v3.26.1
Note 5 - Derivatives
6 Months Ended
Jun. 30, 2026
Notes to Financial Statements  
Derivative Instruments and Hedging Activities Disclosure [Text Block]

NOTE 5 DERIVATIVES

 

The Company is exposed to certain risks arising from both its business operations and economic conditions. The Company principally manages its exposures to a wide variety of business and operational risks through management of its core business activities. The Company manages economic risks, including interest rate, liquidity, and credit risk primarily by managing the amount, sources, and duration of its assets and liabilities and through the use of derivative financial instruments. Specifically, the Company enters into derivative financial instruments to manage exposures that arise from business activities that result in the receipt or payment of future known and uncertain cash amounts, the value of which is affected by changes in interest rates.

 

The Company’s predominant derivative and hedging activities involve interest rate swaps related to certain borrowings, brokered deposits, investment securities, forward sales contracts, and commitments to extend credit associated with mortgage banking activities. Generally, these instruments help the Company manage exposure to market risk. Market risk represents the possibility that economic value or net interest income will be adversely affected by fluctuations in external factors such as market-driven interest rates and prices or other economic factors.

 

Mortgage Banking Derivatives Not Designated as Hedges

 

The Company regularly enters into commitments to originate and sell loans held for sale. The Company has exposure to movements in interest rates associated with written interest rate lock commitments with potential borrowers to originate one-to-four-family loans that are intended to be sold and closed one-to-four-family mortgage loans held for sale for which the fair value option has been elected and that are awaiting sale and delivery into the secondary market. The Company economically hedges the risk of changing interest rates associated with these mortgage loan commitments by entering into forward sales contracts to sell one-to-four-family mortgage loans or into contracts to sell forward To-Be-Announced (“TBA”) mortgage-backed securities. These commitments and contracts are considered derivatives but have not been designated as hedging instruments for reporting purposes under U.S. GAAP. Rather, they are accounted for as free-standing derivatives, or economic hedges, with changes in the fair value of the derivatives reported in noninterest income or noninterest expense. The Bank recognizes all derivative instruments as either “Other assets” or “Other liabilities” on the Consolidated Balance Sheets and measures those instruments at fair value.

 

Customer Swaps Not Designated as Hedges

 

The Company also enters into derivative contracts, which consist of interest rate swaps, to facilitate the needs of clients desiring to manage interest rate risk. These swaps are not designated as accounting hedges under ASC 815, Derivatives and Hedging. To economically hedge the interest rate risk associated with offering this product, the Company simultaneously enters into derivative contracts with third parties to offset the customer contracts such that the Company minimizes its net risk exposure resulting from such transactions. The derivative contracts are structured such that the notional amounts reduce over time to generally match the expected amortization of the underlying loans. These derivatives are not speculative and arise from a service provided to clients.

 

Cash Flow Hedges

 

The Company has entered into interest rate swaps to reduce its exposure to variability in interest-related cash outflows attributable to changes in forecasted Secured Overnight Financing Rate (“SOFR”) based brokered deposits. These derivative instruments are designated as cash flow hedges. The hedged item is the SOFR portion of a series of future adjustable-rate borrowings and deposits over the term of the interest rate swap. The Company tests for hedging effectiveness on a quarterly basis. The accumulated other comprehensive income or loss is subsequently reclassified into earnings in the period that the hedged forecasted transaction affects earnings. The Company has not recorded any hedge ineffectiveness since the inception of the hedges.

 

The Company expects that approximately $982,000 will be reclassified from accumulated other comprehensive loss as a decrease to interest expense over the next 12 months related to these cash flow hedges.

 

Fair Value Hedges

 

The Company is exposed to changes in the fair value of certain pools of prepayable fixed-rate assets due to changes in benchmark interest rates. The Company uses interest rate swaps to manage its exposure to changes in fair value on these instruments attributable to changes in the designated benchmark interest rate, SOFR. Interest rate swaps designated as fair value hedges involve the receipt of variable-rate amounts from a counterparty in exchange for the Company making fixed-rate payments over the life of the agreements without the exchange of the underlying notional amount. For derivatives that are designated as and that qualify as fair value hedges, the gain or loss on the derivative, as well as the offsetting loss or gain on the hedged item attributable to the hedged risk are recognized in interest income.

 

The following amounts were recorded on the balance sheet related to cumulative-basis adjustment for fair value hedges for the dates indicated:

 

Line item in the Consolidated Balance Sheets in which the hedged item is included

Carrying Amount of the Hedged Assets

Cumulative Amount of Fair Value Hedging Adjustment Included in the Carrying Amount of the Hedged Assets

June 30, 2026

Investment securities (1)

$

57,050

$

2,950

Total

$

57,050

$

2,950

December 31, 2025

Investment securities (1)

$

57,869

$

2,131

Total

$

57,869

$

2,131

 


(1)

These amounts include the amortized cost basis of closed portfolios used in designated hedging relationships in which the hedged item is the last layer expected to be remaining at the end of the hedging relationship. At  June 30, 2026, the amortized cost basis of the closed portfolios used in these hedging relationships was $175.9 million; the cumulative basis adjustments associated with these hedging relationships was $3.0 million; and the amount of the designated hedged items was $60.0 million.  At  December 31, 2025, the amortized cost basis of the closed portfolios used in these hedging relationships was $179.4 million; the cumulative basis adjustment associated with these hedging relationships was a loss of $2.1 million; and the amount of the designated hedged items was $60.0 million. 

 

The following tables summarize the Company’s derivative instruments at the dates indicated. The Company recognizes derivative assets and liabilities in “Other assets” and “Other liabilities,” respectively, on the Consolidated Balance Sheets, as follows:

 

June 30, 2026

Fair Value

Cash flow and fair value hedges:

Notional

Asset

Liability

Interest rate swaps

$

285,000

$

4,362

$

Non-hedging derivatives:

Fallout adjusted interest rate lock commitments with customers

37,869

616

Mandatory and best effort forward commitments with investors

12,590

7

Forward TBA mortgage-backed securities

45,000

39

Interest rate swaps – customer swap positions

627

49

Interest rate swaps – dealer offsets to customer swap positions

627

49

 

December 31, 2025

Fair Value

Cash flow and fair value hedges:

Notional

Asset

Liability

Interest rate swaps

$

300,000

$

1,894

$

656

Non-hedging derivatives:

Fallout adjusted interest rate lock commitments with customers

25,468

241

Mandatory and best effort forward commitments with investors

8,985

8

Forward TBA mortgage-backed securities

56,000

146

Interest rate swaps – customer swap positions

627

36

Interest rate swaps – dealer offsets to customer swap positions

627

36

 

The following table summarizes the effect of fair value and cash flow hedge accounting on the Consolidated Statements of Income for the three and six months ended June 30, 2026 and 2025:

 

Three Months Ended June 30,

2026

2025

Interest Expense Deposits and Borrowings

Interest Income Securities

Interest Expense Deposits and Borrowings

Interest Income Securities

Total amounts presented on the Consolidated Statements of Income

$

16,105

$

3,460

$

16,105

$

3,665

Net gains (losses) on fair value hedging relationships:

Interest rate swaps – securities

Recognized on hedged items

$

$

(557

)

$

$

1,548

Recognized on derivatives designated as hedging instruments

557

(1,548

)

Net interest income recognized on cash flows of derivatives designated as hedging instruments

163

245

Net income recognized on fair value hedges

$

$

163

$

$

245

Net gain on cash flow hedging relationships:

Interest rate swaps – brokered deposits and borrowings

Realized gains, pre-tax, reclassified from accumulated other comprehensive loss into net income

$

54

$

$

711

$

Net income recognized on cash flow hedges

$

54

$

$

711

$

 

 

 

 

Six Months Ended June 30,

 

 

 

2026

 

 

2025

 

 

 

Interest

 

 

 

 

 

 

Interest

 

 

 

 

 

 

 

Expense

 

 

Interest

 

 

Expense

 

 

Interest

 

 

 

Deposits and

 

 

Income

 

 

Deposits and

 

 

Income

 

 

 

Borrowings

 

 

Securities

 

 

Borrowings

 

 

Securities

 

Total amounts presented on the Consolidated Statements of Income

 

$32,202

 

 

$6,781

 

 

$31,426

 

 

$7,150

 

Net gains (losses) on fair value hedging relationships:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Interest rate swaps – securities

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Recognized on hedged items

 

$

 

 

$(819)

 

 

$

 

 

$1,940

 

Recognized on derivatives designated as hedging instruments

 

 

 

 

 

819

 

 

 

 

 

 

(1,940)

Net interest income recognized on cash flows of derivatives designated as hedging instruments

 

 

 

 

 

327

 

 

 

 

 

 

542

 

Net income recognized on fair value hedges

 

$

 

 

$327

 

 

$

 

 

$542

 

Net gain on cash flow hedging relationships:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Interest rate swaps – brokered deposits and borrowings

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Realized gains, pre-tax, reclassified from accumulated other comprehensive loss into net income

 

$127

 

 

$

 

 

$1,285

 

 

$

 

Net income recognized on cash flow hedges

 

$127

 

 

$

 

 

$1,285

 

 

$

 

 

Changes in the fair value of non-hedging derivatives were recorded in “Gain on sale of loans” on the Consolidated Statements of Income as net losses of $63,000 and net gains of $197,000 for the three months ended  June 30, 2026 and 2025, and net gains of $356,000 and $269,000 for the six months ended  June 30, 2026 and 2025, respectively.

 

The following tables present a summary of amounts outstanding in derivative financial instruments, including those entered into in connection with the same counterparty under master netting agreements at the dates indicated. While these agreements are typically over-collateralized, GAAP requires disclosures in these tables to limit the amount of such collateral recognized for disclosure purposes to the amount of the related asset or liability for each counterparty.

 

 

 

 

 

 

 

Gross Amounts

 

 

Net Amounts of Assets

 

 

Gross Amounts Not Offset

 

 

 

Gross Amounts

 

 

Offset in the

 

 

Presented in the

 

 

in the Consolidated Balance Sheets

 

 

 

of Recognized

 

 

Consolidated

 

 

Consolidated

 

 

Financial

 

 

Cash Collateral

 

 

 

 

 

Offsetting of derivative assets

 

Assets

 

 

Balance Sheets

 

 

Balance Sheets

 

 

Instruments

 

 

Received

 

 

Net Amount

 

At June 30, 2026

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Interest rate swaps

 

$4,536

 

 

$125

 

 

$4,411

 

 

$

 

 

$

 

 

$4,411

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

At December 31, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Interest rate swaps

 

$2,269

 

 

$339

 

 

$1,930

 

 

$

 

 

$

 

 

$1,930

 

 

Net Amounts of

Gross Amounts

Liabilities

Gross Amounts Not Offset

Gross Amounts

Offset in the

Presented in the

in the Consolidated Balance Sheets

of Recognized

Consolidated

Consolidated

Financial

Cash Collateral

Offsetting of derivative liabilities

Liabilities

Balance Sheets

Balance Sheets

Instruments

Posted

Net Amount

At June 30, 2026

Interest rate swaps

$

$

$

$

$

$

At December 31, 2025

Interest rate swaps

$

679

$

23

$

656

$

$

680

$

 

Credit RiskRelated Contingent Features

 

The Company has derivative contracts with its derivative counterparties that contain a provision to post collateral to the counterparties when these contracts are in a net liability position.  At  June 30, 2026, the Company had no collateral posted due to this provision.  Receivables related to cash collateral that has been paid to counterparties are included in “Cash and cash equivalents” on the Consolidated Balance Sheets.  In certain cases, the Company will have posted excess collateral compared to total exposure due to initial margin requirements or day-to-day rate volatility.