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U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending August 12, 2011
CAPITAL PURCHASE PROGRAM
Seller
Footnote
1b
11, 23 5/26/2010
14
3a 11/24/2009
Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation
NC
NY
Investment Description
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
15,000,000,000
3,000,000,000
Citigroup Inc.
New York
NY
Common Stock w/ Warrants
$
25,000,000,000
Par
The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
Morgan Stanley
State Street Corporation
Wells Fargo & Company
Bank of Commerce Holdings
1st FS Corporation
UCBH Holdings, Inc.
Northern Trust Corporation
SunTrust Banks, Inc.
New York
New York
New York
Boston
San Francisco
Redding
Hendersonville
San Francisco
Chicago
Atlanta
NY
NY
NY
MA
CA
CA
NC
CA
IL
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
16,369,000
298,737,000
1,576,000,000
3,500,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/14/2008
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
9,000,000
Par
11/14/2008
11/14/2008
Washington Federal, Inc.
BB&T Corp.
M&T Bank Corporation (Provident Bancshares
Corp.)
Umpqua Holdings Corp.
Comerica Inc.
Regions Financial Corporation
Capital One Financial Corporation
First Horizon National Corporation
Huntington Bancshares
KeyCorp
Seattle
Winston-Salem
WA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
200,000,000
3,133,640,000
Par
Par
Baltimore
MD
Preferred Stock w/ Warrants
$
151,500,000
Par
Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland
OR
TX
AL
VA
TN
OH
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
Par
Par
Par
Par
Par
Par
Par
11/14/2008
47 6/30/2011
Charlotte
New York
State
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
4
$ 15,000,000,000
Par
12/9/2009
Par
6/17/2009 4 $
3,000,000,000
10/28/2008
10/28/2008
10/28/2008
10/28/2008
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
29 9/24/2010
City
Capital Repayment Details
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
44 5/16/2011
Purchase Details
Valley National Bancorp
Wayne
NJ
Preferred Stock w/ Warrants
$
300,000,000
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
$
0
0
Final Disposition
Final
Disposition
Date
Warrants
Warrants
3/3/2010
8/5/2009
Disposition
Investment
Description
Warrants
Warrants
15
1b
Final Disposition
Proceeds
A $
R $
23
$
25,000,000,000
$
0
Warrants
1/25/2011
Warrants
A $
6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
4
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
$
$
$
$
$
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010
Warrants
Warrants
Warrants
Warrants
Warrants
R
A
R
R
A
6/17/2009
3/30/2011
4
$
$
1,576,000,000
3,500,000,000
$
$
0
0
Warrants
Warrants
8/26/2009
5/27/2009
6/17/2009
4
$
$
200,000,000
3,133,640,000
$
$
0
0
Warrants
Warrants
2/17/2010
3/17/2010
5
$
$
214,181,000
2,250,000,000
$
$
0
0
6/17/2009
12/22/2010
12/22/2010
3/30/2011
4
$
$
$
$
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
$
$
$
$
0
0
0
0
6/3/2009
4
$
75,000,000
$
225,000,000
9/23/2009
4
$
125,000,000
$
100,000,000
12/23/2009
4
$
100,000,000
$
**
4
4
5
4
4
4
4
4
4
4
0
186,342,969
136,000,000
54,621,849
$
$
$
$
$
1,100,000,000
950,318,243
950,000,000
60,000,000
849,014,998
Warrants
R $
87,000,000
3/9/2010
7/22/2009
Warrants
Warrants
A $
R $
15,623,222
67,010,402
Warrants
Warrants
3/31/2010
5/6/2010
Warrants
Warrants
R $
A $
4,500,000
183,673,472
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
12/3/2009
3/9/2011
1/19/2011
4/20/2011
Warrants
Warrants
Warrants
Warrants
A
R
R
R
$
$
$
$
148,731,030
79,700,000
49,100,000
70,000,000
5/18/2010
Warrants
A $
5,571,592
11/14/2008
Zions Bancorporation
Salt Lake City
UT
Preferred Stock w/ Warrants
$
1,400,000,000
11/14/2008
Marshall & Ilsley Corporation
Milwaukee
WI
Preferred Stock w/ Warrants
$
1,715,000,000
Par
7/5/2011
44
$
1,715,000,000
$
0
Warrants
7/5/2011
Warrants
11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport
MN
MN
NY
SD
FL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
Par
Par
Par
Par
Par
6/17/2009
4/22/2009
5/27/2009
6/3/2009
9/30/2009
4
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
$
$
$
$
$
0
0
0
0
0
7/15/2009
12/15/2009
6/24/2009
6/30/2009
10/28/2009
Warrants
Warrants
Warrants
Warrants
Warrants
City National Corporation
Beverly Hills
CA
Preferred Stock w/ Warrants
$
400,000,000
Par
12/30/2009
4
11/21/2008
$
200,000,000
$
4/7/2010
3/3/2010
7/8/2009
4
$
$
200,000,000
41,500,000
$
$
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
3/3/2010
4
$
100,000,000
$
300,000,000
10/13/2010
4
$
100,000,000
$
200,000,000
6/2/2011
12/29/2010
4
$200,000,000
$
0
9
9
Par
11/21/2008
11/21/2008
First Community Bankshares Inc.
Western Alliance Bancorporation
Bluefield
Las Vegas
VA
NV
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,500,000
140,000,000
Par
Par
11/21/2008
Webster Financial Corporation
Waterbury
CT
Preferred Stock w/ Warrants
$
400,000,000
Par
11/21/2008
Pacific Capital Bancorp
Santa Barbara
CA
Common Stock w/ Warrants
$
195,045,000
Par
11/21/2008
11/21/2008
11/21/2008
11/21/2008
Heritage Commerce Corp.
Ameris Bancorp
Porter Bancorp Inc.
Banner Corporation
San Jose
Moultrie
Louisville
Walla Walla
CA
GA
KY
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
40,000,000
52,000,000
35,000,000
124,000,000
Par
Par
Par
Par
4
5
4
5
5
200,000,000
0
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
44
R $
9
R
A
R
R
R
139,000,000
9,599,964
2,700,000
650,000
212,000
Warrants
R $
18,500,000
Warrants
A $
20,678,339
N/A
9
11/21/2008
Cascade Financial Corporation
Everett
WA
Preferred Stock w/ Warrants
$
38,970,000
Par
6/30/2011
47
$
16,250,000
$
0
N/A
N/A
N/A
47
-
11/21/2008
11/21/2008
Columbia Banking System, Inc.
Heritage Financial Corporation
Tacoma
Olympia
WA
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
76,898,000
24,000,000
Par
Par
8/11/2010
12/22/2010
4
$
$
76,898,000
24,000,000
$
$
0
0
Warrants
Warrants
9/1/2010
Warrants
9
R $
4
3,250,000
$
$
$
$
$
3,301,647
Page 1 of 13
Seller
Footnote
14, 20
49
26 9/30/2010
17, 54
12
49
32 9/30/2010
55
24
50
35
43 5/13/2011
Purchase Date
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
11/21/2008
11/21/2008
First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.
Chula Vista
Annapolis
CA
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
19,300,000
23,393,000
Par
Par
11/21/2008
Boston Private Financial Holdings, Inc.
Boston
MA
Preferred Stock w/ Warrants
$
154,000,000
Par
12/15/2010
4
$
1/13/2010
4
6/16/2010
4
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
19,300,000
$
$
50,000,000
$
$
104,000,000
$
0
Warrants
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
1/5/2011
Warrants
R $
1,003,227
11/21/2008
Associated Banc-Corp
Green Bay
WI
Preferred Stock w/ Warrants
$
525,000,000
Par
4/6/2011
4
$
262,500,000
$
11/21/2008
11/21/2008
11/21/2008
11/21/2008
Trustmark Corporation
First Community Corporation
Taylor Capital Group
Nara Bancorp, Inc.
Jackson
Lexington
Rosemont
Los Angeles
MS
SC
IL
CA
$
$
$
$
215,000,000
11,350,000
104,823,000
67,000,000
Par
Par
Par
Par
12/9/2009
4
$
215,000,000
$
0
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
IL
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation
Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette
IL
IL
GA
WV
TX
CA
LA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
9/9/2009
4
$
75,000,000
$
0
Warrants
12/23/2009
Warrants
R $
950,000
9/16/2009
3/31/2009
4
$
$
1,700,000
90,000,000
$
$
0
0
10/14/2009
5/20/2009
Warrants
Warrants
R $
R $
63,364
1,200,000
12/5/2008
Eagle Bancorp, Inc.
Bethesda
MD
Preferred Stock w/ Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
2/23/2011
Warrants
R $
4,450,000
$
89,388,000
Par
$
$
$
$
$
$
$
196,000,000
193,000,000
180,000,000
75,000,000
34,000,000
1,700,000
90,000,000
Par
Par
Par
Par
Par
Par
Par
$
38,235,000
Par
5
104,000,000
0
262,500,000
12/23/2009
5
$
15,000,000
$
7/14/2011
49
$
23,235,000
$
7/21/2010
4
$
41,547,000
$
12/15/2010
4
$
41,547,000
$
0
Preferred Stock w/
Warrants
Warrants
23,235,000
0
41,547,000
2/1/2011
Warrants
A $
6,352,500
12/30/2009
Warrants
R $
10,000,000
9
Warrants
12/5/2008
Sandy Spring Bancorp, Inc.
Olney
MD
Preferred Stock w/ Warrants
$
83,094,000
Par
12/5/2008
12/5/2008
Coastal Banking Company, Inc.
East West Bancorp
Fernandina Beach
Pasadena
FL
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
9,950,000
306,546,000
Par
Par
12/29/2010
4
$
306,546,000
$
0
Warrants
1/26/2011
Warrants
9
R $
14,500,000
12/5/2008
South Financial Group, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
347,000,000
Par
9/30/2010
26
$
130,179,219
$
0
Warrants
9/30/2010
Warrants
26
R $
400,000
12/5/2008
12/5/2008
12/5/2008
Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.
Springfield
Los Angeles
Winston-Salem
MO
CA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
58,000,000
258,000,000
42,750,000
Par
Par
Par
CVB Financial Corp
Ontario
CA
Preferred Stock w/ Warrants
$
130,000,000
Par
8/26/2009
4
12/5/2008
$
97,500,000
$
Warrants
9
R $
1,307,000
$
32,500,000 $
0
Preferred Stock w/
Warrants
Warrants
10/28/2009
9/2/2009
4
3/31/2009
4
$
28,000,000
$
0
Warrants
7/21/2011
49
$
9,550,000
$
0
Warrants
9/30/2010
32
$
12,119,637
$
0
Warrants
9/30/2010
Warrants
32
R $
40,000
7/15/2009
4
$
7,000,000
$
0
Warrants
9/2/2009
Warrants
R $
225,000
8/11/2011
3/31/2009
1/28/2011
50
$
$
$
13,500,000
100,000,000
41,279,000
$
$
$
0
0
0
Warrants
Warrants
N/A
5/8/2009
N/A
Warrants
N/A
R $
-
1,200,000
N/A
12/23/2009
5
$
235,000,000
$
0
Warrants
6/16/2010
Warrants
R $
6,820,000
5/13/2011
43
$
330,000,000
$
4/21/2010
4
$
200,000,000
$
1/19/2011
Warrants
R $
5,269,179
12/22/2010
3/31/2009
4
$
$
100,000,000
120,000,000
$
$
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
3/10/2010
Warrants
A $
11,320,751
11/4/2009
4
$
75,000,000
$
0
Warrants
11/24/2009
Warrants
R $
2,650,000
5/5/2009
4
$
125,198,000
$
0
Warrants
6/9/2010
Warrants
A $
3,007,891
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
First Defiance Financial Corp.
First Financial Holdings Inc.
Superior Bancorp Inc.
Southwest Bancorp, Inc.
Popular, Inc.
Blue Valley Ban Corp
Central Federal Corporation
Bank of Marin Bancorp
BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.
State Bancorp, Inc.
Defiance
Charleston
Birmingham
Stillwater
San Juan
Overland Park
Fairlawn
Novato
Thomasville
Somerville
Poplar Bluff
Jericho
12/5/2008
TIB Financial Corp
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Unity Bancorp, Inc.
Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
SVB Financial Group
LNB Bancorp Inc.
M&T Bank Corporation (Wilmington Trust
Corporation)
12/12/2008
OH
SC
AL
OK
PR
KS
OH
CA
NC
MA
MO
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
37,000,000
65,000,000
69,000,000
70,000,000
935,000,000
21,750,000
7,225,000
28,000,000
31,260,000
10,000,000
9,550,000
36,842,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Naples
FL
Preferred Stock w/ Warrants
$
37,000,000
Par
Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
Lorain
NJ
MD
FL
WA
CA
IN
NC
WA
CA
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
20,649,000
7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
25,223,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Wilmington
DE
Preferred Stock w/ Warrants
$
330,000,000
Par
12/12/2008
Susquehanna Bancshares, Inc
Lititz
PA
Preferred Stock w/ Warrants
$
300,000,000
Par
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Signature Bank
HopFed Bancorp
Citizens Republic Bancorp, Inc.
Indiana Community Bancorp
Bank of the Ozarks, Inc.
Center Financial Corporation
NewBridge Bancorp
Sterling Bancshares, Inc.
New York
Hopkinsville
Flint
Columbus
Little Rock
Los Angeles
Greensboro
Houston
NY
KY
MI
IN
AR
CA
NC
TX
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
120,000,000
18,400,000
300,000,000
21,500,000
75,000,000
55,000,000
52,372,000
125,198,000
Par
Par
Par
Par
Par
Par
Par
Par
4
35
4
32,500,000
0
100,000,000
35
9
Warrants
Page 2 of 13
Seller
Footnote
22
49
45 - 6/3/2011
50
50
30 9/29/2010
18
Purchase Date
Name of Institution
City
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
State
Investment Description
DE
VA
CA
VA
$
74,426,000
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
95,000,000
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
27,000,000
15,600,000
967,870,000
30,000,000
17,680,000
50,000,000
35,000,000
10,000,000
8,500,000
25,000,000
22,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
6/3/2011
$
$
$
$
45,220,000
76,458,000
62,158,000
16,019,000
Par
Par
Par
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
3/10/2010
5
$
45,220,000
$
0
Warrants
9/8/2010
Warrants
4/7/2010
3/16/2011
4
$
$
10,000,000
150,000,000
$
$
0
0
Warrants
Warrants
4/7/2010
4/13/2011
Warrants
Warrants
11/18/2009
4
$
15,000,000
$
0
Warrants
12/16/2009
Warrants
8/4/2011
49
$
8,500,000
$
0
Warrants
11/24/2009
4
$
22,000,000
$
0
Warrants
12/16/2009
Warrants
$
300,000,000
$
0
Warrants
6/3/2011
Warrants
4
$
6,250,000
$
4
$
$
$
40,000,000
25,000,000
21,000,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
6/24/2009
Warrants
0
Warrants
Warrants
Warrants
Warrants
Warrants
2/8/2011
12/30/2009
2/10/2010
Warrants
Warrants
Warrants
9
9
12/12/2008
12/12/2008
12/12/2008
12/12/2008
The Bancorp, Inc.
TowneBank
Wilshire Bancorp, Inc.
Valley Financial Corporation
Wilmington
Portsmouth
Los Angeles
Roanoke
12/12/2008
Independent Bank Corporation
Ionia
MI
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Pinnacle Financial Partners, Inc.
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
Fidelity Bancorp, Inc.
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.
Enterprise Financial Services Corp.
Mid Penn Bancorp, Inc.
Summit State Bank
VIST Financial Corp.
Wainwright Bank & Trust Company
Nashville
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Pittsburgh
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
Wyomissing
Boston
TN
CT
PA
ME
NC
VA
PA
MA
ID
CA
GA
TN
VA
AL
MO
PA
CA
PA
MA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
12/19/2008
Whitney Holding Corporation
New Orleans
LA
Preferred Stock w/ Warrants
$
300,000,000
Par
12/19/2008
12/19/2008
12/19/2008
12/19/2008
The Connecticut Bank and Trust Company
CoBiz Financial Inc.
Santa Lucia Bancorp
Seacoast Banking Corporation of Florida
Hartford
Denver
Atascadero
Stuart
CT
CO
CA
FL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
5,448,000
64,450,000
4,000,000
50,000,000
Par
Par
Par
Par
12/19/2008
Horizon Bancorp
Michigan City
IN
Preferred Stock w/ Warrants
$
25,000,000
Par
11/10/2010
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Fidelity Southern Corporation
Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc
Atlanta
Staunton
Pittsfield
Westlake Village
Johnstown
GA
VA
MA
CA
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
48,200,000
12,643,000
40,000,000
25,000,000
21,000,000
Par
Par
Par
Par
Par
5/27/2009
7/14/2011
8/11/2011
50
4
50
18,750,000
9
9
45
Final Disposition
Proceeds
R $
4,753,985
R $
R $
1,488,046
1,000,000
R $
560,000
R $
568,700
R $
6,900,000
R $
1,040,000
A $
R $
R $
25,964,061
900,000
260,000
R $
450,000
Preferred Stock w/
Warrants
12/19/2008
Security Federal Corporation
Aiken
SC
Preferred Stock w/ Warrants
$
18,000,000
Par
9/29/2010
4
$
18,000,000
$
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Wintrust Financial Corporation
Flushing Financial Corporation
Monarch Financial Holdings, Inc.
StellarOne Corporation
Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
Hawthorn Bancshares, Inc.
The Elmira Savings Bank, FSB
Alliance Financial Corporation
Heartland Financial USA, Inc.
Lake Forest
Lake Success
Chesapeake
Charlottesville
IL
NY
VA
VA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
250,000,000
70,000,000
14,700,000
30,000,000
Par
Par
Par
Par
12/22/2010
10/28/2009
12/23/2009
4/13/2011
4
$
$
$
$
250,000,000
70,000,000
14,700,000
7,500,000
$
$
$
$
Bowling Green
VA
Preferred Stock w/ Warrants
$
59,000,000
Par
11/18/2009
5
$
59,000,000
$
0
Warrants
12/23/2009
Warrants
Mt. Pleasant
Providence
Lee's Summit
Elmira
Syracuse
Dubuque
SC
RI
MO
NY
NY
IA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
14,448,000
30,000,000
30,255,000
9,090,000
26,918,000
81,698,000
Par
Par
Par
Par
Par
Par
8/5/2009
4
$
30,000,000
$
0
Warrants
9/30/2009
Warrants
R $
1,400,000
5/13/2009
4
$
26,918,000
$
0
Warrants
6/17/2009
Warrants
R $
900,000
Warrants
6/2/2010
Warrants
Preferred Stock w/
Warrants
4/20/2011
Warrants
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
2
2
2
2, 3
2
2
2
2
2
2
2
2
2
2
Purchase Details
5
5
4
12/19/2008
Citizens First Corporation
Bowling Green
KY
Preferred Stock w/ Warrants
$
8,779,000
Par
2/16/2011
4
$
2,212,308
$
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/23/2008
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp
Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati
IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/24/2010
5
$
80,000,000
$
2/23/2011
4
$
15,000,000
$
3/16/2011
4
$
8,864,000
$
12/23/2008
Bridge Capital Holdings
San Jose
CA
Preferred Stock w/ Warrants
$
23,864,000
Par
0
0
0
22,500,000
6,566,692
0
8,864,000
0
9
Preferred Stock w/
Warrants
9
A $
3,116,284
R $
1,395,000
Warrants
Page 3 of 13
Seller
Footnote
30 - 9/3/2010
393/11/2011
Purchase Details
Name of Institution
Purchase Date
12/23/2008
12/23/2008
International Bancshares Corporation
First Sound Bank
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Laredo
Seattle
TX
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
216,000,000
7,400,000
Par
Par
M&T Bank Corporation
Buffalo
NY
Preferred Stock w/ Warrants
$
600,000,000
Par
Emclaire Financial Corp.
Park National Corporation
Green Bankshares, Inc.
Cecil Bancorp, Inc.
Emlenton
Newark
Greeneville
Elkton
PA
OH
TN
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
7,500,000
100,000,000
72,278,000
11,560,000
Par
Par
Par
Par
Financial Institutions, Inc.
Warsaw
NY
Preferred Stock w/ Warrants
$
37,515,000
Par
$
370,000,000
$
230,000,000
Preferred Stock w/
Warrants
2/23/2011
4
$
12,505,000
$
25,010,000
Preferred Stock w/
Warrants
3/30/2011
4
$
25,010,000
$
0
Disposition
Investment
Description
15
Final Disposition
Proceeds
5/11/2011
Warrants
R $
2,079,963
9/8/2010
Warrants
R $
10,800,000
-
N/A
Warrants
Fulton Financial Corporation
Lancaster
PA
Preferred Stock w/ Warrants
$
376,500,000
Par
7/14/2010
4
$
376,500,000
$
0
Warrants
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock w/ Warrants
$
10,300,000
Par
9/3/2010
4
$
10,300,000
$
0
Warrants
12/23/2008
12/23/2008
12/23/2008
MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.
Muncie
Baltimore
Rochester
IN
MD
MN
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
32,382,000
10,800,000
26,000,000
Par
Par
Par
1/26/2011
4
$
10,800,000
$
0
Warrants
12/23/2008
First Community Bank Corporation of America
Pinellas Park
FL
Preferred Stock w/ Warrants
$
10,685,000
Par
5/31/2011
39
$
7,754,267
$
0
N/A
N/A
N/A
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
Sterling Bancorp
Intervest Bancshares Corporation
Peoples Bancorp of North Carolina, Inc.
Parkvale Financial Corporation
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Uwharrie Capital Corp
New York
New York
Newton
Monroeville
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle
NY
NY
NC
PA
WA
NJ
NJ
IL
CA
OR
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
42,000,000
25,000,000
25,054,000
31,762,000
16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4/27/2011
4
$
42,000,000
$
0
Warrants
5/18/2011
Warrants
R $
945,775
10/27/2010
11/24/2010
4
$
$
12,000,000
11,300,000
$
$
0
0
Warrants
Warrants
12/1/2010
Warrants
R $
319,659
8/20/2010
4
$
5,500,000
$
0
N/A
N/A
N/A
7/28/2011
49
$
3,000,000
$
0
Preferred Stock 2
7/28/2011
Preferred Stock
2, 7
R $
150,000
8/3/2011
11/24/2010
4
0
0
2
8/3/2011
11/24/2010
Preferred Stock
Preferred Stock
2, 7
R $
R $
100,000
292,000
11/24/2009
6/8/2011
4
R $
R $
235,000
238,000
12/23/2008
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
NC
CA
VA
CA
OH
MA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
Par
Par
Par
Par
Par
Par
Par
2
12/23/2008
Magna Bank
Memphis
TN
Preferred Stock w/ Exercised Warrants
$
13,795,000
Par
2
2
2
2, 49
2
2
2, 50
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/31/2008
12/31/2008
12/31/2008
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.
Fifth Third Bancorp
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
Pittsburgh
Cincinnati
CA
OH
MD
UT
CA
TN
CA
GA
PA
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
7,290,000
2,600,000
4,700,000
4,767,000
10,400,000
3,000,000
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/31/2008
Hampton Roads Bankshares, Inc.
Norfolk
VA
Common Stock w/ Warrants
$
80,347,000
Par
12/31/2008
12/31/2008
12/31/2008
1/9/2009
1/9/2009
1/9/2009
CIT Group Inc.
West Bancorporation, Inc.
First Banks, Inc.
Bank of America Corporation
FirstMerit Corporation
Farmers Capital Bank Corporation
New York
West Des Moines
Clayton
Charlotte
Akron
Frankfort
NY
IA
MO
NC
OH
KY
Contingent Value Rights
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
2,330,000,000
36,000,000
295,400,000
10,000,000,000
125,000,000
30,000,000
Par
Par
Par
Par
Par
Par
Peapack-Gladstone Financial Corporation
Gladstone
NJ
Preferred Stock w/ Warrants
$
28,685,000
Par
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
37, 46 6/17/2011
4
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
2
1a, 1b
Final Disposition
Final
Disposition
Date
5/18/2011
12/23/2008
2
2
2
2
3, 30 8/20/2010
2
2
2, 49
2
2
2
2
31 9/30/2010
16
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Commerce National Bank
The First Bancorp, Inc.
Sun Bancorp, Inc.
Crescent Financial Corporation
American Express Company
Newport Beach
Damariscotta
Vineland
Cary
New York
1/9/2009
Central Pacific Financial Corp.
Honolulu
1/9/2009
1/9/2009
1/9/2009
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
St. Louis
Tappahannock
Fitzgerald
CA
ME
NJ
NC
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
5,000,000
25,000,000
89,310,000
24,900,000
3,388,890,000
12/30/2010
7/14/2011
4
4
4
4
49
$
$
2,000,000
5,830,000
$
$
$
$
3,455,000
3,455,000
$
$
$
$
4,700,000
4,767,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
12/30/2010
7/14/2011
Preferred Stock
Preferred Stock
2, 7
$
$
$
$
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
$
$
$
$
0
0
0
0
Preferred Stock 2
Warrants
Warrants
Warrants
7/28/2011
Preferred Stock
2, 7
4/29/2010
3/16/2011
Warrants
Warrants
$
$
0
36,000,000
$
$
0
0
N/A
Warrants
N/A
N/A
$
$
10,000,000,000
125,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
5/27/2009
Warrants
Warrants
$
21,513,000
14,341,000
7/28/2011
3/30/2011
2/10/2010
2/2/2011
50
2/8/2010
6/29/2011
16
12/9/2009
4/22/2009
4
1/6/2010
4
$
7,172,000
4
4
4
4
4
-
10,340,000
6,885,000
Preferred Stock
Preferred Stock 2
2, 7
N/A
Preferred Stock 2
Preferred Stock 2
2, 7
R $
580,000
A $
R $
324,195,686
280,025,936
N/A
1b
A $
R $
124,228,646
5,025,000
3/2/2011
4
$
7,172,000
$
Par
Par
Par
Par
Par
10/7/2009
4
$
5,000,000
$
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
4/8/2009
4
$
89,310,000
$
0
Warrants
5/27/2009
Warrants
R $
2,100,000
6/17/2009
4
$
3,388,890,000
$
0
Warrants
7/29/2009
Warrants
R $
340,000,000
6/17/2011
46
$
35,883,281
$
HI
Common Stock w/ Warrants
$
135,000,000
Par
MO
VA
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
32,668,000
24,000,000
28,000,000
Par
Par
Par
99,116,719
Warrants
Page 4 of 13
Seller
Footnote
33
2
2
2
2, 49
2
3
2
2
2
2
2
2, 49
2
2
2
2
28 7/20/2010
3, 30 8/27/2010,
48 6/30/2011
Purchase Details
Name of Institution
Purchase Date
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
4
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation
Rockland
Starkville
Lebanon
Union
Hermitage
MA
MS
OH
NJ
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
Par
Par
Par
Par
Par
4/22/2009
3/4/2011
10/21/2009
33
9/9/2009
1/9/2009
C&F Financial Corporation
West Point
VA
Preferred Stock w/ Warrants
$
20,000,000
Par
7/27/2011
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
The Queensborough Company
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Surrey Bancorp
Independence Bank
Valley Community Bank
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation
Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
ECB Bancorp, Inc.
Fort Dodge
Greensboro
Troy
Elizabethtown
York
Lafayette
Chattanooga
Easton
Louisville
Great Bend
Riverside
San Diego
Morehead City
San Luis Obispo
Redwood Falls
Mount Airy
East Greenwich
Pleasanton
Rising Sun
Ruston
Greenville
Jacksonville
Cayce
New York
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana
Engelhard
IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
MD
LA
SC
TX
SC
NY
AR
WA
NH
ME
NJ
SC
PA
NC
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,200,000
16,000,000
65,000,000
20,000,000
16,500,000
20,000,000
33,000,000
25,000,000
12,000,000
6,000,000
6,815,000
5,803,000
3,070,000
5,116,000
2,995,000
2,000,000
1,065,000
5,500,000
5,983,000
24,000,000
9,000,000
3,981,000
3,285,000
267,274,000
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
17,949,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
1/16/2009
First BanCorp
San Juan
PR
$
424,174,000
Par
1/16/2009
1/16/2009
Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation
Dallas
Elkin
TX
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
75,000,000
36,000,000
1/16/2009
Carver Bancorp, Inc
New York
NY
Preferred Stock
$
18,980,000
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
$
$
78,158,000
38,000,000
13,400,000
4
$
100,000,000
$
4
$
10,000,000
$
4/15/2009
4
$
25,000,000
$
0
Warrants
7/14/2011
49
$
5,803,000
$
0
12/29/2010
4
$
2,000,000
$
7/6/2011
49
$
24,000,000
5/19/2010
4
$
7/6/2011
1/12/2011
4
2/24/2010
5/20/2009
5/20/2009
5
Par
Par
5/13/2009
Par
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Citizens & Northern Corporation
MainSource Financial Group, Inc.
MetroCorp Bancshares, Inc.
United Bancorp, Inc.
Old Second Bancorp, Inc.
Pulaski Financial Corp
OceanFirst Financial Corp.
Community 1st Bank
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
Pacific Coast National Bancorp
Wellsboro
Greensburg
Houston
Tecumseh
Aurora
Creve Coeur
Toms River
Roseville
The Woodlands
Morgantown
Quincy
San Clemente
PA
IN
TX
MI
IL
MO
NJ
CA
TX
WV
IL
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
26,440,000
57,000,000
45,000,000
20,600,000
73,000,000
32,538,000
38,263,000
2,550,000
11,730,000
15,000,000
10,000,000
4,120,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Warrants
N/A
Preferred Stock 2
7/14/2011
Preferred Stock
2, 7
R $
290,000
0
Preferred Stock 2
12/29/2010
Preferred Stock
2, 7
R $
100,000
$
0
Preferred Stock 2
7/6/2011
Preferred Stock
2, 7
R $
3,981,000
$
0
1,200,000
Preferred Stock 2
5/19/2010
Preferred Stock
2, 7
R $
199,000
$
$
50,000,000
26,380,000
$
$
0
0
Warrants
Warrants
7/27/2011
3/2/2011
Warrants
Warrants
R $
R $
1,300,000
1,625,000
$
$
$
18,751,000
7,414,000
64,779,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
7/28/2010
6/24/2009
6/24/2009
Warrants
Warrants
Warrants
R $
R $
R $
250,000
275,000
1,400,000
4
$
75,000,000
$
0
Warrants
3/11/2010
Warrants
A $
6,709,061
8/27/2010
4
8/4/2010
4
$
18,980,000
$
0
N/A
N/A
N/A
$
26,440,000
$
0
Warrants
9/1/2010
Warrants
12/30/2009
5
$
38,263,000
$
0
Warrants
2/3/2010
Warrants
3/31/2009
4
$
15,000,000
$
0
Preferred Stock 2
4/15/2009
Preferred Stock
$
4
0
Warrants
Preferred Stock w/
Warrants
Final Disposition
Proceeds
2,200,000
N/A
4
Warrants
N/A
Warrants
15
R $
4
0
0
0
Disposition
Investment
Description
5/27/2009
N/A
4
$
$
$
Final Disposition
Final
Disposition
Date
10,000,000
9
9
-
N/A
R $
400,000
9
R $
430,797
2, 7
R $
750,000
2
2
2
2
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
2
2
2
2
2/11/2010
19
$
0
N/A
N/A
N/A
1/16/2009
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
Par
9/29/2010
4
$
1,747,000
$
0
N/A
N/A
N/A
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank
United Financial Banking Companies, Inc.
Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce
Eureka
Boise
Boise
Bellevue
Vienna
Kansas City
Baraboo
Charlotte
CA
ID
ID
WA
VA
MO
WI
NC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
3,800,000
8,000,000
6,900,000
4,500,000
5,658,000
146,053,000
20,749,000
3,000,000
Par
Par
Par
Par
Par
Par
Par
Par
7/21/2011
49
$
3,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
190,000
8/11/2011
12/15/2010
49
$
$
4,500,000
3,000,000
$
$
0
2,658,000
Preferred Stock 2
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
225,000
1/16/2009
State Bankshares, Inc.
Fargo
ND
$
50,000,000
Par
8/12/2009
6/29/2011
4
2
$
$
12,500,000
37,500,000
$
$
37,500,000
0
Preferred Stock 2
Preferred Stock 2
6/29/2011
Preferred Stock
2, 7
R $
2,500,000
2
1/16/2009
BNCCORP, Inc.
Bismarck
ND
$
20,093,000
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
4
0
N/A
-
N/A
Page 5 of 13
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
Footnote
Purchase Date
2
3, 30 8/6/2010
2
2, 36
1/16/2009
First Manitowoc Bancorp, Inc.
Manitowoc
WI
Preferred Stock w/ Exercised Warrants
$
12,000,000
Par
5/27/2009
4
$
12,000,000
$
0
Preferred Stock 2
5/27/2009
Preferred Stock
1/16/2009
Southern Bancorp, Inc.
Arkadelphia
AR
Preferred Stock
$
11,000,000
Par
8/6/2010
4
$
11,000,000
$
0
N/A
N/A
N/A
1/16/2009
1/16/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Morrill Bancshares, Inc.
Treaty Oak Bancorp, Inc.
1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation
First Citizens Banc Corp
WSFS Financial Corporation
Commonwealth Business Bank
Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)
Merriam
Austin
South Bend
Princeton
Gastonia
Sandusky
Wilmington
Los Angeles
KS
TX
IN
IL
NC
OH
DE
CA
Preferred Stock w/ Exercised Warrants
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
13,000,000
3,268,000
111,000,000
25,083,000
3,500,000
23,184,000
52,625,000
7,701,000
Par
Par
Par
Par
Par
Par
Par
Par
7/20/2011
2/15/2011
12/29/2010
4
$
$
$
13,000,000
500,000
111,000,000
$
$
$
0
0
0
Preferred Stock 2
Warrants
Warrants
7/20/2011
Preferred Stock
36
3/9/2011
Warrants
4/22/2009
4
$
4,900,000
$
0
Preferred Stock 2
4/22/2009
Preferred Stock
12/23/2009
4
$
10,189,000
$
0
Preferred Stock 2
12/23/2009
12/8/2010
4
$
3,300,000
$
0
Preferred Stock 2
7/21/2011
50
$
57,500,000
$
0
12/16/2009
6/16/2010
4
$
$
1,000,000
2,240,000
$
$
2/2/2011
4
$
21,000,000
$
12/23/2009
5
$
22,000,000
$
0
Warrants
8/11/2011
49
$
9,000,000
$
0
Warrants
8/4/2011
49
$
11,750,000
$
0
Warrants
7/21/2011
7/6/2011
49
$
$
12,720,000
1,500,000
$
$
6/16/2010
4
$
10,900,000
$
8/11/2011
49
$
8,950,000
2
2, 13 12/4/2009
1/23/2009
245,000
Preferred Stock
2, 7
R $
509,000
12/8/2010
Preferred Stock
2, 7
R $
165,000
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
2,875,000
2,240,000
0
Preferred Stock 2
Preferred Stock 2
6/16/2010
Preferred Stock
2, 7
R $
162,000
18,000,000
Preferred Stock w/
Warrants
Preferred Stock 2
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
636,000
0
Preferred Stock 2
6/16/2010
Preferred Stock
2, 7
R $
545,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
450,000
8/11/2011
Preferred Stock
2, 7
R $
438,000
8/4/2011
Preferred Stock
2, 7
R $
332,000
7/6/2011
4/21/2010
Preferred Stock
Preferred Stock
2, 7
R $
R $
290,000
200,000
5,677,000
Par
4,656,000
Par
Fresno First Bank
First ULB Corp.
Alarion Financial Services, Inc.
Midland States Bancorp, Inc.
Moscow Bancshares, Inc.
Farmers Bank
California Oaks State Bank
Pierce County Bancorp
Calvert Financial Corporation
Liberty Bancshares, Inc.
Crosstown Holding Company
BankFirst Capital Corporation
Southern Illinois Bancorp, Inc.
CA
CA
FL
IL
TN
VA
CA
WA
MO
AR
MN
MS
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
1,968,000
4,900,000
6,514,000
10,189,000
6,216,000
8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
1/23/2009
FPB Financial Corp.
Hammond
LA
Preferred Stock w/ Exercised Warrants
$
3,240,000
Par
1/23/2009
Stonebridge Financial Corp.
West Chester
PA
Preferred Stock w/ Exercised Warrants
$
10,973,000
Par
1/30/2009
Peoples Bancorp Inc.
Marietta
OH
Preferred Stock w/ Warrants
$
39,000,000
Par
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp
Guaranty Federal Bancshares, Inc.
Annapolis Bancorp, Inc.
DNB Financial Corporation
Firstbank Corporation
Valley Commerce Bancorp
Greer Bancshares Incorporated
Ojai Community Bank
Adbanc, Inc
Beach Business Bank
Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.
Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
Annapolis
Downingtown
Alma
Visalia
Greer
Ojai
Ogallala
Manhattan Beach
Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita
WI
NJ
VA
MI
VA
CA
IL
CA
CA
NJ
NC
MD
NJ
MO
MD
PA
MI
CA
SC
CA
NE
CA
WI
FL
NE
ME
AR
KS
CO
WA
IN
AZ
KS
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243,815,000
7,000,000
11,949,000
10,000,000
7,700,000
30,000,000
9,000,000
17,000,000
8,152,000
11,750,000
33,000,000
7,700,000
9,993,000
2,080,000
12,720,000
6,000,000
5,498,000
10,900,000
7,525,000
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
8/11/2011
49
$
8,750,000
$
0
Preferred Stock 2
1/30/2009
WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)
Reston
VA
Preferred Stock w/ Exercised Warrants
$
6,633,000
Par
8/4/2011
49
$
6,633,000
$
0
Preferred Stock
2
1/30/2009
1/30/2009
1/30/2009
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Houston
Summit
Berlin
TX
NJ
NH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
5,800,000
4,000,000
10,000,000
Par
Par
Par
7/6/2011
4/21/2010
4
$
$
5,800,000
4,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2
2
2
2
2
2, 49
2
3, 53
2
2
2
2
2, 49
2
2
2
2
2, 49
2, 13 10/30/2009,
49
2
2
2
R $
$
$
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
49
2, 7
Preferred Stock w/ Exercised Warrants
2
2
2
2
2
2
2
2, 51
2
2, 50
2
2
2
4
4
4
2, 7
600,000
N/A
3,750,000
Preferred Stock w/ Exercised Warrants
Orlando
-
R $
FL
CalWest Bancorp
R $
650,000
CA
1/23/2009
2, 7
Final Disposition
Proceeds
R $
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
Moscow
Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi
2
49
4
15
0
4,500,000
2, 7
Page 6 of 13
Seller
Footnote
Purchase Date
2, 49
2
2
2
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009
30 9/29/2010
3, 30 8/13/2010
2
Purchase Details
Name of Institution
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.
City
Bethesda
Doraville
Trezevant
Exton
Iowa City
2/6/2009
Lakeland Bancorp, Inc.
Oak Ridge
2/6/2009
Monarch Community Bancorp, Inc.
Coldwater
State
MD
GA
TN
PA
IA
NJ
MI
Investment Description
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Capital Repayment Details
Investment Amount
$
$
$
$
$
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Par
Par
Par
Par
Par
Preferred Stock w/ Warrants
$
59,000,000
Par
Preferred Stock w/ Warrants
$
6,785,000
Par
2/6/2009
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock w/ Warrants
$
5,000,000
Par
2/6/2009
2/6/2009
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
Lincolnton
Juneau
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
4,000,000
4,781,000
Par
Par
2/6/2009
PGB Holdings, Inc.
Chicago
IL
Preferred Stock
$
3,000,000
Par
2/6/2009
The Freeport State Bank
Harper
KS
Preferred Stock w/ Exercised Warrants
$
301,000
Par
2
2/6/2009
Stockmens Financial Corporation
Rapid City
SD
$
15,568,000
Par
2
2
2, 49
2
3, 30 9/24/2010
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.
Garden Grove
Gering
Boston
Versailles
CA
NE
MA
KY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
2,861,000
5,000,000
3,500,000
6,300,000
Par
Par
Par
Par
2/6/2009
Liberty Financial Services, Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
Par
2/6/2009
Houston
TX
Preferred Stock w/ Exercised Warrants
$
3,072,000
Par
Bowling Green
VA
Preferred Stock
$
33,900,000
Par
Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
Miramar Beach
Philadelphia
NE
NH
KY
GA
WV
NC
NC
TN
FL
PA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
795,000
7,500,000
4,000,000
8,700,000
3,345,000
17,000,000
4,021,000
3,564,000
1,050,000
1,552,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Westwood
NJ
Preferred Stock w/ Exercised Warrants
$
3,756,000
Par
2/6/2009
2/13/2009
Lone Star Bank
Union First Market Bankshares Corporation
(First Market Bank, FSB)
Banner County Ban Corporation
Centrix Bank & Trust
Todd Bancshares, Inc.
Georgia Commerce Bancshares, Inc.
First Bank of Charleston, Inc.
F & M Financial Corporation
The Bank of Currituck
CedarStone Bank
Community Holding Company of Florida, Inc.
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack Community Bank)
First Western Financial, Inc.
QCR Holdings, Inc.
Denver
Moline
CO
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
8,559,000
38,237,000
Par
Par
2/13/2009
Westamerica Bancorporation
San Rafael
CA
Preferred Stock w/ Warrants
$
83,726,000
Par
18
2/6/2009
2, 49
2, 49
2
2
2, 50
2
2, 34
2
2
2
2, 13 2/10/2010
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
Preferred Stock w/ Exercised Warrants
2/13/2009
The Bank of Kentucky Financial Corporation
Crestview Hills
KY
Preferred Stock w/ Warrants
$
34,000,000
Par
2/13/2009
2/13/2009
PremierWest Bancorp
Carrollton Bancorp
Medford
Baltimore
OR
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,400,000
9,201,000
Par
Par
2/13/2009
FNB United Corp.
Asheboro
NC
Preferred Stock w/ Warrants
$
51,500,000
Par
2/13/2009
2/13/2009
2/13/2009
2/13/2009
First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.
Neenah
Los Angeles
Horn Lake
Waynesville
WI
CA
MS
MO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
4,797,000
4,400,000
1,173,000
2,152,000
Par
Par
Par
Par
2, 30 9/29/2010
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
2
2
2, 50
2
2
2
2
2
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp
Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden
SC
AR
WY
CO
CA
MO
SC
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000
Par
Par
Par
Par
Par
Par
Par
Par
2, 30 9/24/2010
2/13/2009
First Choice Bank
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
2
2
2
2
2
2
2
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
MO
KY
MO
KS
WA
MO
TN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
Par
Par
Par
Par
Par
Par
Par
58 8/12/2011
2
2
2
2
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
8/11/2011
49
$
4,734,000
7/6/2011
4
$
16,000,000
$
8/4/2010
4
$
20,000,000
$
39,000,000
3/16/2011
4
$
20,000,000
$
19,000,000
9/29/2010
4
$
5,000,000
$
0
Warrants
8/13/2010
4
$
3,000,000
$
0
N/A
1/14/2011
3/16/2011
4
8/4/2011
$
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
0
Preferred Stock 2
8/11/2011
Preferred Stock
0
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
7/27/2011
Warrants
N/A
N/A
Preferred Stock
Preferred Stock 2
3/16/2011
Preferred Stock
2, 7
R $
778,000
2, 7
R $
175,000
$
$
49
$
3,500,000
$
0
Preferred Stock 2
8/4/2011
Preferred Stock
9/24/2010
4
$
5,645,000
$
0
N/A
N/A
N/A
7/28/2011
7/28/2011
49
$
$
795,000
7,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/28/2011
7/28/2011
Preferred Stock
Preferred Stock
2, 7
$
$
8,700,000
3,345,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2/16/2011
7/21/2011
Preferred Stock
Preferred Stock
2, 7
0
N/A
N/A
N/A
34
Preferred Stock 2
9/29/2010
Preferred Stock
7/21/2011
Preferred Stock
2/16/2011
7/21/2011
4
50
12/3/2010
34
$
1,742,850
$
9/2/2009
4
$
41,863,000
$
11/18/2009
4
$
41,863,000
$
12/22/2010
4
$
17,000,000
$
9/29/2010
4
$
15,000,000
$
7/21/2011
50
$
5,000,000
$
0
Preferred Stock 2
41,863,000
0
17,000,000
237,000
R $
1,000,000
-
4,000,000
11,568,000
49
R $
N/A
2
$
$
4
11,568,000
0
2, 7
Final Disposition
Proceeds
-
2, 7
2, 7
N/A
R $
R $
40,000
375,000
R $
R $
435,000
167,000
-
N/A
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
2, 7,
0
8/3/2011
4
$
18,000,000
$
0
Preferred Stock 2
8/3/2011
Preferred Stock
9/24/2010
4
$
2,200,000
$
0
N/A
9/24/2010
Preferred Stock
11/10/2009
4
$
700,000
$
0
Preferred Stock 2
11/10/2009
Preferred Stock
30a
2, 7
2, 7
R $
750,000
R $
250,000
R $
900,000
R $
110,000
R $
35,000
2, 7,
30a
2, 7
Page 7 of 13
Seller
Footnote
Purchase Date
2
2
2/13/2009
2/13/2009
2/20/2009
Purchase Details
Name of Institution
State
Investment Amount
27
2/20/2009
First Merchants Corporation
Muncie
IN
2, 25
2
2
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Northern States Financial Corporation
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California
Waukegan
Sonoma
Woodsville
Los Angeles
IL
CA
NH
CA
2, 30 9/29/2010
2/20/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
1,998,000
Par
2
2
2
2
2
2
2
2
2
2
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp
Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville
GA
AR
CA
WY
PA
WI
MN
AL
MO
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2, 30 9/29/2010
2/20/2009
BancPlus Corporation
Ridgeland
MS
Preferred Stock w/ Exercised Warrants
$
48,000,000
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/27/2009
Central Community Corporation
First BancTrust Corporation
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation
Temple
Paris
Riverside
Tampa
Hoschton
Warsaw
TX
IL
CA
FL
GA
IN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
22,000,000
7,350,000
4,000,000
9,495,000
7,000,000
56,044,000
2/27/2009
First M&F Corporation
Kosciusko
MS
Preferred Stock w/ Warrants
$
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Southern First Bancshares, Inc.
Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.
Green Circle Investments, Inc.
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
Greenville
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
Clive
Minneapolis
Nowata
Garland
Salt Lake City
SC
IN
TN
CT
CA
CO
IA
TX
WI
CA
ID
PA
MO
NE
IA
MN
OK
TX
UT
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2/27/2009
PSB Financial Corporation
Many
LA
Preferred Stock w/ Exercised Warrants
$
9,270,000
Par
2/27/2009
2/27/2009
2/27/2009
Nashville
Ellicott City
South San Francisco
TN
MD
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
7,400,000
5,983,000
12,000,000
Par
Par
Par
Limerick
PA
Preferred Stock w/ Exercised Warrants
$
541,000
Par
2/27/2009
2/27/2009
3/6/2009
3/6/2009
Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp
The Victory Bancorp, Inc.
(The Victory Bank)
Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation
Rock Hill
Atlanta
Loris
Urbana
NY
GA
SC
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
3,000,000
5,222,000
12,895,000
100,000,000
3/6/2009
First Federal Bancshares of Arkansas, Inc.
Harrison
AR
Preferred Stock w/ Warrants
$
3/6/2009
Citizens Bancshares Corporation
Atlanta
GA
Preferred Stock
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
CA
TX
TX
MO
SC
TN
CO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
30 9/29/2010
57
2
2, 49
2
2
2
2
2
2
2
2
2
2
2
2
2, 49
2
2, 49
2, 30 9/29/2010
2
2
2
2, 13 12/4/2009
2, 49
2
42 - 5/3/2011
3, 30 8/13/2010
2
2
2
2
2
2
2
Devon
Lakewood
Narberth
PA
WA
PA
Investment Description
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
2
2
2
2
2
Meridian Bank
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.
City
Capital Repayment Details
$
$
$
$
$
$
$
$
$
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
2, 7,
9/29/2010
4
Preferred Stock 2
9/29/2010
Preferred Stock
Par
9/29/2010
4
0
Preferred Stock 2
9/29/2010
Preferred Stock
Par
Par
Par
Par
Par
Par
4/13/2011
6/9/2010
4
$
$
0
0
Preferred Stock 2
Warrants
4/13/2011
Preferred Stock
30,000,000
Par
9/29/2010
17,299,000
83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731,000
10,900,000
3,976,000
19,891,000
23,000,000
651,000
7,570,000
2,400,000
4,960,000
2,655,000
22,500,000
11,800,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
30,000,000
$
0
Warrants
$
4,797,000
$
0
Preferred Stock 2
8/4/2011
4
$
731,000
$
0
Preferred Stock 2
7/14/2010
4
$
651,000
$
0
7/21/2011
49
$
2,655,000
$
7/21/2011
49
$
11,800,000
9/29/2010
4
$
9,270,000
Par
Par
Par
Par
7/21/2011
49
$
3,000,000
16,500,000
Par
5/3/2011
42
$
$
7,462,000
Par
8/13/2010
4
$
$
$
$
$
$
$
$
6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
Par
Par
Par
Par
Par
Par
Par
$
1,998,000
$
$
48,000,000
$
$
$
7,000,000
56,044,000
4
$
8/4/2011
49
4/14/2010
0
R $
100,000
R $
2,400,000
2, 7
R $
350,000
Preferred Stock
2, 7
R $
240,000
4/14/2010
Preferred Stock
2, 7
R $
37,000
Preferred Stock 2
7/14/2010
Preferred Stock
2, 7
R $
33,000
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
133,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
6,000,000
$
0
N/A
N/A
N/A
7,462,000
$
0
N/A
N/A
N/A
30a
2, 7,
5
30a
R $
590,000
R $
464,000
R $
150,000
2, 7,
2/27/2009
30a
2, 7
N/A
-
N/A
Page 8 of 13
Seller
Footnote
Purchase Date
2
2, 49
2
2
2
2
2
2
2
2
2
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3, 30 8/13/2010
2, 49
2
2
2
2
2
2
2, 3a 11/13/2009
30 - 9/3/2010
2
2
2
2
2
2
2, 49
2
2
2
2
2
2
2, 50
2, 49
2
2
2
2
Name of Institution
Purchase Details
City
State
Investment Description
Capital Repayment Details
Investment Amount
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill
TN
TX
OK
FL
FL
IN
FL
KS
FL
WI
GA
OH
CT
CA
IL
SC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
3/13/2009
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
Par
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
BancIndependent, Inc.
Haviland Bancshares, Inc.
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.
Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit
AL
KS
FL
KY
VA
MO
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
21,100,000
425,000
10,000,000
3,370,000
13,900,000
3,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
3/13/2009
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
Par
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
Butler Point, Inc.
Bank of George
Moneytree Corporation
Sovereign Bancshares, Inc.
First Intercontinental Bank
Heritage Oaks Bancorp
Community First Bancshares Inc.
First NBC Bank Holding Company
First Colebrook Bancorp, Inc.
Kirksville Bancorp, Inc.
Peoples Bancshares of TN, Inc
Premier Bank Holding Company
Citizens Bank & Trust Company
Farmers & Merchants Financial Corporation
Farmers State Bankshares, Inc.
SBT Bancorp, Inc.
CSRA Bank Corp.
Trinity Capital Corporation
Clover Community Bankshares, Inc.
Pathway Bancorp
Catlin
Las Vegas
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
Kirksville
Madisonville
Tallahassee
Covington
Argonia
Holton
Simsbury
Wrens
Los Alamos
Clover
Cairo
IL
NV
TN
TX
GA
CA
TN
LA
NH
MO
TN
FL
LA
KS
KS
CT
GA
NM
SC
NE
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
607,000
2,672,000
9,516,000
18,215,000
6,398,000
21,000,000
20,000,000
17,836,000
4,500,000
470,000
3,900,000
9,500,000
2,400,000
442,000
700,000
4,000,000
2,400,000
35,539,000
3,000,000
3,727,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2
3/27/2009
Colonial American Bank
West Conshohocken
PA
Preferred Stock w/ Exercised Warrants
$
574,000
Par
2
2
2
2
2
2
2
2
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
4/3/2009
MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado
Naples Bancorp, Inc.
CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Maryland Financial Bank
First Capital Bancorp, Inc.
Kingwood
Frontenac
Glenwood Springs
Naples
Russellville
Irving
Bristow
Towson
Glen Ellen
TX
MO
CO
FL
AL
TX
OK
MD
VA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
7,723,000
3,700,000
70,000,000
4,000,000
24,300,000
2,295,000
30,000,000
1,700,000
10,958,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
2, 3, 30 8/13/2010
2
2
2
2
2
2
2
2
2, 3
2
4/3/2009
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
2,795,000
Par
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
4/10/2009
Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
First Business Bank, N.A.
Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
San Diego
MO
MO
IA
CO
TN
KS
AR
AL
NJ
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
2,211,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
7/14/2011
49
$
10,000,000
$
0
Preferred Stock 2
7/14/2011
Preferred Stock
4/21/2010
4
$
1,224,558,000
$
0
Warrants
7/7/2010
Warrants
8/13/2010
4
$
17,000,000
$
0
N/A
N/A
N/A
7/14/2011
12/29/2010
11/18/2009
49
$
$
$
21,100,000
425,000
10,000,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/14/2011
12/29/2010
11/18/2009
Preferred Stock
Preferred Stock
Preferred Stock
9/3/2010
4
$
6,000,000
$
0
N/A
N/A
N/A
8/4/2011
49
$
17,836,000
$
0
Preferred Stock 2
8/4/2011
Preferred Stock
2, 7
R $
892,000
7/21/2011
8/11/2011
50
$
$
700,000
4,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/21/2011
8/11/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
40,000
200,000
8/13/2010
4
$
2,795,000
$
0
N/A
N/A
N/A
4
4
49
2, 7
Final Disposition
Proceeds
R $
500,000
R $
172,000,000
2, 7
2, 7
2, 7
R $
R $
R $
-
2, 7
-
N/A
1,055,000
21,000
500,000
N/A
N/A
Page 9 of 13
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Footnote
Purchase Date
2
2
2
2, 49
2
2
2
2
2
2
2, 50
2
2
4/10/2009
4/10/2009
4/10/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
SV Financial, Inc.
Capital Commerce Bancorp, Inc.
Metropolitan Capital Bancorp, Inc.
Bank of the Carolinas Corporation
Penn Liberty Financial Corp.
Tifton Banking Company
Patterson Bancshares, Inc
BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
Birmingham Bloomfield Bancshares, Inc
Vision Bank - Texas
Oregon Bancorp, Inc.
Peoples Bancorporation, Inc.
Indiana Bank Corp.
Business Bancshares, Inc.
Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Allied First Bancorp, Inc.
Sterling
Milwaukee
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
Easley
Dana
Clayton
Hickory Hills
York
Tulsa
Oswego
IL
WI
IL
NC
PA
GA
LA
NY
CO
MI
MI
TX
OR
SC
IN
MO
IL
PA
OK
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,000,000
5,100,000
2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
1,635,000
1,500,000
3,216,000
12,660,000
1,312,000
15,000,000
60,000,000
4,871,000
4,000,000
3,652,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
8
4/24/2009
Frontier Bancshares, Inc.
Austin
TX
Subordinated Debentures w/ Exercised
Warrants
$
3,000,000
Par
2
2, 52
2
2
2
2
2
2
2
5/1/2009
5/1/2009
5/1/2009
5/1/2009
5/1/2009
Village Bank and Trust Financial Corp
CenterBank
Georgia Primary Bank
Union Bank & Trust Company
HPK Financial Corporation
Midlothian
Milford
Atlanta
Oxford
Chicago
VA
OH
GA
NC
IL
8
5/1/2009
OSB Financial Services, Inc.
Orange
TX
8
5/1/2009
Security State Bank Holding-Company
Jamestown
ND
2, 13 8/31/2010
2, 56
2
5/8/2009
5/8/2009
5/8/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
One Georgia Bank
Gateway Bancshares, Inc.
$
$
$
$
$
14,738,000
2,250,000
4,500,000
3,194,000
4,000,000
$
6,100,000
Par
$
10,750,000
Par
NJ
Preferred Stock w/ Exercised Warrants
$
3,091,000
Par
Atlanta
Ringgold
GA
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
$
5,500,000
6,000,000
Par
Par
$
3,000,000
Par
$
4,000,000
Par
Par
8
5/8/2009
Freeport Bancshares, Inc.
5/8/2009
Investors Financial Corporation of Pettis County, Inc. Sedalia
Freeport
MO
IL
8
5/8/2009
Sword Financial Corporation
Horicon
WI
3, 8, 30 8/13/2010
5/8/2009
Premier Bancorp, Inc.
Wilmette
IL
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
Mercantile Bank Corporation
Northern State Bank
Western Reserve Bancorp, Inc
Community Financial Shares, Inc.
Worthington Financial Holdings, Inc.
First Community Bancshares, Inc
Southern Heritage Bancshares, Inc.
Foresight Financial Group, Inc.
Grand Rapids
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford
MI
NJ
OH
IL
AL
KS
TN
IL
5/15/2009
IBC Bancorp, Inc.
Chicago
IL
8
5/15/2009
Boscobel Bancorp, Inc
Boscobel
WI
8
5/15/2009
Brogan Bankshares, Inc.
Kaukauna
WI
8
5/15/2009
Riverside Bancshares, Inc.
Little Rock
AR
8
5/15/2009
Deerfield Financial Corporation
Deerfield
WI
8
5/15/2009
Market Street Bancshares, Inc.
Mt. Vernon
IL
2
2
2
2
2
2
2
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
The Landrum Company
First Advantage Bancshares Inc.
Fort Lee Federal Savings Bank
Blackridge Financial, Inc.
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.
Columbia
Coon Rapids
Fort Lee
Fargo
Chicago
Bloomfield
Washington
MO
MN
NJ
ND
IL
IN
MO
8
5/22/2009
Commonwealth Bancshares, Inc.
Louisville
KY
$
13,644,000
Subordinated Debentures
$
6,784,000
Par
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
21,000,000
1,341,000
4,700,000
6,970,000
2,720,000
14,800,000
4,862,000
15,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Subordinated Debentures
$
4,205,000
Par
$
5,586,000
Par
$
2,400,000
Par
$
1,100,000
Par
$
2,639,000
Par
$
20,300,000
Par
$
$
$
$
$
$
$
15,000,000
1,177,000
1,300,000
5,000,000
6,272,000
9,900,000
5,097,000
Par
Par
Par
Par
Par
Par
Par
$
20,400,000
Par
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
7/28/2011
49
$
1,635,000
$
0
Preferred Stock 2
7/28/2011
Preferred Stock
2, 7
R $
82,000
7/14/2011
50
$
4,871,000
$
0
Preferred Stock 2
7/14/2011
Preferred Stock
2, 7
R $
244,000
11/24/2009
4
$
1,600,000
$
10/6/2010
R $
150,000
4
$
1,400,000
$
0
Subordinated
Debentures 8
7
10/6/2010
Subordinated
Debentures 8
Subordinated
Debentures 8
8/13/2010
4
$
6,784,000
$
0
N/A
N/A
N/A
-
N/A
9/10/2010
4
$
4,205,000
$
0
N/A
N/A
N/A
-
N/A
1,400,000
Par
Par
Par
Par
Par
Vernon
8
2
2
2
2
2
2
2
3, 8, 30 9/10/2010
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Page 10 of 13
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
8
5/22/2009
Premier Financial Corp
Dubuque
8
5/22/2009
F & C Bancorp, Inc.
Holden
MO
8
5/22/2009
Diamond Bancorp, Inc.
Washington
MO
8
5/22/2009
United Bank Corporation
Barnesville
GA
2
2
2
2
2
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
Community Bank Shares of Indiana, Inc.
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group
New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington
IN
CA
IL
MO
CO
IA
8
5/29/2009
Fidelity Bancorp, Inc
Baton Rouge
LA
8
5/29/2009
Chambers Bancshares, Inc.
Danville
AR
2
6/5/2009
Covenant Financial Corporation
Clarksdale
MS
8
6/5/2009
First Trust Corporation
New Orleans
LA
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
8, 10
6/5/2009
OneFinancial Corporation
Little Rock
AR
2
6/12/2009
Berkshire Bancorp, Inc.
Wyomissing
PA
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
2, 10, 30 9/29/2010
6/12/2009
First Vernon Bancshares, Inc.
Vernon
AL
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
2
2, 10
2
6/12/2009
6/12/2009
6/12/2009
SouthFirst Bancshares, Inc.
Virginia Company Bank
Enterprise Financial Services Group, Inc.
Sylacauga
Newport News
Allison Park
AL
VA
PA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
$
$
2,760,000
4,700,000
4,000,000
Par
Par
Par
Subordinated Debentures
IA
6/12/2009
First Financial Bancshares, Inc.
Lawrence
KS
8
6/12/2009
River Valley Bancorporation, Inc.
Wausau
WI
2
2, 10
6/19/2009
6/19/2009
Merchants and Manufacturers Bank Corporation
RCB Financial Corporation
Joliet
Rome
IL
GA
8
6/19/2009
Manhattan Bancshares, Inc.
Manhattan
IL
8, 10
6/19/2009
Biscayne Bancshares, Inc.
Coconut Grove
FL
8
6/19/2009
Duke Financial Group, Inc.
Minneapolis
MN
8
6/19/2009
Farmers Enterprises, Inc.
Great Bend
KS
8
6/19/2009
Century Financial Services Corporation
Santa Fe
NM
8
6/19/2009
NEMO Bancshares Inc.
Madison
MO
3, 8, 30 7/30/2010
6/19/2009
University Financial Corp, Inc.
St. Paul
MN
2, 40 3/23/2011
2, 10
2
2, 10, 30 9/29/2010
2
2
2, 10
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2
6,349,000
$
2,993,000
Par
$
20,445,000
Par
$
14,400,000
Par
$
$
$
$
$
$
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000
Par
Par
Par
Par
Par
Par
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
Par
$
3,942,000
Par
$
19,817,000
Par
$
5,000,000
Par
$
17,969,000
Par
$
17,300,000
Par
$
2,892,000
Par
1/26/2011
4
$
1,800,000
$
0
Preferred Stock 2
1/26/2011
Preferred Stock
9/29/2010
4
$
6,000,000
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
7/30/2010
4
$
11,926,000
$
0
N/A
N/A
N/A
3/31/2010
4
$
3,400,000,000
$
0
Warrants
9/21/2010
Warrants
9/29/2010
4
$
17,388,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
8/20/2010
4
$
11,735,000 $
0
N/A
N/A
N/A
12/15/2010
4
$
1,700,000
$
0
Subordinated
Debentures 8
12/15/2010
Subordinated
Debentures 8
6/30/2010
4
$
950,000,000
$
0
Warrants
9/16/2010
Warrants
2, 7
R $
90,000
R $
245,000
2, 7,
8, 10
8
$
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
3,756,000
Par
$
15,000,000
Par
$
$
3,510,000
8,900,000
Par
Par
$
2,639,000
Par
$
6,400,000
Par
$
12,000,000
Par
$
12,000,000
Par
$
10,000,000
Par
$
2,330,000
Par
$
11,926,000
Par
Hartford
CT
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
$
3,400,000,000
Par
Dallas
TX
Preferred Stock w/ Exercised Warrants
$
3,000,000
Par
Waukesha
Houston
WI
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,625,000
21,042,000
Par
Par
Security Capital Corporation
Batesville
MS
Preferred Stock w/ Exercised Warrants
$
17,388,000
Par
6/26/2009
6/26/2009
6/26/2009
First Alliance Bancshares, Inc.
Gulfstream Bancshares, Inc.
Gold Canyon Bank
Cordova
Stuart
Gold Canyon
TN
FL
AZ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
3,422,000
7,500,000
1,607,000
Par
Par
Par
6/26/2009
M&F Bancorp, Inc.
Durham
NC
Preferred Stock
$
11,735,000
Par
6/26/2009
Metropolitan Bank Group, Inc.
Chicago
IL
Preferred Stock w/ Exercised Warrants
$
74,706,000
Par
Par
6/19/2009
Suburban Illinois Bancorp, Inc.
6/26/2009
6/26/2009
6/26/2009
Hartford Financial Services Group, Inc.
Veritex Holdings, Inc.
(Fidelity Resources Company)
Waukesha Bankshares, Inc.
FC Holdings, Inc.
6/26/2009
6/26/2009
Elmhurst
IL
$
15,000,000
Par
30a
-
N/A
A $
713,687,430
R $
522,000
2, 7,
6/26/2009
Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)
Alliance Bancshares, Inc.
8
6/26/2009
8
6/26/2009
Chicago
IL
Preferred Stock w/ Exercised Warrants
$
7,186,000
Dalton
GA
$
2,986,000
Par
Stearns Financial Services, Inc.
St. Cloud
MN
$
24,900,000
Par
6/26/2009
Signature Bancshares, Inc.
Dallas
TX
$
1,700,000
Par
8
6/26/2009
Fremont Bancorporation
Fremont
CA
$
35,000,000
Par
8
6/26/2009
Alliance Financial Services Inc.
Saint Paul
MN
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
12,000,000
Par
7/10/2009
Lincoln National Corporation
Radnor
PA
$
950,000,000
Par
Preferred Stock w/ Warrants
30a
-
7
N/A
R $
85,000
A $
216,620,887
Page 11 of 13
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
2, 10
2
2
2, 3
7/10/2009
7/17/2009
7/17/2009
7/17/2009
Bancorp Financial, Inc.
Brotherhood Bancshares, Inc.
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation
Oak Brook
Kansas City
Fayetteville
Baltimore
8
7/17/2009
First South Bancorp, Inc.
Lexington
TN
8
7/17/2009
Great River Holding Company
Baxter
MN
8, 10
7/17/2009
Plato Holdings Inc.
Saint Paul
MN
2, 10
2
7/24/2009
7/24/2009
7/24/2009
Yadkin Valley Financial Corporation
Community Bancshares, Inc.
Florida Bank Group, Inc.
Elkin
Kingman
Tampa
NC
AZ
FL
8
7/24/2009
First American Bank Corporation
Elk Grove Village
IL
2
7/31/2009
Chicago Shore Corporation
Chicago
IL
8, 10
7/31/2009
Financial Services of Winger, Inc.
Winger
MN
2
2
2
2
8/7/2009
8/7/2009
8/14/2009
8/21/2009
The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.
Terrell
Miami
Eden Prarie
Smithfield
TX
FL
MN
NC
IL
KS
GA
MD
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
$
$
$
$
13,669,000
11,000,000
12,900,000
6,800,000
Par
Par
Par
Par
8
8/21/2009
AmFirst Financial Services, Inc.
McCook
NE
2, 3
2
2, 10
8/28/2009
8/28/2009
8/28/2009
First Independence Corporation
First Guaranty Bancshares, Inc.
CoastalSouth Bancshares, Inc.
Detroit
Hammond
Hilton Head Island
MI
LA
SC
8, 10
8/28/2009
TCB Corporation
Greenwood
SC
8, 10
9/4/2009
The State Bank of Bartley
Bartley
NE
9/11/2009
Pathfinder Bancorp, Inc.
Oswego
NY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
2, 30 9/29/2010
9/11/2009
Community Bancshares of Mississippi, Inc.
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
2, 10
2, 10
9/11/2009
9/11/2009
Heartland Bancshares, Inc.
PFSB Bancorporation, Inc.
Franklin
Pigeon Falls
IN
WI
$
$
7,000,000
1,500,000
Par
Par
9/11/2009
First Eagle Bancshares, Inc.
Hanover Park
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
8, 30 9/17/2010
2, 10
2, 10
2, 10, 50
$
50,000,000
Par
$
8,400,000
Par
$
2,500,000
Par
$
$
$
13,312,000
3,872,000
20,471,000
Par
Par
Par
$
50,000,000
Par
$
7,000,000
Par
$
3,742,000
Par
$
$
$
$
20,000,000
50,236,000
1,004,000
4,000,000
Par
Par
Par
Par
$
5,000,000
Par
$
$
$
3,223,000
20,699,000
16,015,000
Par
Par
Par
$
9,720,000
Par
$
1,697,000
Par
$
6,771,000
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
2, 7,
9/18/2009
9/18/2009
IA Bancorp, Inc.
HomeTown Bankshares Corporation
Iselin
Roanoke
NJ
VA
9/25/2009
Heritage Bankshares, Inc.
Norfolk
VA
2
9/25/2009
Mountain Valley Bancshares, Inc.
Cleveland
GA
8
9/25/2009
Grand Financial Corporation
Hattiesburg
MS
3, 8, 30 7/30/2010
10, 21
9/25/2009
Guaranty Capital Corporation
Belzoni
MS
9/25/2009
GulfSouth Private Bank
Destin
FL
8, 10
9/25/2009
Steele Street Bank Corporation
Denver
CO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
7,500,000
Par
$
$
5,976,000
10,000,000
Par
Par
$
10,103,000
Par
$
3,300,000
Par
$
2,443,320
Par
Subordinated Debentures
$
14,000,000
Par
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
7,500,000
Par
$
11,019,000
Par
9/29/2010
4
52,000,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
9/17/2010
4
$
7,500,000
$
0
Subordinated
Debentures 8
9/17/2010
Subordinated
Debentures 8
3/16/2011
4
$
2,606,000
$
8/11/2011
8/11/2011
Preferred Stock
50
$
7,497,000
$
0
Preferred Stock 2
7/30/2010
4
$
14,000,000
$
0
N/A
N/A
N/A
$
7,497,000
Preferred Stock w/
Exercised Warrants
R $
2,600,000
30a
R $
375,000
2, 7
R $
303,000
30a
-
N/A
Page 12 of 13
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
2, 10
2, 10
10/2/2009
10/2/2009
10/23/2009
Premier Financial Bancorp, Inc.
Providence Bank
Regents Bancshares, Inc.
Huntington
Rocky Mount
Vancouver
WV
NC
WA
8
10/23/2009
Cardinal Bancorp II, Inc.
Washington
MO
2
2, 10a, 49
2, 10a
2, 10
10/30/2009
10/30/2009
11/6/2009
11/13/2009
Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
F & M Bancshares, Inc.
Fidelity Federal Bancorp
Asheboro
Reston
Trezevant
Evansville
NC
MN
VA
TN
IN
8, 10
11/13/2009
Community Pride Bank Corporation
Ham Lake
2, 10a
2, 10
2
2, 10a
3, 10a
2
2, 10
2
2, 10
11/13/2009
11/20/2009
11/20/2009
11/20/2009
12/4/2009
12/4/2009
12/4/2009
12/11/2009
12/11/2009
HPK Financial Corporation
Presidio Bank
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.
Broadway Financial Corporation
Delmar Bancorp
Liberty Bancshares, Inc.
First Community Financial Partners, Inc.
Wachusett Financial Services, Inc.
Chicago
San Francisco
Shorewood
Chicago
Los Angeles
Delmar
Fort Worth
Joliet
Clinton
CA
MD
TX
IL
MA
8
12/11/2009
Nationwide Bankshares, Inc.
West Point
NE
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2
2, 10, 49
2
2, 10a, 49
2, 10a, 49
2, 10a
2, 10a
2, 10a
2, 10
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010
2, 10a, 49
2, 10a, 49
2, 10a
2, 10
2, 10
2
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
First Western Financial, Inc.
Meridian Bank
The Victory Bancorp, Inc.
First Business Bank, N.A.
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.
Greenville
Los Angeles
Exton
Denver
Devon
Limerick
San Diego
Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon
SC
CA
PA
CO
PA
PA
CA
WI
PA
MI
UT
MI
PA
NJ
NC
TN
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/29/2009
12/29/2009
12/29/2009
First Choice Bank
Highlands Bancorp, Inc.
(Highlands State Bank)
Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Mainline Bancorp, Inc.
IL
CA
MN
IL
Investment Description
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
22,252,000
4,000,000
12,700,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
$
6,251,000
Par
$
$
$
$
6,229,000
6,842,000
3,535,000
6,657,000
Par
Par
Par
Par
$
4,400,000
Par
$
$
$
$
$
$
$
$
$
5,000,000
10,800,000
6,000,000
2,348,000
6,000,000
9,000,000
6,500,000
22,000,000
12,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
$
2,000,000
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,319,000
6,000,000
2,417,000
11,881,000
6,335,000
1,505,000
2,032,000
3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Cerritos
CA
Preferred Stock
$
2,836,000
Par
NJ
Preferred Stock
$
2,359,000
Par
Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
Ebensburg
UT
NY
TN
SC
NM
PA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
$
$
$
$
$
$
9,698,000
3,500,000
4,237,000
2,000,000
2,179,000
4,500,000
Par
Par
Par
Par
Par
Par
$
3,035,000
Par
$
$
4,567,000
1,508,000
Par
Par
12/29/2009
FBHC Holding Company
Boulder
CO
2, 10a
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a
2, 10a
12/29/2009
12/29/2009
Western Illinois Bancshares Inc.
DeSoto County Bank
Monmouth
Horn Lake
IL
MS
12/29/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
2,453,000
Par
12/29/2009
12/29/2009
12/29/2009
Private Bancorporation, Inc.
CBB Bancorp
Illinois State Bancorp, Inc.
Minneapolis
Cartersville
MN
GA
IL
Preferred Stock
Preferred Stock
$
$
$
3,262,000
1,753,000
4,000,000
Par
Par
Par
$
204,943,827,320
Chicago
Preferred Stock w/ Exercised Warrants
Total Purchase Amount *
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
-
N/A
Par
Par
Par
Vernon
8, 10, 38
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
8/4/2011
49
$
6,842,000
$
0
N/A
N/A
N/A
12/29/2010
4
$
2,000,000
$
0
Subordinated
Debentures 8
12/29/2010
Subordinated
Debentures 8
7/14/2011
49
$
6,056,000
$
0
Preferred Stock 2
7/14/2011
Preferred Stock
7/14/2011
7/28/2011
49
$
$
4,640,000
1,744,000
$
$
0
0
N/A
N/A
N/A
N/A
N/A
N/A
-
N/A
N/A
9/24/2010
4
$
2,836,000
$
0
N/A
N/A
N/A
-
N/A
7/21/2011
7/21/2011
49
$
$
9,698,000
3,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/21/2011
7/21/2011
Preferred Stock
Preferred Stock
38
$
650,000
$
0
N/A
N/A
N/A
4
$
2,453,000
$
0
N/A
N/A
N/A
3/9/2011
9/29/2010
49
49
Total Repaid **
Losses***
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
$ 182,805,877,563
$
(2,613,704,294)
$
19,524,245,463
7
R $
100,000
2, 7
R $
182,000
2, 7
2, 7
Total Warrant Proceeds****
R $
R $
55,000
113,000
N/A
-
N/A
$
7,560,172,553
* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii) the
amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).
*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings (see Notes 16 and 19) and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale (see Notes 26, 32 and 34), but excludes investment amounts for institutions that have pending receivership or
bankruptcy proceedings (see Notes 14 and 25).
**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a).
Notes appear on the following page.
Page 13 of 13
1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total gross disposition proceeds from CPP warrants on 3/3/2010 was $310,571,615, consisting of $186,342,969 and $124,228,646. Proceeds from the disposition of TIP
warrants on 3/3/2010 appear on a following page of this report.
2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual
Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted
to 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its Series C Preferred Stock issued by Popular, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by Contingent Value Rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were
17/ On 12/11/2009, Treasury exchanged its Series A Preferred Stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.
18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's
19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of Preferred Stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of Mandatory Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of Subordinated Debentures in GulfSouth Private Bank for an equivalent amount of Preferred Stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ On 4/16/2010, Treasury exchanged its $72,000,000 of Preferred Stock in Independent Bank Corporation (Independent) for $74,426,000 of Mandatory Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the
fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury
gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On
May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July
23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010.
On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on
December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by Morgan Stanley, the
weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of Preferred Stock in Sterling Financial Corporation (Sterling) for a like amount of Mandatorily Convertible Preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the Preferred Stock and $400,000 for the Warrants, pursuant to the terms of the agreement between Treasury and TD entered into on
5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its Series A Preferred Stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of Preferred Stock in First BanCorp for $424,174,000 of Mandatorily Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
First BanCorp of certain conditions, including those related to its capital plan, the MCP may be converted to common stock. First BanCorp has agreed to have Treasury observers attend board of directors meetings.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of Preferred Stock in Pacific Capital for $195,045,000 of Mandatorily Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus
$14,411,000 of capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Pacific Capital has agreed to have Treasury observers
attend board of directors meetings.
30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.
30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.
31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of Preferred Stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of Mandatorily Convertible Preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
32/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the Preferred Stock and $40,000 for the Warrants, pursuant to the terms of the agreement between Treasury and NAFH entered
into on 9/24/2010.
33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
34/ On 12/3/2010, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.
35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all Preferred Stock and Warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on
1/28/2011.
36/ On 2/15/2011, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of
Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.
37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of Preferred Stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp.for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
38/ On 3/9/2011, Treasury completed the sale of all Subordinated Debentures (including the Subordinated Debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on
3/9/2011.
39/ On 5/31/2011, Treasury completed the sale of all Preferred Stock and Warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to
other classes of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the
acquired company and the acquiror entered into on 3/23/2011.
Page 1 of 2
41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group,
Inc., which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. Preferred Stock and Warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation Preferred Stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation Warrant for an equivalent Warrant issued by M&T Bank Corporation,
pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal
to $3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the
warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011.
47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation Preferred Stock held by Treasury and the related Warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.
48/ On 6/29/2011, Treasury entered into an agreement with Carver Bancorp, Inc. to exchange Treasury’s $18,980,000 of preferred stock for an equivalent amount of common stock. The exchange is subject to the fulfillment by Carver Bancorp, Inc. of certain conditions, including the satisfactory completion of a capital plan.
49/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
50/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
51 / On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
52/ On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
53/ On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
54/ On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
55/ On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
56/ On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
57/ On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
58/ On 8/12/2011, Treasury entered into an agreement with FNB United Corp. to exchange Treasury’s $51,500,000 of preferred stock for common stock. The exchange is subject to the fulfillment by FNB United Corp. of certain conditions, including the satisfactory completion of a capital plan.
Page 2 of 2
CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION
Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010
Pricing Mechanism
6
Number of Shares
Proceeds
7
1
$4.1217
1,500,000,000
$
6,182,493,158
$3.8980
1,108,971,857
$
4,322,726,825
$3.9090
1,500,000,000
$
5,863,489,587
$4.2609
1,165,928,228
$
4,967,921,811
$4.3500
2,417,407,607
$
10,515,723,090
2
3
4
5
12/6/2010
Total Proceeds:
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
Page 1 of 1
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote Purchase Date
1
1, 2
1, 2
1
1
2a
1
1
1
1
2a
1
1
1
1
1, 2
1
1, 2
1
1, 2
1, 2
1, 2
1, 2
1
1
1
1
1
1
1
7/30/2010
7/30/2010
8/6/2010
8/13/2010
8/13/2010
9/17/2010
8/13/2010
8/13/2010
8/13/2010
8/20/2010
9/24/2010
8/20/2010
8/27/2010
9/3/2010
9/3/2010
9/3/2010
9/10/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
Name of Institution
Purchase Details
City
State
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
Citizens Bancshares Corporation
Belzoni
St. Paul
Arkadelphia
Wilmette
Atlanta
MS
MN
AR
IL
GA
PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Mission Valley Bancorp
Chicago
Brooklyn
Memphis
Sun Valley
IL
NY
TN
CA
M&F Bancorp, Inc.
Carver Bancorp, Inc
Kilmichael Bancorp, Inc.
United Bancorporation of Alabama, Inc.
IBW Financial Corporation
IBC Bancorp, Inc.
CFBanc Corporation
American Bancorp of Illinois, Inc.
Hope Federal Credit Union
Genesee Co-op Federal Credit Union
First Eagle Bancshares, Inc.
Liberty Financial Services, Inc.
First Choice Bank
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Liberty County Teachers Federal Credit Union
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.
Security Capital Corporation
BankAsiana
Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
Bainbridge
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
Liberty
New Orleans
Biggs
Olympia
Phenix City
Tucson
Berkeley
Honolulu
Hagatna
Milwaukee
Ketchikan
Santa Cruz
San Francisco
Fairfax
Aiken
Oakland
Hattiesburg
Ridgeland
Kosciusko
Greenwood
Oxford
Many
Brandon
Vernon
Batesville
Palisades Park
NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
GA
VA
NY
WY
NY
MT
IN
NY
LA
NY
TX
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
MS
AL
MS
NJ
Amount from CPP
Investment Description
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
14,000,000
11,926,000
11,000,000
6,784,000
7,462,000
3,000,000
17,000,000
2,795,000
5,500,000
11,735,000
18,980,000
10,300,000
6,000,000
4,205,000
7,875,000
5,645,000
5,146,000
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
-
Disposition Details
Additional Investment
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
4,000,000
2,313,000
12,123,000
30,514,000
-
Investment Amount
$
$
$
$
14,000,000
22,115,000
33,800,000
6,784,000
$
$
$
$
11,841,000
3,000,000
17,000,000
2,795,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,336,000
11,735,000
18,980,000
3,154,000
10,300,000
6,000,000
8,086,000
5,781,000
5,457,000
4,520,000
300,000
7,875,000
11,334,000
5,146,000
3,372,000
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
435,000
743,000
1,000,000
75,000
153,000
2,500,000
2,799,000
273,000
2,650,000
1,096,000
1,600,000
2,828,000
350,000
8,044,000
22,000,000
4,060,000
17,123,000
80,914,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
5,250,000
Pricing
Mechanism
Date
Amount
Remaining Investment
Amount
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Page 1 of 2
Seller
Footnote Purchase Date
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/30/2010
Name of Institution
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Purchase Details
City
State
Amount from CPP
Investment Description
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
MS
NY
NY
NY
LA
LA
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
New York
NY
Subordinated Debentures
Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn
IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
Disposition Details
Additional Investment
Investment Amount
-
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
-
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
Pricing
Mechanism
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000
Par
Par
Par
Par
Par
Par
Par
$
57,000
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Total Purchase Amount $
570,073,000
Amount
Date
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
Remaining Investment
Amount
$0
570,073,000
1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.
2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.
2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
Page 2 of 2
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
GMAC
(Ally)
Date
Transaction Type
12/29/2008
Purchase
Seller
Description
Preferred Stock w/
Exercised Warrants
GMAC
Pricing
Mechanism
Amount
$
5,000,000,000
Par
$
7,500,000,000
Par
22
12/30/2009
22,
26
12/30/2010
5/21/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
12/30/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
1,250,000,000
Par
12/30/2009
Purchase
GMAC
Trust Preferred Securities w/
$
Exercised Warrants
2,540,000,000
Par
12/29/2008
Purchase
$
884,024,131
Par
12/31/2008
Purchase
$
13,400,000,000
Par
4/22/2009
Purchase
$
2,000,000,000
Par
Detroit, MI
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Date
12/30/2009
3/1/2011
2
5/29/2009
7/10/2009
4
7/10/2009
Type
Exchange for convertible
preferred stock
Partial conversion of
preferred stock for common
stock
Partial conversion of
preferred stock for common
stock
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
Pricing
Mechanism
Amount
Obligor
$
5,000,000,000
N/A
$
3,000,000,000
N/A
$
5,500,000,000
N/A
26
$
2,670,000,000
N/A
27 GMAC (Ally)
$
884,024,131
N/A
$ 13,400,000,000
N/A
$
N/A
2,000,000,000
GMAC (Ally)
21, 22
GMAC (Ally)
3, 26
Description
Amount/Equity %
Convertible
Preferred Stock
$ 5,937,500,000
Trust Preferred
Securities
$ 2,670,000,000
General Motors
Company
10,
Preferred Stock
11, 24
$ 2,100,000,000
General Motors
Company
10,
Common Stock
11, 25
27
5/20/2009
General
Motors
6/3/2009
1/16/2009
4,000,000,000
Par
5
7/10/2009
$
4,000,000,000
Purchase
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Chrysler FinCo
$
$
$
360,624,198
30,100,000,000
1,500,000,000
Par
Par
Par
6
8
7/10/2009
7/10/2009
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
$
360,624,198
7
N/A
$ 22,041,706,310
N/A
N/A
7/10/2009
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
4/29/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
Auburn
Hills, MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note, Zero
Coupon Note, Equity
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
$
-
-
6/10/2009
Par
7
General Motors
Holdings LLC
11, 12 Debt Obligation
$ 7,072,488,605
6,642,000,000
N/A
500,000,000
N/A
4/30/2010
17
6/10/2009
Completion of bankruptcy
proceeding; transfer of
collateral security to
liquidation trust
Issuance of equity in New
Chrysler
$ (1,888,153,580)
$
-
N/A
N/A
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
0
12/15/2010 Repayment
$
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
7/10/2009
Partial Repayment
$
360,624,198 Debt Obligation
$
6,711,864,407
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
3/31/2010
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
Repayment
$
4,676,779,986
3/31/2011
Partial Repayment
$
50,000,000 Debt Obligation
$
935,805,085
4/5/2011
Partial Repayment
$
45,000,000 Debt Obligation
$
890,805,085
5/3/2011
Partial Repayment
$
15,887,795 Debt Obligation
$
874,917,290
3/17/2009
Partial Repayment
$
1,496,500,945
4/17/2009
Partial Repayment
$
1,464,690,823
5/18/2009
Partial Repayment
$
1,413,554,739
6/17/2009
Partial Repayment
$
1,369,197,029
7/14/2009
Repayment
7/14/2009
Repayment*
5/14/2010
Termination and settlement
20
payment
7/10/2009
5/10/2010
9/9/2010
0
36.9%
N/A
32.04%
$
0
9
9
Motors
Liquidation
19
Chrysler Holding
23 Old Carco
Liquidation Trust
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
Remaining
Investment
Amount/Equity %
9
29
Debt Obligation
$
985,805,085
20
Debt obligation w/
additional note
$ 3,500,000,000
15
18
$
$
3/2/2011 Disposition 28
14
16
-
Transfer of debt to New
Chrysler
Remaining
Investment
Description
60.8%
13
Par
Amount/ Proceeds
7
Farmington
Hills, MI
1/2/2009
Chrysler
$
Exchange for preferred and
common stock in New GM
Type
3
Detroit, MI
5/27/2009
Chrysler
FinCo
Purchase
Debt Obligation w/
Additional Note
Date
73.8%
Common Stock
7
General Motors
Corporation
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
23
19, 31 Debt obligation w/
additional note &
zero coupon note
30
81,344,932,551
Total Treasury Investment Amount $
Right to recover
proceeds
Common equity
N/A
$ 7,142,000,000
6.6%
$
$
$
$
Debt Obligation w/
3,499,055 Additional Note
Debt Obligation w/
31,810,122 Additional Note
Debt Obligation w/
51,136,084 Additional Note
Debt Obligation w/
44,357,710 Additional Note
Additional Note
$
0
$
1,369,197,029
$
15,000,000
N/A
-
$
1,900,000,000
N/A
-
Repayment
$
280,130,642
N/A
Proceeds from sale of collateral
$
30,544,528
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
Right to recover
7,844,409
proceeds
Proceeds from sale of collateral
$
12/29/2010 Proceeds from sale of collateral
$
5/24/2011
Repayment - Principal
$
5,076,460,000
5/24/2011
Termination of undrawn facility 31
$
2,065,540,000
5/24/2011
Repayment* - Additional Note
$
288,000,000
5/24/2011
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
34,859,229,021
Additional Proceeds * $
403,000,000
N/A
N/A
0
N/A
N/A
N/A
$
0
-
40,932,009,950
Footnotes appear on following page.
Page 1 of 2
As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.
1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions
marked by green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted
to "General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The
remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed
on 6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including
additional notes and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the
liquidation from time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of
common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the
amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. Under the Plan of Liquidation, Treasury retained the
right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC (as of March 31, 2011, $2.1 billion remained undrawn), and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and
Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million.
In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to the trust's shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment
Date
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Date
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
4/5/2010
Payment
3/9/2010
Repayment
4/7/2010
Payment7
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
$ 3,500,000,000
Additional Note
7/8/2009
3
$ (1,000,000,000) $
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
1/
2/
3/
4/
5/
6/
7/
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
$ 1,500,000,000
Additional Note
$
413,076,735
2,500,000,000
N/A
7/8/2009
3
$ (500,000,000)
$
290,000,000
$
1,000,000,000
$
123,076,735
N/A
7
Total Repayments
$
413,076,735
Payment or Disposition4
Remaining Investment
Description
Type
6
5
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Additional Note
$
50,000,000
None
$
56,541,893
Additional Note
$
123,076,735
None
$
44,533,054
Total Proceeds from Additional Notes
$
101,074,947
The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier
The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on
Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
All outstanding principal drawn under the credit agreement was repaid.
Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
Page 2 of 2
TARGETED INVESTMENT PROGRAM
Seller
Footnote
1
Date
Name of Institution
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
City
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants
$
20,000,000,000
Par
12/23/2009
$
20,000,000,000
Par
12/9/2009
TOTAL
$
Capital Repayment
Amount
2
Remaining
Capital Amount
Remaining Capital
Description
Final Disposition
Final
Disposition
Description
Final Disposition Date 3
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,255,639,099
$
40,000,000,000
$
1,446,025,527
2
40,000,000,000
TOTAL CAPITAL REPAYMENT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock,
Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
1
3
Date
Seller
Name of Institution
1/16/2009 Citigroup Inc.
12/23/2009 Citigroup Inc.
City
State
Type
New York
NY
Guarantee
New York
NY
Termination
Premium
Description
Master Agreement
Termination Agreement
TOTAL
Guarantee Limit
$
$
$
5,000,000,000
Description
Preferred Stock
w/ Warrants
Amount
$
Exchange/Transfer/Other Details
Footnote
Date
2
6/9/2009
4,034,000,000
4
9/29/2010
Type
Description
Exchange preferred stock for Trust Preferred
trust preferred securities
Securities w/ Warrants
Exchange trust preferred
securities for trust preferred
securities
Trust Preferred
Securities w/ Warrants
Payment or Disposition
Amount
Footnote
Date
Remaining Premium
Description
Trust Preferred
$ (1,800,000,000) Securities w/ Warrants
$2,234,000,000
$
0
$
0
$
4,034,000,000
3
Type
Partial cancellation for early
12/23/2009 termination of guarantee
$
2,246,000,000
5
9/30/2010 Disposition
$ 2,246,000,000
1/25/2011 Warrant Auction
$
Remaining
Premium
Amount
Warrants
67,197,045 None
(5,000,000,000)
0
Total Proceeds
$ 2,313,197,045
1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred
Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the
conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
Page 1 of 1
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Note
Date
1
11/25/2008
2, 3
4/17/2009
Name of Institution
AIG
Purchase Details
City
New York
AIG
New York
Transaction
Type
State
NY
NY
Purchase
Purchase
Exchange/Transfer Details
Investment Amount
Investment Description
Preferred Stock w/ Warrants
(Series D)
$
Preferred Stock w/ Warrants
(Series F)
Pricing Mechanism
40,000,000,000
$
Par
29,835,000,000
Par
2
Date
Transaction Type
4/17/2009
Exchange
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
Amount
Pricing
Mechanism
$ 40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
Date
69,835,000,000
Pricing
Mechanism
Proceeds
Transaction Type
Investment
Warrants (Series E)
Warrants (Series F)
Total
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Treasury Holdings Post-Recapitalization
Recapitalization
Note
Date
Investment Description
Transaction Type
Pricing Mechanism
Exchange
Par
Investment Description
Preferred Stock (Series G)
AIA Preferred Units
4
1/14/2011
Preferred Stock (Series F)
Exchange
Exchange
1/14/2011
1/14/2011
Preferred Stock (Series E)
Common Stock (non-TARP)
Exchange
Transfer
Date
Amount / Shares
$
$
2,000,000,000
16,916,603,568
7
N/A
ALICO Junior Preferred Interests
5
6
Final Disposition
$
3,375,328,432
7
Transaction Type
Proceeds
Pricing
Mechanism
8
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
-
N/A
Common Stock
924,546,133
562,868,096
$
-
10
Par
3/8/2011
Payment
$
5,511,067,614
Par
3/15/2011
Payment
$
55,833,333
Par
2/14/2011
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
167,623,733
N/A
Remaining Recap
Investment Amount,
Shares, or Equity %
$ 11,163,976,429
8
$
8
0
1,455,037,962
9
77%
Total
$
14,946,447,248
4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG
Common Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.
5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.
6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received
562,868,096 shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.
7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.
8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.
9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for an aggregate amount equal to $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.
10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.
Page 1 of 1
CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM
Seller
Footnote
Date
1
3/3/2009
Name of Institution
City
State
Transaction
Type
Investment Description
DE
Purchase
Debt Obligation w/ Additional Note
Investment Amount
Pricing Mechanism
Adjusted Investment
Date
Amount
2
TALF LLC
Wilmington
TOTAL
$
20,000,000,000
$
4,300,000,000
N/A
7/19/2010
$
4,300,000,000
1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.
2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.
Page 1 of 1
SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE
SBA 7a Securities Purchase Program
Purchase Details
Date
3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010
1
Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Final Disposition
Settlement Details
Purchase Face
3
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
332,596,893
Investment Amount
Pricing Mechanism
TBA or
PMF3
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
TOTAL INVESTMENT AMOUNT
2, 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Senior Security
Proceeds 4
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
Total Senior Security Proceeds $
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
TBA or
PMF3
-
368,145,452 *
Trade Date
6
PMF
Purchase Face
Amount 3
Life-to-date
Principal
Received 1, 8
Current Face
Amount 6, 8
Disposition
Amount 5, 6
6/21/2011
-
$
4,070,000
$
3,151,186
$
902,633
$
3,457,746
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
-
$
$
$
$
$
$
$
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
$
$
$
$
$
$
$
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
$
$
$
$
$
$
$
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
$
$
$
$
$
$
$
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
6/21/2011
-
$
34,441,059
$
32,656,125
$
1,784,934
$
36,072,056
6/21/2011
-
$
6,004,156
$
5,656,049
$
348,107
$
6,051,772
6/21/2011
-
$
13,183,361
$
12,704,841
$
478,520
$
14,182,379
6/21/2011
-
$
9,719,455
$
9,531,446
$
188,009
$
10,223,264
Disposition Proceeds
$
TOTAL PROGRAM PROCEEDS TO DATE7 $
151,533,849 *
183,558,935 *
* Subject to adjustment
1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms.
If a purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted
after publication of the applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal
amount equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms
and conditions as set forth in the Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor
(on or about the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount only after the applicable month's factor has been published and trailing principal & interest payments have been received.
Page 1 of 1
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Seller
Footnote
Date
1
9/30/2009
2
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
UST/TCW Senior Mortgage Securities Fund, L.P.
Adjusted Investment
City
Wilmington
Wilmington
Transaction
Type
State
DE
DE
Purchase
Purchase
1
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
2
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
1
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
Pricing
Investment Amount Mechanism
$
$
1,111,111,111
2,222,222,222
Par
Par
Date
1/4/2010
1/4/2010
Amount
4
4
$
$
$
1,111,111,111
Par
3/22/2010 6 $
$
2,222,222,222
Par
3/22/2010 6
$
1,111,111,111
Par
3
Final Investment Amount
Date
Amount
4 $
156,250,000
200,000,000
7
4 $
156,250,000
200,000,000
1,244,437,500
7/16/2010
$
856,000,000
$ 2,488,875,000
7/16/2010
$
1,712,000,000
3/22/2010 6 $
1,262,037,500
7/16/2010
$
1/15/2010
Investment After Capital Repayment
Repayment
Amount
$
156,250,000
Amount
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
2/18/2010
$
4/15/2010
9/15/2010
Description
0
Membership Interest
Distribution or Disposition
Date
5
Proceeds
5
Distribution
2/24/2010
Final Distribution
Debt Obligation w/
166,000,000 Contingent Proceeds
0
Description
1/29/2010
5
$
20,091,872
$
48,922
$
502,302
$
1,223
$
20,644,319
N/A
5
1/29/2010
Distribution
2/24/2010
Final Distribution
Contingent Proceeds
5
Debt Obligation w/
1,707,111,282 Contingent Proceeds
Debt Obligation w/
1,700,044,848 Contingent Proceeds
Debt Obligation w/
1,640,022,174 Contingent Proceeds
Debt Obligation w/
1,507,093,546 Contingent Proceeds
Debt Obligation w/
1,475,404,316 Contingent Proceeds
Debt Obligation w/
1,448,048,726 Contingent Proceeds
Debt Obligation w/
1,355,748,588 Contingent Proceeds
Debt Obligation w/
1,227,721,052 Contingent Proceeds
Debt Obligation w/
1,072,311,766 Contingent Proceeds
Debt Obligation w/
997,226,281 Contingent Proceeds
Debt Obligation w/
978,966,768 Contingent Proceeds
Debt Obligation w/
915,986,960 Contingent Proceeds
Debt Obligation w/
895,224,428 Contingent Proceeds
4,888,718
$
$
7,066,434
$
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
5/16/2011 $
30,244,575
$
6/14/2011 $
88,087
$
Debt Obligation w/
2,270,602,425 Contingent Proceeds
Debt Obligation w/
2,270,514,339 Contingent Proceeds
5/13/2011 $
13,531,530
$
Debt Obligation w/
1,227,624,986 Contingent Proceeds
7/15/2011 $
79,000,000
$
Debt Obligation w/
2,242,568,200 Contingent Proceeds
1,149,487,000
2
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,524,075,000
7/16/2010
$
2,298,974,000
1
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
1,150,423,500
2
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000
1
10/2/2009
Blackrock PPIF, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
694,980,000
2
10/2/2009
Blackrock PPIF, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,389,960,000
1
10/30/2009
AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,271,337,500
7/16/2010
$
1,243,275,000
2,486,550,000
2
10/30/2009
AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,542,675,000
7/16/2010
$
1
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
620,578,258
2
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,241,156,516
1
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
474,550,000
2
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
949,100,000
1
12/18/2009
Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
1,160,784,100
2
12/18/2009
Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,321,568,200
$
30,000,000,000
FINAL INVESTMENT AMOUNT
$
22,406,483,574
INITIAL INVESTMENT AMOUNT
Capital Repayment Details
Repayment
Date
TOTAL CAPITAL REPAYMENT AMOUNT $
1,295,889,763
TOTAL PROCEEDS
Footnotes appear on following page.
Page 1 of 2
1/ The equity amount may be incrementally funded. Investment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.
2/ The loan may be incrementally funded. Investment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Profit after capital repayments will be paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in respect of their membership interests.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the
Wellington fund and the AG GECC fund, respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
Page 2 of 2
@FedFRASER