providing
liquidity to fund increases in loan demand or to offset fluctuations in deposits. The Bank does not
currently engage in any off-balance sheet hedging activities. The Banks total investments, at fair
value, were $48.4 million, or 10.1% of total assets at December 31, 2005. During 2005, income from
investments in 2005 totaled $2.17 million, consisting of interest and dividend income. In 2004,
income from investments totaled $1.81 million and consisted of $1.85 million in interest and
dividends and $47,000 in loss on securities available for sale.
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GOVERNMENT SUPERVISION AND REGULATION
GENERAL. Bank holding companies and banks are extensively regulated under both federal and
state law. The following summary briefly addresses certain provisions of federal and state laws
that apply to the Company or the Bank. This summary does not purport to be complete and is
qualified in its entirety by reference to the particular statutory or regulatory provisions.
EFFECT OF GOVERNMENTAL MONETARY POLICIES. The earnings and business of the Company and the Bank are
affected by the economic and monetary policies of various regulatory authorities of the United
States, especially the Federal Reserve. The Federal Reserve, among other things, regulates the
supply of credit and money and setting interest rates in order to influence general economic
conditions within the United States. The instruments of monetary policy employed by the Federal
Reserve for those purposes influence in various ways the overall level of investments, loans, other
extensions of credits, and deposits, and the interest rates paid on liabilities and received on
assets. Federal Reserve monetary policies have had a significant effect on the operating results of
commercial banks in the past and are expected to continue to do so in the future.
SARBANES-OXLEY ACT OF 2002. The Company is subject to the periodic reporting requirements of the
Securities and Exchange Act of 1934, as amended (the Exchange Act), including the filing of
annual, quarterly, and other reports with the Securities and Exchange Commission (the SEC). As an
Exchange Act reporting company, the Company is directly affected by the Sarbanes-Oxley Act of 2002
(the SOX), which is aimed at improving corporate governance, internal controls and reporting
procedures. The Company is complying with applicable SEC and other rules and regulations
implemented pursuant to the SOX and intends to comply with any applicable rules and regulations
implemented in the future.
FINANCIAL SERVICES MODERNIZATION LEGISLATION. The Gramm-Leach-Bliley Financial Services
Modernization Act of 1999 (the Act), was intended to modernize the financial services industry by
establishing a comprehensive framework to permit affiliations among commercial banks, insurance
companies, securities firms and other financial service providers under a financial holding
company structure. Under the Act, bank holding companies that are well-capitalized and
well-managed and meet other conditions can elect to become financial holding companies. As
financial holding companies, they and their subsidiaries are permitted to acquire or engage in
previously impermissible activities such as insurance underwriting, securities underwriting and
distribution, travel agency activities, insurance agency activities, merchant banking and other
activities that the Federal Reserve determines to be financial in nature or complementary to these
activities. Financial holding companies continue to be subject to the overall oversight and
supervision of the Federal Reserve, but the Act applies the concept of functional regulation to the
activities conducted by subsidiaries. For example, insurance activities would be subject to
supervision and regulation by state insurance authorities. Although the Company could qualify to
become a financial holding company under the Act, it does not contemplate seeking to do so unless
it identifies significant specific benefits from doing so. The Act has not had a material effect on
the Company operations. However, to the extent that the Act permits banks, securities firms and
insurance companies to affiliate with each other, the financial services industry may have
experienced further consolidation resulting in a growing number of financial institutions that
offer a wider variety of financial services than the Company currently offers and that can
aggressively compete in the markets the Company currently serves.
BANK HOLDING COMPANY REGULATION. The Company is a one-bank holding company, registered with the
Federal Reserve under the Bank Holding Company Act of 1956 (the BHC Act). As such, the Company is
subject to the supervision, examination, and reporting requirements of the BHC Act and the
regulations of the Federal Reserve. The Company is required to furnish to the Federal Reserve an
annual report of its operations at the end of each fiscal year and such additional information as
the Federal Reserve may require pursuant to the BHC Act. The BHC Act generally prohibits the
Company from engaging in activities other than banking or managing or controlling banks or other
permissible subsidiaries and from acquiring or retaining direct or indirect control of any company
engaged in any
activities other than those activities determined by the Federal Reserve to be sufficiently related
to banking or managing or controlling banks. With some limited exceptions, the BHC Act requires
every bank holding company to obtain the prior approval of the Federal Reserve before: acquiring
substantially all the assets of any bank;
acquiring direct or indirect ownership or control of any voting shares of any bank if after such
acquisition it would own or control more than 5% of the voting shares of such bank (unless it
already owns or controls the majority of such shares); or merging or consolidating with another
bank holding company. In addition, and subject to some exceptions, the BHC Act and the Change in
Bank Control Act, together with the regulations promulgated thereunder, require Federal Reserve
approval prior to any person or company acquiring control of a bank holding company.
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BANK REGULATION. The Bank is chartered under the laws of the Commonwealth of Virginia. The Federal
Deposit Insurance Corporation (the FDIC) insures its deposits to the maximum extent provided by
law. The Bank is subject to comprehensive regulation, examination and supervision by the Federal
Reserve and to other laws and regulations applicable to banks. These regulations include
limitations on loans to a single borrower and to the Banks directors, officers and employees;
restrictions on the opening and closing of branch offices; requirements regarding the maintenance
of prescribed capital and liquidity ratios; requirements to grant credit under equal and fair
conditions; and requirements to disclose the costs and terms of such credit. State regulatory
authorities also have broad enforcement powers over the Bank, including the power to impose fines
and other civil or criminal penalties and to appoint a receiver in order to conserve the Banks
assets for the benefit of depositors and other creditors.
The Bank is also subject to the provisions of the Community Reinvestment Act of 1977 (CRA). Under
the terms of the CRA, the appropriate federal bank regulatory agency is required, in connection
with its examination of a bank, to assess the banks record in meeting the credit needs of the
community served by that bank, including low-and moderate-income neighborhoods. The regulatory
agencys assessment of the banks record is made available to the public. Such assessment is
required of any bank that has applied to (i) charter a national bank, (ii) obtain deposit insurance
coverage for a newly chartered institution, (iii) establish a new branch office that will accept
deposits, (iv) relocate an office, or (v) merge or consolidate with, or acquire the assets or
assume the liabilities of, a federally regulated financial institution. In the case of a bank
holding company applying for approval to acquire a bank or other bank holding company, the Federal
Reserve will assess the record of each subsidiary bank of the applicant bank holding company, and
such records may be the basis for denying the application. The Bank received a rating of
SATISFACTORY at its last CRA performance evaluation as of February 23, 2005.
DIVIDENDS. Dividends from the Bank constitute the primary source of funds for dividends to be paid
by the Company. There are various statutory and contractual limitations on the ability of the Bank
to pay dividends, extend credit, or otherwise supply funds to the Company, including the
requirement under Virginia banking laws that cash dividends only be paid out of net undivided
profits and only if such dividends would not impair the capital of the Bank. The Federal Reserve
also has the general authority to limit the dividends paid by bank holding companies and state
member banks, if the payment of dividends is deemed to constitute an unsafe and unsound practice.
The Federal Reserve has indicated that banking organizations should generally pay dividends only if
(1) the organizations net income available to common shareholders over the past year has been
sufficient to fund fully the dividends and (2) the prospective rate of earnings retention appears
consistent with the organizations capital needs, asset quality and overall financial condition.
The Bank does not expect any of these laws, regulations or policies to materially impact its
ability to pay dividends to the Company.
INSURANCE OF DEPOSITS. The Banks deposit accounts are insured by the FDIC up to a maximum of
$100,000 per insured depositor. The FDIC issues regulations, conducts periodic examinations,
requires the filing of reports and generally supervises the operations of its insured banks. Any
insured bank that is not operated in accordance with or does not conform to FDIC regulations,
policies and directives may be sanctioned for non-compliance. Proceedings may be instituted against
any insured bank or any director, officer, or employee of an insured bank engaging in unsafe and
unsound practices, including the violation of applicable laws and regulations. The FDIC has the
authority to terminate insurance of accounts pursuant to procedures established for that purpose.
The Bank is subject to deposit insurance assessments by the FDIC pursuant to regulations
establishing a risk-related deposit insurance assessment system. FDIC semi-annual assessments are
based upon the institutions capital rating according to the supervising regulators.
CAPITAL REQUIREMENTS. The federal bank regulatory authorities have adopted risk-based capital
guidelines for banks and bank holding companies that are designed to make regulatory capital
requirements more sensitive to
differences in risk profile among banks and bank holding companies. The resulting capital ratios
represent qualifying capital as a percentage of total risk-weighted assets and off-balance sheet
items. The guidelines establish minimums, and the federal regulators have noted that banks and bank
holding companies contemplating significant expansion programs should maintain all ratios well in
excess of the minimums and should not allow expansion to diminish their capital ratios. The current
guidelines require all bank holding companies and federally regulated banks to maintain a minimum
risk-based total capital ratio equal to 8%, of which at least 4% must be Tier 1 capital. Tier 1
capital includes common stockholders equity, retained earnings, qualifying perpetual preferred
stock, and certain hybrid capital instruments, but excludes goodwill and most other intangibles and
excludes the allowance for loan and lease losses. Tier 2 capital includes the excess of any
preferred stock not included in Tier 1 capital, mandatory convertible securities, certain hybrid
capital instruments, subordinated debt and intermediate term-preferred stock, and general reserves
for loan and lease losses up to 1.25% of risk-weighted assets. As of December 31, 2005, the Bank
had a total risk-based capital ratio of 11.87% and a Tier 1 risk-based capital ratio of 10.72%, and
the Company had a total risk-based capital ratio of 11.97% and a Tier 1 risk-based capital ratio of
10.83%.
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Each of the federal regulatory agencies has also established leverage capital ratio guidelines for
banking organizations (Tier 1 capital to average tangible assets, or the leverage ratio). These
guidelines generally provide for a minimum leverage ratio of 4.0% for banks and bank holding
companies. As of December 31, 2005, the Bank had a leverage ratio of 8.58%, and the Company had a
leverage ratio of 8.66%.
The FDIC Improvement Act of 1991 (FDICIA) made a number of reforms addressing the safety and
soundness of deposit insurance funds, supervision, accounting, and prompt regulatory action with
respect to insured institutions such as the Bank which have total assets of $250 million or more.
Annual full-scope, on-site regulatory examinations are required of all insured depository
institutions. The cost for conducting an examination of an institution may be assessed to the
institution, with special consideration given to affiliates and any penalties imposed for failure
to provide information requested. Insured state banks also are precluded from engaging as principal
in any type of activity that is impermissible for a national bank, including activities relating to
insurance and equity investments. FDICIA also re-codified current law under the Federal Reserve Act
restricting extensions of credit to insiders.
FDICIA also contains prompt corrective action provisions pursuant to which banks are classified
into one of five categories based upon capital adequacy, ranging from well capitalized to
critically undercapitalized and which require (subject to certain exceptions) the appropriate
federal banking agency to take prompt corrective action with respect to an institution which
becomes significantly undercapitalized or critically undercapitalized.
The FDIC has issued regulations to implement the prompt corrective action provisions of FDICIA.
In general, the regulations define the five capital categories as follows: (i) an institution is
well capitalized if it has a total risk-based capital ratio of 10% or greater, has a Tier 1
risk-based capital ratio of 6% or greater, has a leverage ratio of 5% or greater and is not subject
to any written order or directive to meet and maintain a specific capital level for any capital
measure; (ii) an institution is adequately capitalized if it has a total risk-based capital ratio
of 8% or greater, has a Tier 1 risk-based capital ratio of 4% or greater, and has a leverage ratio
of 4% or greater; (iii) an institution is undercapitalized if it has a total risk-based capital
ratio of less than 8%, has a Tier 1 risk-based capital ratio that is less than 4% or has a leverage
ratio that is less than 4%; (iv) an institution is significantly undercapitalized if it has a
total risk-based capital ratio that is less than 6%, a Tier 1 risk-based capital ratio that is less
than 3% or has a leverage ratio that is less than 3%; and (v) an institution is critically
undercapitalized if its tangible equity is equal to or less than 2% of its total assets. The
FDIC may take various corrective actions against any undercapitalized bank and any bank that fails
to submit an acceptable capital restoration plan or fails to implement a plan accepted by the FDIC.
These powers include, but are not limited to, requiring the institution to be recapitalized,
prohibiting asset growth, restricting interest rates paid, requiring prior approval of capital
distributions by any bank holding company that controls the institution, requiring divestiture by
the institution of its subsidiaries or by the holding company of the institution itself, requiring
new election of directors, and requiring the dismissal of directors and officers. The Bank was
notified by the Federal Reserve Bank of Richmond that, at December 31, 2005, both the Company and
the Bank were considered well capitalized.
FEDERAL HOME LOAN BANK (FHLB) OF ATLANTA. The Bank is a member of the FHLB of Atlanta, which is
one of twelve regional FHLBs that provide funding to their members for making housing loans as well
as loans for affordable housing and community development lending. Each FHLB serves as a reserve or
central bank for its members within its assigned region. It is funded primarily from proceeds
derived from the sale of consolidated
obligations of the FHLB system. It makes loans to its members (i.e., advances) in accordance with
policies and procedures established by the Board of Directors of the FHLB. As a member, the Bank is
required to purchase and maintain stock in the FHLB in an amount equal to at least 5% of the
aggregate outstanding advances made by the FHLB to the Bank. In addition, the Bank is required to
pledge collateral for outstanding advances. The borrowing agreement with the FHLB of Atlanta
provides for the pledge by the Bank of various forms of securities and mortgage loans as
collateral.
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USA PATRIOT ACT. The USA PATRIOT Act became effective on October 26, 2001 and provides for the
facilitation of information sharing among governmental entities and financial institutions for the
purpose of combating terrorism and money laundering. Among other provisions, the USA PATRIOT Act
permits financial institutions, upon providing notice to the United States Treasury, to share
information with one another in order to better identify and report to the federal government
concerning activities that may involve money laundering or terrorists activities. The USA PATRIOT
Act is considered a significant banking law in terms of information disclosure regarding certain
customer transactions. Certain provisions of the USA PATRIOT Act impose the obligation to establish
anti-money laundering programs, including the development of a customer identification program, and
the screening of all customers against any government lists of known or suspected terrorists.
Although it does create a reporting obligation and a cost of compliance, the USA PATRIOT Act has
not materially affected the Banks products, services, or other business activities.
MORTGAGE BANKING REGULATION. The Banks mortgage banking activities are subject to the rules and
regulations of, and examination by the Department of Housing and Urban Development, the Federal
Housing Administration, the Department of Veterans Affairs and state regulatory authorities with
respect to originating, processing and selling mortgage loans. Those rules and regulations, among
other things, establish standards for loan origination, prohibit discrimination, provide for
inspections and appraisals of property, require credit reports on prospective borrowers and, in
some cases, restrict certain loan features, and fix maximum interest rates and fees. In addition
to other federal laws, mortgage origination activities are subject to the Equal Credit Opportunity
Act, Truth-in-Lending Act, Home Mortgage Disclosure Act, Real Estate Settlement Procedures Act, and
Home Ownership Equity Protection Act, and the regulations promulgated under these acts. These laws
prohibit discrimination, require the disclosure of certain basic information to mortgagors
concerning credit and settlement costs, limit payment for settlement services to the reasonable
value of the services rendered and require the maintenance and disclosure of information regarding
the disposition of mortgage applications based on race, gender, geographical distribution and
income level.
CONSUMER LAWS AND REGULATIONS. The Bank is also subject to certain consumer laws and regulations
that are designed to protect consumers in transactions with banks. While the list set forth herein
is not exhaustive, these laws and regulations include the Truth in Lending Act, the Truth in
Savings Act, the Electronic Funds Transfer Act, the Expedited Funds Availability Act, the Equal
Credit Opportunity Act, the Fair Credit Reporting Act, the Fair Housing Act and the Act, among
others. These laws and regulations mandate certain disclosure requirements and regulate the manner
in which financial institutions must deal with customers when taking deposits, making loans to or
engaging in other types of transactions with such customers.
LOANS TO INSIDERS
The Federal Reserve Act and related regulations impose specific restrictions on loans to
directors, executive officers and principal shareholders of banks. Under Section 22(h) of the
Federal Reserve Act, loans to a director, an executive officer and to a principal shareholder of a
bank, and some affiliated entities of any of the foregoing, may not exceed, together with all other
outstanding loans to such person and affiliated entities, the banks loan-to-one borrower limit.
Loans in the aggregate to insiders and their related interests as a class may not exceed two times
the banks unimpaired capital and unimpaired surplus until the banks total assets equal or exceed
$100 million, at which time the aggregate is limited to the banks unimpaired capital and
unimpaired surplus. Section 22(h) also prohibits loans, above amounts prescribed by the appropriate
federal banking agency, to directors, executive officers and principal shareholders of a bank or
bank holding company, and their respective affiliates, unless such loan is approved in advance by a
majority of the board of directors of the bank with any interested director not participating in
the voting. The FDIC has prescribed the loan amount, which includes all other outstanding loans to
such person, as to which such prior board of director approval is required, as being the greater of
$25,000 or 5% of capital and surplus (up to $500,000). Section
22(h) requires that loans to directors, executive officers and principal shareholders be made on
terms and underwriting standards substantially the same as offered in comparable transactions to
other persons.
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FUTURE REGULATORY UNCERTAINTY
Because federal regulation of financial institutions changes regularly and is the subject of
constant legislative debate, the Company cannot forecast how federal regulation of financial
institutions may change in the future and impact its operations. Although Congress in recent years
has sought to reduce the regulatory burden on financial institutions with respect to the approval
of specific transactions, the Company fully expects that the financial institution industry will
remain heavily regulated in the near future and that additional laws or regulations may be adopted
further regulating specific banking practices.
COMPETITION
The Company encounters strong competition both in making loans and in attracting deposits. In
one or more aspects of its business, the Bank competes with other commercial banks, savings and
loan associations, credit unions, finance companies, mutual funds, insurance companies, brokerage
and investment banking companies, and other financial intermediaries. Most of these competitors,
some of which are affiliated with bank holding companies, have substantially greater resources and
lending limits, and may offer certain services that the Bank does not currently provide. In
addition, many of the Banks non-bank competitors are not subject to the same level of federal
regulation that governs bank holding companies and federally insured banks. Recent federal and
state legislation has heightened the competitive environment in which financial institutions must
conduct their business, and the potential for competition among financial institutions of all types
has increased significantly. To compete, the Bank relies upon specialized services, responsive
handling of customer needs, and personal contacts by its officers, directors, and staff. Large
multi-branch banking institutions tend to compete based primarily on price and the number and
location of branches while smaller, independent financial institutions tend to compete primarily on
price and personal service.
EMPLOYEES
As of December 31, 2005, the Company and the Bank employed 121 full-time employees and 26
part-time employees compared with 119 full-time and 28 part-time employees as of December 31, 2004.
No employee is represented by a collective bargaining unit. The Company and the Bank consider
relations with employees to be good.
AVAILABLE INFORMATION
The Company files annual, quarterly and current reports, proxy statements and other
information with the SEC. The Companys SEC filings are filed electronically and are available to
the public over the internet at the SECs website at http://www.sec.gov. In addition, any document
filed by the Company with the SEC can be read and copied at the SECs public reference facilities
at 100 F Street, N.E., Washington, D.C. 20549. Copies of documents can be obtained at prescribed
rates by writing to the Public Reference Section of the SEC at 100 F Street, N.E., Washington, D.C.
20549. The public may obtain information on the operation of the public reference room by calling
1-800-SEC-0330. The Companys website is
http://www.fauquierbank.com . The Company makes its SEC
filings available through this website under Investor Relations, Documents as soon as
practicable after filing or furnishing the material with the SEC. Copies of documents can also be
obtained free of charge by writing to Secretary, Fauquier Bankshares, Inc. at 10 Courthouse Square,
Warrenton, Virginia 20186 or by calling 540-347-2700.
ITEM 1A. RISK FACTORS
Our profitability may suffer because of rapid and unpredictable changes in the highly
regulated environment in which we operate.
We are subject to extensive supervision by several governmental regulatory agencies at the federal
and state levels. Recently enacted, proposed and future banking legislation and regulations have
had, will continue to have, or may have a significant impact on the financial services industry.
These regulations, which are intended to protect depositors and not our shareholders, and the
interpretation and application of them by federal and state regulators, are beyond our control, may
change rapidly and unpredictably and can be expected to influence our earnings and growth. Our
success depends on our continued ability to maintain compliance with these regulations. Failure to
comply with existing or new
laws, regulations or policies could result in sanctions by regulatory agencies, civil money
penalties and/or reputation damage, which could have an adverse effect on our business, financial
condition and results of operations. Regulatory changes may increase our costs, limit the types of
financial services and products we may offer and/or increase the ability of non-banks to offer
competing financial services and products and thus place other entities that are not subject to
similar regulation in stronger, more favorable competitive positions, which could adversely affect
our growth.
- 10 -
Efforts to comply with the Sarbanes-Oxley Act will involve significant expenditures, and
non-compliance with the Sarbanes-Oxley Act may adversely affect us.
The Sarbanes-Oxley Act of 2002, and the related rules and regulations promulgated by the Securities
and Exchange Commission that apply to us, have increased the scope, complexity and cost of
corporate governance, reporting and disclosure practices. We have experienced, and we expect to
continue to experience, greater compliance costs, including costs related to internal controls, as
a result of the Sarbanes-Oxley Act. For example, by December 31, 2006 we may be required to comply
with Section 404 of the Sarbanes-Oxley Act and issue a report on our internal controls. We expect
these new rules and regulations to continue to increase our accounting, legal and other costs, and
to make some activities more difficult, time consuming and costly. In the event that we are unable
to comply with the Sarbanes-Oxley Act and related rules, we may be adversely affected.
We depend on the services of our key personnel, and a loss of any of those personnel would disrupt
our operations and result in reduced revenues.
Our success depends upon the continued service of our senior management team and upon our ability
to attract and retain qualified financial services personnel. Competition for qualified employees
is intense. In our experience, it can take a significant period of time to identify and hire
personnel with the combination of skills and attributes required in carrying out our strategy. If
we lose the services of our key personnel, or are unable to attract additional qualified personnel,
our business, financial condition, results of operations and cash flows could be materially
adversely affected.
We may incur losses if we are unable to successfully manage interest rate risk.
Our profitability will depend in substantial part upon the spread between the interest rates earned
on investments and loans and interest rates paid on deposits and other interest-bearing
liabilities. We may selectively pay above-market rates to attract deposits as we have done in some
of our marketing promotions in the past. Changes in interest rates will affect our operating
performance and financial condition in diverse ways including the pricing of securities, loans and
deposits, which, in turn, may affect our growth in loan and retail deposit volume. We attempt to
minimize our exposure to interest rate risk, but we will be unable to eliminate it. Our net
interest income will be adversely affected if market interest rates change so that the interest we
pay on deposits and borrowings increases faster than the interest we earn on loans and investments.
Changes in interest rates also affect the value of our loans. An increase in interest rates could
adversely affect borrowers ability to pay the principal or interest on existing loans or reduce
their desire to borrow more money. This may lead to an increase in our nonperforming assets or a
decrease in loan originations, either of which could have a material and negative effect on our
results of operations.. Our net interest spread will depend on many factors that are partly or
entirely outside our control, including competition, federal economic, monetary and fiscal
policies, and economic conditions generally. Fluctuations in market rates are neither predictable
nor controllable and may have a material and negative effect on our business, financial condition
and results of operations.
We may be adversely affected by economic conditions in our market area.
Our marketplace is primarily in Fauquier and western Prince William Counties in northern Virginia.
Many, if not most, of our customers live and/or work in the greater Washington, D.C. metropolitan
area. Because our lending, deposit gathering, and wealth management services are concentrated in
this market, we are affected by the general economic conditions in the greater Washington area.
Changes in the economy may influence the growth rate of our loans and deposits, the quality of our
loan portfolio and loan and deposit pricing and the performance of our wealth management business.
A significant decline in economic conditions caused by inflation, recession, unemployment or other
factors beyond our control could decrease the demand for banking products and services generally
and/or impair the ability of existing borrowers to repay their loans, which could negatively affect
our financial condition and performance.
In recent years, there has been a proliferation of technology and communications businesses in our
market area. Although we do not have significant credit exposure to these businesses, a downturn in
these industries could have a negative impact on local economic conditions and real estate
collateral values generally, which could negatively affect our profitability. In addition, a
downturn in Washington-based federal government employment could have a negative impact on local
economic conditions and real estate collateral values, and could also negatively affect our
profitability.
- 11 -
We have a high concentration of loans secured by real estate and a downturn in the real estate
market, for any reason, may increase our credit losses, which would negatively affect our financial
results.
We offer a variety of secured loans, including commercial lines of credit, commercial term loans,
real estate, construction, home equity, consumer and other loans. Most of our loans are secured by
real estate (both residential and commercial) in our market area. At December 31, 2005,
approximately 40% and 31% of our $381 million loan portfolio were secured by post-construction
residential and commercial real estate, respectively, with construction loans representing an
additional 7% of our loans secured by real estate. Changes in the real estate market, such as
deterioration in market value of collateral, or a decline in local employment, could adversely
affect our customers ability to pay these loans, which in turn could impact our profitability. If
the value of real estate serving as collateral for the loan portfolio were to decline materially, a
significant part of the loan portfolio could become under-collateralized. If the loans that are
secured by real estate become troubled when real estate market conditions are declining or have
declined, in the event of foreclosure, we may not be able to realize the amount of collateral that
we anticipated at the time of originating the loan. In that event, we might have to increase the
provision for loan losses, which could have a material adverse effect on our operating results and
financial condition.
If our allowance for loan losses becomes inadequate, our results of operations may be adversely
affected.
We maintain an allowance for loan losses that we believe is a reasonable estimate of known and
inherent losses in our loan portfolio. Through periodic review of our loan portfolio, we determine
the amount of the allowance for loan losses by considering general market conditions, credit
quality of the loan portfolio, the collateral supporting the loans and performance of our customers
relative to their financial obligations with us. The amount of future losses is susceptible to
changes in economic and other market conditions, including changes in interest rates and collateral
values that are beyond our control, and these future losses may exceed our current estimates.
Rapidly growing loan portfolios are, by their nature, unseasoned. As a result, estimating loan loss
allowances is more difficult, and may be more susceptible to changes in estimates, and to losses
exceeding estimates, than more seasoned portfolios. Although we believe the allowance for loan
losses is a reasonable estimate of known and inherent losses in our loan portfolio, we cannot fully
predict such losses or that our loan loss allowance will be adequate in the future. Excessive loan
losses could have a material impact on our financial performance.
Federal and state regulators periodically review our allowance for loan losses and may require us
to increase our provision for loan losses or recognize further loan charge-offs, based on judgments
different than those of our management. Any increase in the amount of our provision or loans
charged-off as required by these regulatory agencies could have a negative effect on our operating
results.
Our future success is dependent on our ability to compete effectively in the highly competitive
banking industry.
The Northern Virginia and the greater Washington, D.C. metropolitan area in which we operate is
considered highly attractive from an economic and demographic viewpoint, and is therefore a highly
competitive banking and mortgage banking market. We face vigorous competition from other
banks and other financial service institutions in our market area. A number of these banks and
other financial institutions are significantly larger than we are and have substantially greater
access to capital and other resources, larger lending limits, wider branch networks, and larger
marketing budgets. To a limited extent, we also compete with other providers of financial services,
such as money market mutual funds, brokerage firms, consumer finance companies, insurance companies
and governmental organizations which may offer more favorable financing than we can. Many of our
non-bank competitors are not subject to the same extensive regulations and/or tax laws that govern
us. As a result, these non-bank competitors have advantages over us in providing certain services.
Failure to compete effectively to attract new customers and retain/or retain existing
customers may reduce or limit our margins and our market share and may adversely affect our results
of operations and financial condition.
- 12 -
If we need additional capital in the future to continue our growth, we may not be able to obtain it
on terms that are favorable. This could negatively affect our performance and the value of our
common stock.
Our business strategy calls for continued growth. We anticipate that we will be able to support our
growth strategy primarily through the generation of retained earnings. However, we may need to
raise additional capital in the future to support our growth and to maintain our capital levels.
Our ability to raise capital through the sale of additional securities will depend primarily upon
our financial condition and the condition of financial markets at that time, and we may not be able
to obtain additional capital when needed on terms that are satisfactory to us. This could
negatively affect our performance and the value of our common stock. Our growth may be constrained
if we are unable to raise additional capital as needed.
The Banks ability to pay dividends is subject to regulatory limitations which may affect our
ability to pay its obligations and pay dividends.
The Company is a separate legal entity from the Bank and its subsidiaries and does not have
significant operations which generate cash. We currently depend on the Banks cash and liquidity,
transferred to the Company as dividends from the Bank, to pay the Companys operating expenses and
dividends to shareholders. No assurance can be made that in the future the Bank will have the
capacity to pay the necessary dividends or that the Company will not require dividends from the
Bank to satisfy the Companys obligations. The availability of dividends from the Bank is limited
by various statutes and regulations. It is possible, depending upon the financial condition of the
Company and other factors, that the state and/or federal bank regulators could assert that payment
of dividends or other payments by the Bank are an unsafe or unsound practice. In the event the Bank
is unable to pay sufficient dividends to the Company, the Company may not be able to service its
obligations as they become due, or pay dividends on the Companys common stock. Consequently, the
inability to receive dividends from the Bank could adversely affect our financial condition,
results of operations, cash flows and prospects.
Our recent operating results may not be indicative of our future operating results.
We may not be able to sustain our historical rate of growth and may not even be able to grow our
business at all. If we continue to expand, it will be difficult for us to generate similar earnings
growth. Consequently, our historical results of operations are not necessarily indicative of our
future operations. Various factors, such as economic conditions, regulatory and legislative
considerations and competition may also impede our ability to expand our market presence. If we
experience a significant decrease in our rate of growth, our results of operations and financial
condition may be adversely affected because a high percentage of our operating costs are fixed
expenses.
If we cannot maintain our corporate culture as we grow, our business could be harmed.
We believe that a critical contributor to our success has been our corporate culture, which focuses
on building personal relationships with our customers. As our organization grows, and we are
required to implement more complex organizational management structures, we may find it
increasingly difficult to maintain the beneficial aspects of our corporate culture. This could
negatively impact our future success.
ITEM 1B. UNRESOLVED STAFF COMMENTS
None.
- 13 -
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Research Report
Description
Level 2 quotes
Charts
News
Profile
Balance Sheet
Income Statement
Cash Flow Statement
Insiders
SEC Filings
Analyst Recommendation
Earnings Report
Historical Prices
Recent Material Events
Key executives
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